30 KAR | Title 30 KAR — Secretary of State

Chapter 3 Trademarks and Service Marks

30 KAR 3:010 Application for registration of trademarks and service marks {#sec-30-kar-3-010 omnilex-key=us-ky-regs-official--title-30--30 KAR 3:010}

Section 1. Requirements for Application for Registration of a Trademark or Service Mark.

(1) Application for registration of a trademark or service mark shall be made to the Secretary of State, pursuant to KRS 365.571(1), by submitting:

(a) A completed and notarized Trademark/Service Mark Application;

(b) The registration fee required by KRS 365.571(6);

(d) A drawing of the mark.

(2) The application shall not be accepted for filing unless the requirements of subsection (1) of this section have been met.

(3) The application shall be in English.

Section 2. Application that Includes Multiple Classes. An application may be filed that includes goods or services falling into multiple classes if:

(1) The goods or services are specifically identified;

(2) An application fee of ten (10) dollars for each classification is submitted; and

(3) The application includes the dates of use, a drawing of the mark, and three (3) specimens for each class.

Section 3. Specimens.

(1) An application for registration shall comply with KRS 365.571(5).

(2)

(a) A trademark specimen shall be:

A label, tag, or container bearing the trademark;
A point of sale display associated with the goods; or
If the nature of the goods or the nature of the mark makes the use of the mark on goods impractical, other documents related to the goods or the sale of the goods.

(b) A photocopy or photograph of a specimen established in paragraph (a) of this subsection may be submitted.

(3) Service mark specimens shall show the mark as actually used in the sale or advertising of the services recited in the application.

(a) A service mark specimen shall be:

A newspaper or magazine advertisement, other form of advertisement, brochure, or restaurant menu; or
Business documents such as letterhead, business cards, or invoices, if the document shows the mark and refers to the relevant services.

(b) Printer's proofs for advertisements or words typed, printed, or written on plain paper shall not be acceptable as specimens of the mark.

Section 4. Period of Response.

(1) Within thirty (30) days of notice of the secretary's determination that an applicant is not entitled to registration, an applicant shall submit:

(a) A reply to the secretary's determination; or

(b) An amended application conforming to the secretary's determination.

(2) After review of an applicant's reply or amended application, the secretary shall:

(a) Make a final determination on the application; or

(b) Allow the applicant to submit another amended application.

Section 5. Classifications.

(1) The system of classification of goods and services established in 30 KAR 3:030 shall apply to trademark and service mark applications filed with the Secretary of State and to registrations issued on the basis of the applications.

(2) Renewals filed on registrations issued under a prior classification system shall be processed on the basis of the classification system in effect at the time the renewal application is filed.

Section 6. Incorporation by Reference.

(1) The "Trademark/Service Mark Application", December 2021, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Secretary of State's Office, 700 Capital Avenue, Suite 152, Frankfort, Kentucky, Monday through Friday, 8 a.m. to 4:30 p.m. or may be obtained at www.sos.ky.gov.

History

RELATES TO: KRS 365.571, 365.573, 365.593
STATUTORY AUTHORITY: KRS 365.571(1), 365.573(5)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 365.571(1) requires the Secretary of State to promulgate an administrative regulation establishing application requirements for registration of trademarks and service marks. This administrative regulation establishes application requirements for registration of trademarks and service marks.
History: 20 Ky.R. 3339; Am. 21 Ky.R. 306; eff. 8-4-1994; 29 Ky.R. 2720; 30 Ky.R. 17; eff. 7-17-2003; 48 Ky.R. 1215, 2021; eff. 4-5-2022.

30 KAR 3:020 Application for renewal of registration {#sec-30-kar-3-020 omnilex-key=us-ky-regs-official--title-30--30 KAR 3:020}

Section 1. Requirements for Application for Renewal of Registration of a Trademark or Service Mark.

(1) Application for renewal of registration of a trademark or service mark shall be made to the Secretary of State, pursuant to KRS 365.581(1), by submitting:

(a) A completed and notarized Trademark/Service Mark Renewal Application; and

(b) The renewal fee required by KRS 365.581(1).

(2) The application for renewal shall:

(a) Include the required fee for each class for which renewal is sought in the registration;

(b) Specifically identify the particular class or classes for which renewal is sought if the registration is for multiple classes of goods or services;

(d) Provide one (1) specimen of use specific to each class of goods or services.

Section 2. Incorporation by Reference.

(1) The "Trademark/Service Mark Renewal Application", December 2021, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Secretary of State's Office, 700 Capital Avenue, State Capitol, Suite 152, Frankfort, Kentucky, Monday through Friday, 8 a.m. to 4:30 p.m. This material may also be obtained at www.sos.ky.gov.

History

RELATES TO: KRS 365.581
STATUTORY AUTHORITY: KRS 365.571(1), 365.581(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 365.581(1) requires the Secretary of State to promulgate an administrative regulation establishing the requirements for renewing registrations of trademarks or service marks. This administrative regulation establishes the requirements for renewing registrations of trademarks or service marks.
History: 20 Ky.R. 3340; Am. 21 Ky.R. 306; eff. 8-4-1994; 29 Ky.R. 2721; eff. 7-17-2003; 48 Ky.R. 1217, 2022; eff. 4-5-2022.

30 KAR 3:030 Classification of goods and services for registration of trademarks and service marks {#sec-30-kar-3-030 omnilex-key=us-ky-regs-official--title-30--30 KAR 3:030}

Section 1. The applicant shall indicate by number the classification of the goods or services recited in the application. The following classification of goods and services shall be used in the registration of trademarks and service marks:

(1) Chemical products used in industry, science and photography, as well as in agriculture, horticulture and forestry; unprocessed artificial resins, unprocessed plastics; fire extinguishing compositions; tempering and soldering preparations; chemical substances for preserving foodstuffs; tanning substances; adhesives used in industry;

(2) Paints, varnishes, lacquers; preservatives against rust and against deterioration of wood; colorants; mordants; raw natural resins; metals in foil and powder form for painters, decorators, printers and artists;

(3) Bleaching preparations and other substances for laundry use; cleaning, polishing, scouring and abrasive preparations; soaps; perfumery, essential oils, non-medicated cosmetics and toiletry preparations ; non-medicated dentifrices;

(4) Industrial oils and greases; lubricants; wax; dust absorbing, wetting and binding compositions; fuels (including motor spirit) and illuminants; candles, wicks;

(5) Pharmaceutical, veterinary and sanitary preparations; dietetic substances adapted for medical use, food for babies; plasters, materials for dressings; material for stopping teeth, dental wax; disinfectants; preparations for destroying vermin; fungicides, herbicides;

(6) Common metals and their alloys; metal building materials; transportable buildings of metal; materials of metal for railway tracks; nonelectric cables and wires of common metal; iron-mongery, small items of metal hardware; pipes and tubes of metal; safes; goods of common metal not included in other classes; ores;

(7) Machines and machine tools; motors and engines (except for land vehicles); machine coupling and transmission components (except for land vehicles); agricultural implements; incubators for eggs;

(8) Hand tools and implements; hand operatedcutlery; side arms (except firearms); razors;

(9) Scientific research, navigation , surveying, electric, photographic, cinematographic, optical, weighing, measuring, signaling, checking (supervision), life-saving and teaching apparatus and instruments; apparatus for recording, transmission or reproduction of sound or images; magnetic data carriers, recording discs; automatic vending machines and mechanisms for coin operated apparatus; cash registers, calculating machines, data processing equipment and computers; fire-extinguishing apparatus;

(10) Surgical, medical, dental and veterinary apparatus and instruments, artificial limbs, eyes and teeth; orthopedic articles; suture materials;

(11) Apparatus and installations for lighting, heating, steam generating, cooking, refrigerating, drying, ventilating, water supply and sanitary purposes;

(12) Vehicles; apparatus for locomotion by land, air or water;

(13) Firearms; ammunition and projectiles; explosives; fireworks;

(14) Precious metals and their alloys and certain goods made of precious metals or coated therewith ; jewelry, precious and semiprecious stones; horological and chronometric instruments;

(15) Musical instruments and music stands for musical instruments; conductors' batons;

(16) Paper and cardboard; printed matter, bookbinding material; photographs; stationery; adhesives for stationery or household purposes; artists' materials; paint brushes; typewriters and office requisites (except furniture); instructional and teaching material (except apparatus); playing cards; printers' type; printing blocks;

(17) Unprocessed and semi-processed rubber, gutta-percha, gum asbestos, mica and goods made from these materials and not included in other classes; plastics in extruded form for use in manufacture; packing, stopping and insulating materials; flexible pipes tubes, and hoses, not of metal;

(18) Leather and imitations of leather, and goods made of these materials not included in other classes; animal skins, hides; luggage and carrying bags; umbrellas, parasols and walking sticks; whips, harness and saddlery;

(19) Building materials (nonmetallic); nonmetallic rigid pipes for building; asphalt, pitch and bitumen; nonmetallic transportable buildings; monuments that are not of metal;

(20) Furniture, mirrors, picture frames; goods (not included in other classes) of wood, cork, reed, cane, wicker, horn, bone, whalebone, shell, amber, mother-of-pearl, meerschaum and substitutes for all these materials, or of plastics;

(21) Household or kitchen utensils and containers (not of precious metal or coated therewith); combs and sponges; brushes (except paint brushes); brush-making materials; articles for cleaning purposes; steel wool; unworked or semiworked glass (except glass used in building); glassware, porcelain and earthenware not included in other classes;

(22) Ropes, string, nets, tents, awnings, tarpaulins, sails, sacks and bags (not included in other classes); padding and stuffing materials (except of rubber or plastics); raw fibrous textile materials;

(23) Yarns and threads for textile use;

(24) Textiles and substitutes for textiles; houseld linens; curtains of textile or plastic;

(25) Clothing, footwear, headgear;

(26) Lace and embroidery, ribbons and braid; buttons, hooks and eyes, pins and needles; artificial flowers; hair decorations; false hair;

(27) Carpets, rugs, mates and matting, linoleum and other materials for covering existing floors; wall hangings (nontextile);

(28) Games, toys and playthings; video game apparatus; gymnastic and sporting articles not included in other classes; decorations for Christmas trees;

(29) Meat, fish, poultry and game; meat extracts; preserved, frozen, dried and cooked fruits and vegetables; jellies, jams, fruit sauces; eggs, milk and milk products; edible oils and fats;

(30) Coffee, tea, cocoa, sugar, rice, tapioca, sago, artificial coffee; flour and preparations made from cereals, bread, pastry and confectionery, honey, treacle; yeast, baking powder, salt, mustard; vinegar, sauces (condiments); spices; ice;

(31) Raw and unprocessed agricultural, aquacultural, horticultural and forestry products and grains not included in other classes; live animals; raw and unprocessed grains and seeds; fresh fruits and vegetables; bulbs, seedlings and seeds for planting; natural plants and flowers; foodstuffs for animals, malt;

(32) Beers; mineral and aerated waters and other nonalcoholic drinks; fruit drinks and fruit juices; syrups and other preparations for making beverages;

(33) Alcoholic beverages (except beers); alcoholic preparations for making beverages;

(34) Tobacco and tobacco substitutes; smokers' articles; matches; electronic cigarettes and oral vaporizers for smokers;

(35) Advertising; business management; business administration; office functions;

(36) Financial, monetary and banking services; insurance services; real estate affairs;

(37) Building construction; repair; installation services; mining extraction; oil and gas drilling;

(38) Telecommunication services;

(39) Transport; packaging and storage of goods; travel arrangement;

(40) Treatment of materials; recycling of waste and trash; air purification and treatment of water; printing services;

(41) Education; providing of training; entertainment; sporting and cultural activities;

(42) Scientific and technological services and research and design relating thereto; industrial analysis, research and design services; quality control and authentication services; design and development of computer hardware and software;

(43) Services for providing food and drink; temporary accommodations;

(44) Medical services; veterinary services; hygienic and beauty care for human beings or animals; agriculture, horticulture and forestry services; or

(45) Legal services; security services for the physical protection of tangible property and individuals; personal and social services rendered by others to meet the needs of individuals; security services for the protection of property and individuals.

History

RELATES TO: KRS 365.593
STATUTORY AUTHORITY: KRS 365.593
NECESSITY, FUNCTION, AND CONFORMITY: KRS 365.593 requires the Secretary of State to promulgate an administrative regulation establishing a system for classifying goods and services for purposes of application for registration of trademarks and service marks. To the extent practical, the Secretary of State is required to follow the classification of goods and services adopted by the U.S. Patent and Trademark Office. This administrative regulation establishes a system of classification of goods and services conforming 37 C.F.R. 6.1 and the U.S. Patent and Trademark Office Trademark Manual of Examining Procedure section 1401.
History: 20 Ky.R. 3208; eff. 8-4-1994; 29 Ky.R. 2722; eff. 7-17-2003; 48 Ky.1218; eff. 4-5-2022.

Chapter 5 Implementation of Revised Article 9

30 KAR 5:011 Definitions for 30 KAR Chapter 5 {#sec-30-kar-5-011 omnilex-key=us-ky-regs-official--title-30--30 KAR 5:011}

Section 1. Definitions.

(1) "Active Record" means a UCC record stored in the UCC information management system and indexed in, but not yet removed from, the searchable index.

(2) "Address" means either:

(a) A street address, route number, or post office box number plus the city, state, and zip code; or

(b) An address that purports to be a mailing address outside of the United States of America.

(3) "Amendment" means a UCC record that relates to an initial financing statement, including party or collateral changes, assignments, continuations, and terminations.

(4) "Assignment" means an amendment that assigns all or part of a secured party's power to authorize an amendment to a financing statement.

(5) "Delivery" means communication of a tangible UCC record.

(6) "Filer" means a person who communicates a UCC record to the filing office for filing.

(7) "Filing office" means the Office of the Kentucky Secretary of State.

(8) "Filing office statement" means a statement entered into the filing office's information management system to correct an error made by the filing office.

(9) "Information statement" means a UCC record that indicates a financing statement is inaccurate or wrongfully filed.

(10) "Individual debtor name" means any name provided as a debtor name in a UCC record in a format that identifies the name as that of the debtor who is an individual, without regard to the nature or character of the name or to the nature or character of the actual debtor.

(11) "Initial financing statement" means a UCC record that causes the filing office to establish the initial record of filing of a financing statement.

(12) "Remitter" means a person who delivers a tangible UCC record to the filing office for filing and awaits an immediate determination as to whether the UCC record will be accepted or rejected.

(13) "Searchable index" means the retrievable list of individual debtor names and organization debtor names together with associated file numbers the filing office maintains in the UCC information management system as active records.

(14) "Secured party of record" means a secured party as defined in KRS 355.9-102(1)(bu) who meets the additional requirements established in KRS 355.9-511.

(15) "Tangible UCC record" means a UCC record that has been printed on paper.

(16) "Time of filing" means the time of day on the date a UCC record is deemed filed under this administrative regulation.

(17) "UCC" means the Uniform Commercial Code as adopted in the Commonwealth of Kentucky in KRS Chapter 355.

(18) "UCC information management system" means the computer system used by the filing office to store, index, and retrieve information relating to financing statements as required by 30 KAR 5:041.

(19) "UCC record" means an initial financing statement, an affidavit of wrongfully filed record, an amendment, a filing office statement, or an information statement and includes a record thereof maintained by the filing office, whether tangible or electronic.

(20) "Unlapsed record" means a UCC record that has been stored and indexed in the UCC information management system and that has not yet lapsed under KRS 355.9-515 with regard to all secured parties of record.

History

RELATES TO: KRS Chapter 355.9
STATUTORY AUTHORITY: KRS 355.9-526(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 355.9-526(1) requires the Secretary of State to promulgate administrative regulations implementing KRS Chapter 355.9. This administrative regulation establishes the definitions for those administrative regulations.
History: 48 Ky.R. 1964, 2376; eff. 5-31-2022.

30 KAR 5:021 Filing methods and forms {#sec-30-kar-5-021 omnilex-key=us-ky-regs-official--title-30--30 KAR 5:021}

Section 1. UCC records may be communicated to the filing office as follows:

(1) Direct data entry using the online filing system of the filing office. The time of filing for a UCC record communicated by this method shall be when the entry of all required elements of the UCC record in the proper format is accepted by the online filing system.

(2) Email to the email address designated by the filing office website. The time of filing for a UCC record communicated by this method shall be when the email communicating the UCC record is first received by the filing office.

(3) Personal delivery by remitter at the physical address of the filing office. The time of filing for a UCC record delivered by this method shall be when a UCC record is accepted for filing by the filing office.

(4) Delivery of a UCC record other than by remitter at the filing office physical address. The time of filing for a UCC record delivered by this method shall be 4:30 p.m. on the date the record was delivered to the filing office.

Section 2.

(1) Information submitted to the filing office shall be provided using only characters that appear on the American standard keyboard. A financing statement or amendment form shall designate separate fields for:

(a) Organization names; and

(b) Individual names. Individual name fields shall include surname, first personal name, additional names, initials, and suffixes for individual names.

(2)

(a) The appropriate box on a financing statement shall be marked to indicate when:

An initial financing statement is being filed in connection with a manufactured home;
An initial financing statement is being filed in connection with a public finance transaction; or
An initial financing statement is being filed against a debtor that is a transmitting utility.

(b) If the requirements of this subsection are not met, the filing shall not affect the filing office's determination of the lapse date under 30 KAR 5:041, Section 7.

Section 3. Paper-based forms identified in Section 6 of this administrative regulation, or any form that is substantially the same, shall be utilized for the purpose for which the form is designated.

Section 4. Filing fees may be paid by the following methods:

(1) Debit and credit cards issued by approved issuers;

(2) Electronic checks processed under National Automated Clearing House Association ("NACHA") rules and arrangements;

(3) Prepaid account upon the submission and approval of an Application for Prepaid Account and payment of an amount not less than $250;

(4) Personal checks, cashier's checks, certified checks, and money orders made payable to the Kentucky State Treasurer;

(5) Cash; and

(6) Interaccount from Kentucky state agencies.

Section 5.

(1) The filing fee for a UCC record shall be determined by KRS 355.9-525.

(2) The filing office shall refund the amount of an overpayment.

Section 6. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Prepaid Account" (10/5/11);

(b) "UCC Financing Statement (Form UCC1), International Association of Commercial Administrators (IACA)" (Rev. 4/20/11);

(c) "UCC Financing Statement Addendum (Form UCC1Ad), International Association of Commercial Administrators (IACA)" (Rev. 4/20/11);

(d) "UCC Financing Statement Additional Party (Form UCC1AP), International Association of Commercial Administrators (IACA)" (Rev. 8/22/11);

(e) "UCC Financing Statement Amendment (Form UCC3), International Association of Commercial Administrators (IACA)" (Rev. 4/20/11);

(f) "UCC Financing Statement Amendment Addendum (Form UCC3Ad), International Association of Commercial Administrators (IACA)" (Rev. 4/20/11);

(g) "UCC Financing Statement Amendment Additional Party (Form UCC3AP), International Association of Commercial Administrators (IACA)" (Rev. 8/22/11);

(h) "Information Statement (Form UCC5), International Association of Commercial Administrators (IACA)" (Rev. 7/19/12);

(i) "Information Request (Form UCC11)" (Rev. 7/19/12);

(j) "Affidavit of Wrongfully Filed Record" (9/16/21); and

(k) "Request for Secured Party Name Search Form" (6/21).

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the office of the Secretary of State, Office of Business Services, Records Section, 700 Capital Avenue, State Capitol, Suite 152, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m.

(3) This material is also available on the Secretary of State's Web site at https://www.sos.ky.gov/bus/UCC/Pages/UCC-Forms.aspx.

History

RELATES TO: KRS 355.9, 355.9-516, 355.9-521, 355.9-525
STATUTORY AUTHORITY: KRS 355.9-526(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 355.9-526(1) requires the Secretary of State to promulgate administrative regulations implementing KRS Chapter 355.9. This administrative regulation establishes the general provisions for 30 KAR Chapter 5 governing delivery, approved forms, payments and public services.
History: 48 Ky.R. 1965, 2376; eff. 5-31-2022.

30 KAR 5:031 Acceptance and refusal of records {#sec-30-kar-5-031 omnilex-key=us-ky-regs-official--title-30--30 KAR 5:031}

Section 1. The filing office shall refuse to accept a UCC record for any reason, or multiple reasons pursuant to KRS 355.9-516. The filing office may refuse to accept a UCC record pursuant to KRS 355.9-516A.

Section 2. Except for UCC records rejected under KRS 355.9-516A, the duties and responsibilities of the filing office with respect to the administration of the UCC shall be ministerial. In accepting for filing or refusing to file a UCC record the filing office shall not:

(1) Determine the legal effect of the UCC record;

(2) Determine that information in the record is correct or incorrect, in whole or in part; or

(3) Create a presumption that information in the record is correct or incorrect, in whole or in part.

Section 3.

(1) A continuation statement may be filed six (6) months preceding the month in which the financing statement would lapse and on the date that corresponds with the date the financing statement would lapse or if there is no corresponding date, on the last day of that month.

(2) The last day on which a continuation statement may be filed shall be the date upon which the related financing statement lapses, or the next business day the filing office is open for business.

Section 4.

(1) If the filing office finds grounds to refuse a UCC record, the filing office shall refund the filing fee and return the record or a copy of the record in accordance with KRS 355.9-520(2).

(2) The reason or reasons for the refusal and other related information shall be made to the filer as soon as practicable, but no later than two (2) business days after the refused UCC record was received by the filing office. This information shall be provided by the same method by which the UCC record was communicated to the filing office, by mail, or by a more expeditious means.

(3) Records of refusal, including a copy of the refused UCC record and the grounds for refusal, shall be maintained until the first anniversary of the lapse date that applies or would have applied to the related financing statement, assuming that the refused record had been accepted and filed.

Section 5. The filing office may communicate to a filer that the filing office noticed potential defects in a UCC record, whether or not it was filed or refused for filing.

Section 6. If a filer believes that a UCC record that was refused for filing should not have been refused, the filer may contact the filing office to request a review of the refusal decision. The filer shall provide a copy of the refused record and a statement of the basis for the belief that the filing office wrongfully refused to file the record. Upon receipt of a request for review, the filing office shall investigate the claim. If the filing office confirms that the record should have been refused, the filing office shall provide a written explanation of the grounds for refusal. If it is determined that the filing office refused to accept the record in error, the filing office shall file the UCC record with the filing date and time the UCC record was originally communicated for filing. A filing office statement relating to the relevant financing statement shall be placed in the UCC information management system on the date that the corrective action was taken. The filing office statement shall provide the date of the correction and explain the nature of the corrective action taken. The record shall be preserved for so long as the record of the financing statement maintained in the UCC information management system.

History

RELATES TO: KRS 355.9-513A, 355.9-515, 355.9-516, 355.9-516A, 355.9-520, 446.030
STATUTORY AUTHORITY: KRS 355.9-526(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 355.9-526(1) requires the Secretary of State to promulgate administrative regulations implementing KRS Chapter 355.9. This administrative regulation establishes the requirements relating to the acceptance and refusal of records.
History: 48 Ky.R. 1967, 2377; eff. 5-31-2022.

30 KAR 5:041 UCC Information management system {#sec-30-kar-5-041 omnilex-key=us-ky-regs-official--title-30--30 KAR 5:041}

Section 1. The filing office shall use an information management system to store, index, and retrieve information relating to financing statements.

Section 2.

(1) Individual debtor names shall be stored in data files that include only the individual debtor names, and not organization debtor names. Separate data entry fields shall be established for surnames, first personal names, and additional names or initials and suffixes.

(2) The filing office shall enter a name into the corresponding data entry field of the UCC information management system exactly as it appears on a UCC record.

(3) Individual name fields in the UCC information management system shall be fixed to fifty (50) characters in length by the filing office. A name that exceeds the fixed length shall be truncated after it exceeds the maximum length of the data entry field.

Section 3.

(1) Upon the filing of an amendment, the names of the parties indexed in the UCC information management system shall remain unchanged, except that in the case of an amendment that adds a debtor or a secured party, the new debtor or new secured party shall be added to the appropriate index and associated with the record of the financing statement in the UCC information management system. An amendment that designates an assignee shall cause the assignee to be added as a secured party of record with respect to the affected financing statement in the UCC information management system. The filing of an amendment that deletes a debtor or a secured party from a financing statement shall not delete data from the UCC information management system.

(2) Except in the case of a continuation statement, the filing of an amendment shall not affect the period of effectiveness of the financing statement.

Section 4. The filing of a termination statement shall not cause an active record to be removed from the searchable index.

Section 5. An information statement may be filed prior to the lapse of the financing statement to which it relates but shall not have an effect upon the information indexed in the UCC information management system.

Section 6. A filing office statement shall affect the indexing of parties and of the relevant financing statement as provided in the corrective action described in the filing office statement.

Section 7. If no timely filing of a continuation statement is filed, a financing statement lapses on its lapse date but shall remain indexed as an active record for one (1) year, after which the filing office shall remove the financing statement and all related UCC records from the searchable index. Upon the removal from the searchable index, the removed UCC records shall cease to be active records.

History

RELATES TO: KRS Chapter 355.9-515, 355.9-519, 355.9-526
STATUTORY AUTHORITY: KRS 355.9-526(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 355.9-526(1) requires the Secretary of State to promulgate administrative regulations implementing KRS Chapter 355.9. This administrative regulation establishes the requirements for the UCC information management system.
History: 48 Ky.R. 1968, 2378; eff. 5-31-2022.

30 KAR 5:051 Filing, indexing, and data entry procedures {#sec-30-kar-5-051 omnilex-key=us-ky-regs-official--title-30--30 KAR 5:051}

Section 1. Data shall be entered into the UCC information management system exactly as provided in a UCC record, without regard to apparent errors.

Section 2. The filing office shall compare data from tangible UCC records with data entered by the filing office to verify accurate data entry.

Section 3. The filing office shall not take any action upon receipt of a notification, formal or informal, of a bankruptcy proceeding involving a debtor named in the UCC information management system.

Section 4. The filing office shall, to the extent reasonably possible, redact certain personal information from the information it provides to searchers and bulk data purchasers in accordance with applicable privacy and identity theft protection laws.

Section 5. The filing office may correct data entry and indexing errors of filing office personnel in the UCC information management system at any time. If a correction is made to a UCC record the filing office shall associate a filing office statement with the corrected UCC record in the UCC information management system on the date that the corrective action was taken. The filing office statement shall provide the date the filing office statement was filed and an explanation of the correction.

History

RELATES TO: KRS 355.9-515, 355.9-519, 355.9-526
STATUTORY AUTHORITY: KRS 355.9-526(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 355.9-526(1) requires the Secretary of State to promulgate administrative regulations implementing KRS Chapter 355.9. This administrative regulation establishes requirements relating to filing, indexing, and data entry procedures.
History: 48 Ky.R. 1970, 2378; eff. 5-31-2022.

30 KAR 5:060 Search requests, reports, and copies {#sec-30-kar-5-060 omnilex-key=us-ky-regs-official--title-30--30 KAR 5:060}

Section 1. The filing office shall maintain a searchable index of active records in the UCC information management system. Active records shall be retrievable by the name of the debtor or by the file number of the related initial financing statement.

Section 2.

(1) A request for certified search results shall be submitted on a completed UCC Information Request Form UCC-11, incorporated by reference in 30 KAR 5:021, together with the fee in accordance with KRS 355.9-525(3). A search request shall be processed using the data and designated fields exactly as submitted, including the submission of no data in a given field.

(a) A search request submitted under this subsection may include the following:

A request for copies; and
A request for all unlapsed records retrieved by the search, rather than only active records.

(b) A search request submitted under this subsection may specify a method of delivery for search results. This request shall be honored if the requested method is acceptable to the filing office, and provided by the requesting party together with all prepaid fees.

(2) A request for uncertified search results may be submitted online through the filing office Web site on the Web page designated by the filing office for that purpose.

(3) A request for search results by secured party name may be submitted on a Request for Secured Party Name Search Form, incorporated by reference in 30 KAR 5:021.

Section 3.

(1) Search results shall be produced by the application of search logic to the name provided by the requesting party.

(2) The requirements established in this subsection shall describe the filing office's standard search logic and shall apply to all searches.

(a) There shall not be a limit to the number of matches that may be returned in response to the search criteria.

(b) A distinction shall not be made between upper and lower case letters.

(c) The character "&" (the ampersand) shall be deleted and replaced with the word "and" each place it appears in the name.

(d) Punctuation marks and accents shall be disregarded. For the purposes of this administrative regulation, punctuation and accents include all characters other than the numerals zero through nine (9) and the letters A through Z, in any case, of the English alphabet.

(e) The word "the" at the beginning of an organization debtor name shall be disregarded.

(f) All spaces shall be disregarded.

(g) For first personal name and additional names or initials of individual debtor names, initials shall be treated as the logical equivalent of all names that begin with those initials, and first personal name and no additional names or initials shall be equated with all additional names or initials. For example, a search request for "John A. Smith" shall cause the search to retrieve all filings against all individual debtors with "John" or the initial "J" as the first personal name, "Smith" as the surname, and with the initial "A" or any name beginning with "A" in the additional names or initials field. If the search request is for "John Smith" (first personal name and surnames with no designation in the additional names or initials field), the search shall retrieve all filings against individual debtors with "John" or the initial "J" as the first personal name, "Smith" as the surname, and with any name or initial or no name or initial in the additional names or initials field.

(h) If the name being searched is the surname of an individual debtor name without any first personal name or additional names or initials provided, the search shall retrieve from the UCC information management system all financing statements with individual debtor names that consist of only the surname.

(i) The following words, phrases, or abbreviations shall be disregarded from the end of an organization name to the beginning of that organization name until an unlisted word, phrase, or abbreviation appears:

"agency";
"association";
"assn";
"associates";
"assoc";
"assc";
"attorney at law";
"attorneys at law";
"bank";
"national bank";
"na";
"business trust";
"charter";
"chartered";
"company";
"co";
"cooperative";
"coop";
"corporation";
"corp";
"credit union";
"cu";
"federal credit union";
"fcu";
"federal savings bank";
"fsb";
"general partnership";
"gen part";
"gp";
"incorporated";
"inc";
"limited";
"ltd";
"ltee";
"limited liability company";
"lc";
"llc";
"limited liability limited partnership";
"lllp";
"limited liability partnership";
"llp";
"limited partnership";
"lp";
"medical doctors professional association";
"mdpa";
"medical doctors professional corporation";
"mdpc";
"national association";
"partners";
"partnership";
"professional association";
"prof assn";
"pa";
"professional service corporation";
"professional service corp";
"prof service corporation";
"prof service corp";
"professional corporation";
"prof corp";
"pc";
"professional limited liability company";
"pllc";
"public benefit corporation";
"public benefit corp";
"pbc";
"public benefit";
"real estate investment trust";
"registered limited liability partnership";
"rllp";
"savings association";
"sa";
"sole proprietorship";
"sp";
"spa";
"trust";
"trustee"; and
"as trustee".

(j) After using the requirements outlined in paragraphs (a) through (i) of this subsection to modify the name being searched, the search shall retrieve from the UCC information management system all unlapsed records, or, if requested by the searcher, all active records, that pertain to financing statements with debtor names that, after being modified as provided in this administrative regulation, exactly match the modified name being searched.

Section 4.

(1) A response to a search request shall include the following:

(a) A list of all UCC records retrieved by the search;

(b) Identification of the filing office responsible for the search response;

(c) The date and time at, or prior to, which a UCC record was filed with the filing office in order for it to be reflected on the search;

(d) The name or names searched; and

(e) Digital images of all UCC records retrieved by the search in .pdf or .tiff format. Any images not available may be requested from the filing office.

(2) In addition to the information provided under subsection (1) of this section, a response to a request for certified search results shall contain the following in a Standard Search Certificate and Report:

(a) A certificate number;

(b) The date on which the search was certified by the filing office; and

(c) The scope of the search, indicating whether the requesting party has requested active records or only unlapsed records.

(3) A response to a request for a secured party name search shall include only active records and shall not be certified.

Section 5. UCC records and data shall be provided to the public by the following methods:

(1) Copies of individually identified documents shall be provided in digital .pdf format at no charge unless paper copies are specifically requested. Paper copies shall be assessed at the rate of $0.50 cents per page. A request for paper copies shall include a mailing address where the requested copies shall be mailed. Copies may be certified for an additional fee of five (5) dollars.

(2) Bulk data related to UCC filings may be obtained through subscription as directed by the Web site of the Office of the Secretary of State and shall be made available under the terms and conditions of the subscriber agreement.

History

RELATES TO: KRS 355.9-519, 355.9-523, 355.9-525
STATUTORY AUTHORITY: KRS 355.9-526(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 355.9-526(1) requires the Secretary of State to promulgate administrative regulations implementing KRS Chapter 355.9. This administrative regulation establishes the procedures for public access to UCC records.
History: 28 Ky.R. 1001; Am. 1348; eff. 12-19-2001; 40 Ky.R. 353; 781; eff. 11-1-2013; 43 Ky.R. 2182; 44 Ky.R. 214; eff. 9-1-2017; 48 Ky.R. 1822, 2379; eff. 5-31-2022.

Chapter 7 Occupational License Fees

30 KAR 7:011 Standard form for occupational license fee return {#sec-30-kar-7-011 omnilex-key=us-ky-regs-official--title-30--30 KAR 7:011}

Section 1. Definitions.

(1) "Business entity" is defined by KRS 67.750(1).

(2) "Tax district" is defined by KRS 67.750(10).

Section 2. A business entity shall:

(1) Follow the filing requirements specified by the business entity's local tax district; and

(2) Use the Form OL-S, Single Tax District, Occupational License Fee Return and Instructions to report business and occupational license taxes to the business entity's local tax district, if so required.

Section 3. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Form OL-S, Single Tax District, Occupational License Fee Return", July 8, 2016; and

(b) "General Instructions for Form OL-S for a Single Tax District", July 8, 2016.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Secretary of State's office, 700 Capital Avenue, State Capitol, Suite 152, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m., or may be obtained from the Secretary of State's Web site at http://www.sos.ky.gov.

History

RELATES TO: KRS 67.750, 67.767
STATUTORY AUTHORITY: KRS 67.767(1)(a)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 67.767(1)(a) requires the Secretary of State to promulgate an administrative regulation prescribing a standard form that shall be accepted by all tax districts and shall allow for returns of net profits and gross receipts occupational license taxes by all business entities, as well as instructions for completing the form. This administrative regulation prescribes the standard form for occupational license tax returns and form instructions as mandated by KRS 67.767(1)(a).
History: 50 Ky.R. 2110; eff. 10-1-2024.

30 KAR 7:020 Standard form occupational license fee returns for dual tax districts {#sec-30-kar-7-020 omnilex-key=us-ky-regs-official--title-30--30 KAR 7:020}

Section 1. Definitions.

(1) "Business entity" is defined by KRS 67.750(1).

(2) "Tax district" is defined by KRS 67.750(10).

Section 2. A business entity shall:

(1) Follow the filing requirements specified by the business entity's local tax district; and

(2) Use the Form OL-D, Dual Tax District, Occupational License Fee Return, and the General Instructions for Form OL-D for a Dual Tax District to report business and occupational license taxes to the business entity's local tax district, if so required.

Section 3. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Form OL-D, Dual Tax District, Occupational License Fee Return", November 2016; and

(b) "General Instructions for Form OL-D for a Dual Tax District", November 2016.

History

RELATES TO: KRS 67.750, 67.767
STATUTORY AUTHORITY: KRS 67.767(1)(a)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 67.767(1)(a) requires the Secretary of State to promulgate an administrative regulation prescribing a standard form that shall be accepted by all tax districts and shall allow for returns of net profits and gross receipts occupational license taxes by all business entities, as well as instructions for completing the form. This administrative regulation prescribes the standard form for occupational license tax returns for dual tax districts and form instructions as mandated by KRS 67.767(1)(a).
History: 43 Ky.R. 1113; eff. 3-3-2017; Cert. eff. 2-27-2024.

Chapter 8 Notary Public

30 KAR 8:005 Notary public application; requirements for notarial acts performed with respect to electronic records and for remotely located individuals; notary public discipline {#sec-30-kar-8-005 omnilex-key=us-ky-regs-official--title-30--30 KAR 8:005}

Section 1. Definitions.

(1) "Digital Certificate" means an electronic record, issued by a third-party certificate authority, which certifies the ownership of a public key, rendering an electronic document as tamper-evident.

(2) "Electronic record" means information contained in or on a medium that requires electricity to be perceived.

(3) "Notary technology" means an electronic device or process that allows a notary public to perform notarial acts with regard to electronic documents with or without the use of communication technology.

(4) "Online notary public" means a notary public who has registered to perform electronic notarizations.

(5) "Tangible record" means information contained in or on a medium, whether an original or duplicate, that can be perceived without the requirement of electricity.

Section 2. Notary Public Application, Approval or Denial of Application, Voluntary Termination, and Required Notice of Change of Information.

(1) Application. An application for a commission as a notary public shall be submitted on a form provided for that purpose by the Office of the Secretary of State or submitted on an electronic portal established by the Office of the Secretary of State for that purpose. A person who executes an application for filing with the Secretary of State shall be deemed to have declared under penalty of perjury that to the person's knowledge, the contents of the application are true. Every application for a notarial commission shall include:

(a) The full legal name of the applicant;

(b) The email address of the applicant;

(d) The signature of the applicant;

(e) The county for which the application is being made;

(f) The physical and mailing address within the county of application where the applicant resides or is employed;

(g) A statement of whether the applicant has previously held a notary commission, the name under which the applicant was previously commissioned, and the date at which the most recent commission expired;

(h) A statement that the applicant is at least eighteen years of age;

(i) A statement that the applicant is a citizen or permanent legal resident of the United States;

(j) A statement that the applicant is able to read and write English;

(k) A statement identifying the surety provider from which the applicant intends to obtain surety;

(l) A statement that the applicant is not disqualified from becoming a notary public under the provision of KRS Chapter 423 or this administrative regulation;

(m) A statement that the applicant is not disqualified for any reason under Section 2(3)(a)-(f) of this administrative regulation; and

(n) Payment of the required fee.

(2) Approval or Denial of Application. Approval of Application. If the applicant has complied with the provisions of KRS Chapter 423 and this administrative regulation, the application shall be approved. A notary commission shall be effective as of the date of entry of that commission in the database of notaries public on the website of the Secretary of State.

(3) Disapproval of Application. The Secretary of State may disapprove the application for the following reasons:

(a) The applicant's failure to comply with KRS Chapter 423 or the provisions of this administrative regulation or the existence of a pending inquiry regarding the applicant's failure to comply with KRS Chapter 423 or this administrative regulation;

(b) Any information required under this administrative regulation is missing, inaccurate, incomplete, or cannot be independently verified;

(d) A finding against, or admission of liability by, the applicant in any legal proceeding or disciplinary action based on the applicant's fraud, dishonesty, or deceit;

(e) The denial, refusal to renew, revocation, or suspension of an applicant's notary commission or registration in another state; or

(f) Failure of the applicant to maintain the required surety bond.

(4) If the application or registration is disapproved, the Secretary of State shall state the reasons for the disapproval.

(5) Voluntary Termination of Notary Commission. A notary public may terminate his or her commission by notifying the Office of the Secretary of State of that intent, in writing at: Secretary of State, Division of Corporations, Notary Commissions, P.O. Box 821, Frankfort, Kentucky 40602 or on any electronic portal created by the Office of the Secretary of State for that purpose. Submission of a notification of termination of a notary commission shall automatically terminate any notary registration.

(6) Change of Information. A notary public shall notify the Office of the Secretary of State, in writing at: Secretary of State, Division of Corporations, Notary Commissions, P.O. Box 821, Frankfort, Kentucky 40602, on a form promulgated by the Office of the Secretary of State for that purpose or on any electronic portal created by the Office of the Secretary of State for that purpose, during the period of the notary's commission and within ten (10) days of the change in any of the following information:

(a) The notary's mailing, physical or electronic mail address;

(b) The notary's county of residence;

(d) The notary's signature;

(e) The notary's electronic signature, if any; or

(f) The notary technology used by the notary public.

Section 3. Registration to Perform Notarial Acts with Respect to Electronic Records and Electronic Notarizations.

(1) Authority to perform electronic and online notarial acts. A notary public shall register to perform notarial acts with respect to electronic records by: submitting the following information to the Secretary of State:

(a) The registrant's full legal name;

(b) The county in which the registrant resides or has his or her place of employment or practice in this Commonwealth;

(d) The registrant's notary identification number and the expiration date of the registrant's notary commission;

(e) The electronic mail address and mailing address where the registrant resides or is employed;

(f) An indication of whether the registrant is registering to perform notarial acts with respect to electronic records or electronic notarizations, or both;

(g) A description of the notary technology that the registrant intends to use to perform notarial acts with respect to electronic records or electronic notarizations, or both, including the technologies or devices to maintain the journal required under KRS 423.380 and to render electronic records tamper-evident after a notarial act is completed;

(h) A copy of the registrant's electronic signature, the digital certificate required under Section 4 of this administrative regulation, the official stamp, if any, along with any necessary instructions or techniques supplied by a vendor or notary that allows the signature and stamp to be read and authenticated in a portable document format (.pdf);

(i) The name, address, and Web site URL of any vendors or other persons that shall directly supply the registrant with technology that he or she intends to use;

(j) A statement of whether the notary technology provider has registered with the Secretary of State;

(k) A copy of any necessary instructions or techniques supplied by a vendor that allow the registrant to conduct identity proofing and credential analysis;

(l) An explanation of the methods or technology by which the registrant shall maintain and store the journal required by KRS 423.380;

(m) A statement that the technologies or devices named in the registration are compliant with KRS Chapter 423 and this administrative regulation;

(n) A copy of the registrant's surety bond in the amount of $1,000; and

(o) A disclosure of any convictions, professional license or commission revocations, professional disciplinary actions, or other disqualifying actions or proceedings taken under the laws of any state against the registrant.

(2) Submission of registration form. The registration form shall be submitted electronically to the Secretary of State as provided by information posted on the Secretary of State's Web site at https://sos.ky.gov/.

(3) Use of additional vendors. If, during the term of his or her commission, a notary public intends to use the technologies of a vendor or person other than those identified in subsection (1)(i) of this Section, then an additional notification identifying the other vendors or persons shall be submitted to the Secretary of State as provided in this Section and in accordance with the manner established by the Secretary of State as posted on the Secretary of State's Web site at https://sos.ky.gov/.

(4)

(a) Approval or disapproval by the Secretary of State. Approval of registration. If the registrant has complied with the provisions of KRS Chapter 423 and this administrative regulation, the registration to perform notarial acts with respect to electronic records shall be approved within thirty (30) days of its submission. A registration shall be effective as of the date of entry of that registration in the database of the Secretary of State.

(b) Disapproval of registration. The Secretary of State may disapprove and reject a registration for the following reasons:

The registrant's failure to comply with KRS Chapter 423 or the provisions of this administrative regulation or a pending inquiry regarding the registrant's failure to comply with KRS Chapter 423 or this administrative regulation;
Any information required under this Section is missing, inaccurate, or incomplete;
A fraudulent, dishonest, or deceitful misstatement or omission in the submitted registration;
A finding against, or admission of liability by, the registrant in any legal proceeding or disciplinary action based on the registrant's fraud, dishonesty, or deceit;
Denial, refusal to renew, revocation, or suspension of a notary commission or registration in another state; or
Failure of the registrant to maintain a surety bond in the amount of $1,000.

(5) If the registration is disapproved, the Secretary of State shall state the reasons for the disapproval.

(6) Termination of electronic registration. A notary public may terminate an electronic registration by notifying the Office of the Secretary of State of that intent, in writing at: Secretary of State, Division of Corporations, Notary Commissions, P.O. Box 821, Frankfort, Kentucky 40602 or on any electronic portal created by the Office of the Secretary of State for that purpose. Termination of a notary's electronic registration shall not terminate his or her commission.

(7) Renewal of commission. The renewal of the commission of a notary public who has previously registered to perform notarial acts with regard to electronic records or online notarizations under this Section constitutes renewal of his or her registration without the necessity of submitting another registration pursuant to this Section.

(8) Updated technology. Nothing in this Section shall be construed to prohibit a notary public from receiving, installing, or using a hardware or software update to the technologies that he or she identified under this Section if the hardware or software update does not result in technologies that are materially different from the technologies that the notary public identified.

Section 4. Standards for the Performance of Notarial Acts with Respect to Electronic Records.

(1) Tamper-evident technology requirements. A notary public shall select one (1) or more tamper-evident technologies to perform notarizations with regard to electronic records. No person shall require a notary public to use a technology that the notary public has not selected. The tamper-evident technology shall consist of a digital certificate complying with the X.509 standard adopted by the International Telecommunication Union or a similar industry-standard technology. A notary public shall attach or logically associate his or her electronic signature and official stamp, if any, to an electronic record that is the subject of a notarial act by use of the digital certificate. A notary public shall not perform an electronic notarization if the digital certificate:

(a) Has expired;

(b) Has been revoked or terminated by the issuing or registering authority;

(d) Is incapable of authentication.

(2)

(a) Requirements of official stamp. A notary public shall not be required to use an official stamp when performing notarial acts with respect to electronic records.

(b) A notary public who uses an official stamp shall use the same unique official stamp for all notarial acts with respect to electronic records that are performed for an individual that is not remotely located. An official stamp under this Section is an official seal of office of the notary public for all purposes. An official stamp shall conform to the following requirements:

Required information. An official stamp shall substantially conform to a rectangular or circular seal design and shall include the name of the notary public as it appears on his or her commission, the notary's commission number, the commission expiration date, and the words "Commonwealth of Kentucky" and "Notary Public".
Format and size. When affixed to an electronic record, an official stamp shall be clear, legible, and photographically reproducible. An official stamp shall not be required to be within a minimum or maximum size when photographically reproduced on an electronic record.

(3) If a notary public elects not to use an official stamp when performing notarial acts with respect to electronic records, the certificate of the notarial act on the electronic record shall:

(a) Contain the name of the notary public as it appears on his or her commission;

(b) Indicate the title "Notary Public" for any notarial act with respect to electronic records; and

(4) Use of electronic signature and stamping device. A notary public shall be responsible for the security of his or her stamping device and shall not allow another individual to use the device to perform a notarial act. A notary public shall take reasonable steps to maintain the security of the notary signature and stamping device and shall not disclose any access information used to affix his or her electronic signature or official stamp to electronic records, except:

(a) When requested by the Secretary of State or a law enforcement officer;

(b) When required by court order or subpoena; or

(c) Pursuant to an agreement to facilitate notarial acts with a vendor or other technology provider identified in Section 5(6)(a) of this administrative regulation.

(5)

(a) Protection against theft, alteration, or misuse. A notary public shall not allow any other individual to alter or use his or her electronic signature, notary technology, official stamp, or stamping device to perform a notarial act.

(b) Upon resignation, revocation, or expiration of the notary's commission, his or her notary technology and electronic stamping device (including any coding, disk, digital certificate, card, software, or password that enables the notary public to attach or logically associate the notary's electronic signature or official stamp to an electronic record) shall be destroyed or disabled to prohibit its use by any other person. A former notary public whose commission terminated for a reason other than revocation or denial of renewal is not required to destroy his or her notary technology or electronic stamping device if the former notary public is recommissioned as a notary public within thirty (30) days after the termination of his or her former commission.

(c) A notary public shall promptly notify the Secretary of State on actual knowledge of the theft or vandalism of the notary's notary technology or electronic stamping device. A notary public shall promptly notify the Secretary of State on actual knowledge of the unauthorized use by another person of the notary's electronic signature, notary technology, or electronic stamping device.

(6) Tangible copies of an electronic record. A notary public may certify that a tangible copy of an electronic record is an accurate copy of the electronic record if the notary has taken reasonable steps to confirm the accuracy of that certification.

Section 5. Standards for Electronic Notarizations.

(1) Notarial acts with respect to electronic records. In performing electronic notarizations, an online notary public shall comply with the registration requirements in Section 3 and the standards for notarial acts with respect to electronic records in Section 4 of this administrative regulation.

(2) If used for electronic notarizations, an online notary public may use an official stamp that shall contain the words "Online Notary Public" in lieu of the words "Notary Public." A stamp that contains the words "Online Notary Public" shall only be used to perform notarizations with regard to remotely located individuals.

(3) Physical location. An online notary public shall be physically located in this Commonwealth at the time of the performance of the online notarization.

(4) Identity proofing. An online notary public shall have satisfactory evidence of the identity of a remotely located individual if the online notary public has personal knowledge of the identity of the individual. If an online notary public does not have personal knowledge of the identity of a remotely located individual, the online notary public shall reasonably verify the individual's identity through at least two (2) different types of identity proofing processes or services. Those processes shall include remote presentation of an appropriate government-issued identification card that contains the signature and photograph of the remotely located individual, credential analysis of that government-issued identification card by a service or process that analyzes the person's identity credential, binds the individual's identity to the individual following a successful dynamic knowledge-based authentication assessment, and permits the notary to visually compare the identity credential and the individual. The analysis of the government-issued identification card and the dynamic knowledge-based authentication assessment shall conform to the following requirements:

(a) Credential analysis. The analysis of a government-issued identification card shall use public or private data sources to confirm the validity of the identity that is the subject of remote presentation by a remotely located individual and, at a minimum, shall:

Use automated software processes to aid the online notary public in verifying the identity of each remotely located individual;
Require that the identity credential passes an authenticity test, consistent with sound commercial practices that use appropriate technologies to confirm the integrity of visual, physical, or cryptographic security features and to confirm that the identity credential is not fraudulent or inappropriately modified;
Use information held or published by the issuing source or an authoritative source, as available and consistent with sound commercial practices, to confirm the validity of personal details and identity credential details; and
Enable the online notary public to visually compare for consistency the information and photograph on the identity credential and the remotely located individual as viewed by the online notary public in real time through communication technology.

(b) Dynamic knowledge-based authentication. A dynamic knowledge-based authentication assessment shall be successful if it meets the following requirements:

The remotely located individual shall answer a minimum of five (5) questions related to the individual's personal history or identity formulated from public or private data sources;
Each question shall have a minimum of five (5) possible answer choices;
At least eighty (80) percent of the questions shall be answered correctly;
All questions shall be answered within two (2) minutes;
If the remotely located individual fails the first attempt, the individual may attempt the authentication assessment one (1) additional time within twenty-four (24) hours;
During the second authentication assessment, a minimum of forty (40) percent of the prior questions shall be replaced;
If the remotely located individual fails the second authentication assessment, the individual shall not be allowed to attempt identity authentication with the same online notary public within twenty-four (24) hours of the second failed authentication assessment; and
The online notary public shall not be able to see or record the questions or answers.

(c)

Public key certificate. The identity of the individual appearing before the online notary public may be verified by use of a valid public key certificate that meets the requirements of a digital certificate, complies with the X.509 standard adopted by the International Telecommunication Union or a similar industry-standard technology, and is issued by a technology provider or digital certificate service registered with the Secretary of State pursuant to this administrative regulation.
A public key certificate shall not be valid for identity verification if the public key certificate has expired, has been revoked or terminated by the issuing or registering authority, is invalid, or is incapable of authentication.

(5) Requirements for communication technology. The communication technology used by an online notary public in the performance of online notarizations shall conform to the following requirements:

(a) Audio-video feeds. Communication technology shall provide for synchronous audio-video feeds of sufficient video resolution and audio clarity to enable the online notary public and remotely located individual to see and speak with each other. The process shall provide a means for the online notary public reasonably to confirm that a record before the online notary public is the same record in which the remotely located individual made a statement or on which the remotely located individual executed a signature.

(b) Security measures. Communication technology shall provide reasonable security measures to prevent unauthorized access to:

The live transmission of audio-visual feeds;
The methods used to perform the identify verification process under subsection 4 of this Section; and
The record in which the remotely located individual made a statement or on which the remotely located individual executed a signature.

(c) Work flow. If a remotely located individual exits the workflow, the individual shall restart the identify verification process under subsection 4 of this Section from the beginning.

(d) Recording. All notarial acts performed using communication technology shall be electronically recorded. The recording shall contain a recitation that the notary has informed the individuals participating in the notarial act that it shall be electronically recorded.

(6)

(a) Notary technology provider registration. A provider of technology used in the process of electronic or online notarization shall register with Secretary of State in the manner directed by the Secretary of State and provide the following information:

The legal name of the technology provider;
The mailing address of the technology provider;
The physical address of the technology provider;
A designated contact person for that provider;
The phone number, physical address, and email address of the contact person;
The name of the technology provided;
The name of the provider or providers of the knowledge-based authentication, credential analysis, or digital certificate services, if different from the technology provider;
A description of the technology used and the manner in which it complies with KRS Chapter 423 and this administrative regulation;
The process by which the technology provider verifies the identity of the notary public or digital certificate holder using the technology;
A plan for the retention and disposition of records created, generated, or retained in conjunction with the use of the technology, including any electronic journal, recordings, or records created or retained during an electronic or online notarization, in the event the technology provider no longer engages in the business of providing electronic or online notary technology; and
An authorized certification that the technology provided complies with KRS Chapter 423 and this administrative regulation.

(b) A registration in compliance with this subsection is non-transferable and shall not be conveyed to any other notary technology provider.

(7)

(a) Complaint Against a Notary Technology Provider. A written complaint may be made against a notary technology provider registered with the Office of the Secretary of State. A complaint that does not comply with the requirements of this subsection shall not be filed, responded to, or acted upon by the Secretary of State.

(b) The Office of the Secretary of State may commence an investigation of a registered notary technology provider as a result of a complaint or upon its own initiative.

An initial request for information from the accused provider;
A copy of the complaint forwarded to the registration provider; and
A request for supporting documentation and other sources of information.

(d) A provider shall provide true, accurate, and complete copies of all information requested by the Office of the Secretary of State.

(e) Failure of a provider to comply with an investigation directive may result in revocation of the provider's registration.

(f) A finding that the provider has failed to comply with the provisions of KRS Chapter 423 or this administrative regulation may result in revocation of the provider's registration.

(8) Duties of Notary Technology Provider. A notary technology provider shall:

(a) Respond to a request for information from the Office of the Secretary of State within the time directed. Any request for information shall be sent to the addresses provided upon registration;

(b) Take reasonable steps to ensure that a notary public or digital certificate holder is able to use the technology provided in accordance with this administrative regulation; and

(c) Suspend the use of any technology for any notary or digital certificate holder whose commission, registration, or digital certificate has expired, been revoked, or suspended.

Section 6. Record Retention Requirements for Notarial Acts with Respect to Electronic Records and Electronic Notarizations. Record retention.

(1) A notary public that is registered to perform notarial acts with respect to electronic records or electronic notarizations shall maintain one (1) or more journals in a permanent, tamper-evident electronic format to chronicle those notarizations.

(2) A journal entry shall be made contemporaneously with the performance of the notarial act and shall contain:

(a) The date and time of the notarial act;

(b) A brief description of the record, if any, and the type of notarial act;

(d) A statement of how identification was established and a description of any identification credential presented including the type of credential and dates of issuance and expiration of the credential;

(e) The fee charged, if any; and

(f) For a notarial act involving remotely located individuals using communication technology, an audio-visual recording (or a link thereto) of the performance of the notarial act that complies with KRS Chapter 423 and this administrative regulation.

(3) A journal shall be created and stored in a computer or other electronic storage device or process that protects the electronic journal and any audio-visual recording against unauthorized access by password or cryptographic process. A recording shall be created in an industry-standard audio-visual file format and shall not include images of any record in which a remotely located individual made a statement or on which the remotely located individual executed a signature.

(4) An electronic journal shall be retained for at least ten (10) years after the last notarial act chronicled in the journal. An audio-visual recording shall be retained for at least ten (10) years after the recording is made.

(5) A journal entry shall not record identification numbers assigned to an individual by a governmental agency or any biometric identifier.

(6) A notary public shall take reasonable steps to ensure that a backup of the journal and audio-visual recording exists and is secure from unauthorized use.

(7) On the death or adjudication of incompetency of a current or former notary public who is registered to perform notarial acts with respect to electronic records or notarial acts involving remotely located individuals, the online notary's personal representative or guardian or any other person knowingly in possession of a journal or audio-visual recording shall:

(a) Comply with the retention requirements of this subsection;

(b) Transmit the journal and recording to one (1) or more repositories under this Section; or

(c) Transmit the journal and recording in an industry-standard readable data storage device to his or her notary technology provider.

(8) Repositories. A notary public who is registered to perform notarial acts with respect to electronic records or electronic notarizations, a guardian, conservator, or agent of the notary public, or a personal representative of a deceased online notary public may, by written contract, engage a third person to act as a repository to provide the storage required by this Section. A third person under contract under this Section shall be deemed a repository or custodian under KRS 423.380(8) or KRS 423.455(5), as applicable. The contract shall:

(a) Enable the registered notary public, the guardian, conservator, or agent of the registered notary public, or the personal representative of the deceased registered notary public to comply with the retention requirements of this Section even if the contract is terminated; or

(b) Provide that the information shall be transferred to the registered notary public, the guardian, conservator, or agent of the registered notary public, or the personal representative of the deceased registered notary public if the contract is terminated.

(9)

(a) Lost, Stolen, or Improperly Accessed Journal. A notary public shall be responsible for the security of his or her journal and shall not allow another individual to use the journal to perform a notarial act. A notary public shall take reasonable steps to maintain the security of the journal and shall not allow access to his or her journal, except:

When requested by the Secretary of State or a law enforcement officer;
When required by court order or subpoena; or
Pursuant to an agreement to facilitate notarial acts with a vendor or other technology provider identified in accordance with Section 5 of this administrative regulation.

(b) A notary public shall promptly notify the Secretary of State of a lost or stolen journal upon discovering the journal is lost or stolen.

(10) Disposition of Notarial Records upon Termination of Commission or Registration. Upon the revocation, resignation, termination, or suspension of the commission of a notary public or the revocation, resignation, termination, or suspension of the registration of a notary public to perform notarial acts with respect to electronic records and notarial acts involving remotely located individuals using communication technology, the notary public shall retain the journal in accordance with the provisions of this Section.

Section 7. Prior Notice to the Secretary of State and Standards for the Use of Communication Technology in the Performance of Notarial Acts with Respect to Tangible Records.

(1) A notary public shall, prior to the initial use of communication technology in the performance of notarial acts with respect to tangible records, notify the Office of the Secretary of State in writing by email or regular U.S. mail. The notice shall identify the communication technology the notary public has selected that is capable of creating an audio-visual recording of the performance of the notarial act. The Office of the Secretary of State shall make an entry of the information provided in the notice.

(2) In using communication technology in the performance of notarial acts with respect to tangible records, a notary public shall have satisfactory evidence of the identity of a remotely located individual if:

(a) The notary public has personal knowledge of the identity of the remotely located individual;

(b) The remotely located individual is identified by oath or affirmation of a credible witness appearing in person or by means of communication technology before the notary public;or

(c) The notary public is reasonably able to identify the remotely located individual by at least two (2) different types of identity-proofing processes or services as provided in Section 5(4) of this administrative regulation.

(3) A notary public who performs notarial act with respect to tangible records shall create and maintain for a period of not less than ten (10) years, an audio-visual recording of the performance of the notarial act.

(4) A certificate executed by a notary public for the performance of a notarial act using communication technology with respect to tangible records shall contain the statement, "This notarial act involved the use of communication technology."

Section 8. Notary Discipline.

(1) Failure to comply with the provisions of KRS 423.395 or this administrative regulation may result in the denial, refusal to renew, revocation, suspension, or conditioning of a notary public commission but shall not invalidate a notarial act performed by a notary public.

(2) Denial, refusal to renew, revocation, suspension, or conditioning of a notary commission shall result upon notification to the Secretary of State of:

(a) A conviction of a felony or a crime involving fraud, dishonesty, or deceit;

(b) A finding against, or admission of liability by, the notary public in any legal proceeding or disciplinary action alleging fraud, dishonesty, or deceit by the notary; or

(c) Judicial determination of liability in a suit for fraud, misrepresentation, or failure to discharge the duties of a notary public.

(3) A notary public shall promptly notify the Secretary of State, in writing, of a conviction, finding, admission of liability, or judicial determination of liability as established in this Section.

(4) A person who knows of a violation may file a complaint against a notary public with the Secretary of State.

(5) A complaint shall be in writing, dated, and signed by the person making the complaint. A complaint that does not comply with the requirements of this subsection shall not be filed, responded to, or acted upon by the Secretary of State.

(6) Any condition, restriction, suspension, or revocation of a notary commission shall have the same effect on the electronic or online registration the notary public holds.

(7) The Secretary of State shall cause a review of any complaint filed against a notary public to determine whether the allegations in the complaint would establish a violation by a notary public, and any appropriate disciplinary action, which shall be informed by the following factors:

(a) Nature and severity of the act, violation, or crime committed;

(b) Number and variety of current violations;

(d) Actual or potential harm to the general public, group, individual or customer;

(e) History of complaints; and

(f) Prior disciplinary record or warning;

(8) The Secretary of State shall inform the notary public of any disciplinary action by mailing a notice of disciplinary action to the home address of the notary public on file. The notice shall inform the notary public of the basis for the disciplinary action and the right to a hearing. Administrative proceedings under this Section shall be governed by the provisions of KRS Chapter 13B.

(9) The Secretary of State shall certify any disciplinary action to the clerk of the county in which the notary public received his or her commission.

History

RELATES TO: KRS Chapter 423
STATUTORY AUTHORITY: KRS 423.355, 423.390, 423.395, 423.415, 423.455
NECESSITY, FUNCTION, AND CONFORMITY: KRS 423.355, 423.415, and 423.455 authorize the Secretary of State to promulgate administrative regulations to implement KRS 423.300 to 423.455, and KRS 423.390 requires the Secretary of State to promulgate administrative regulations to establish forms and procedures applicable to the registration of notaries public. This administrative regulation establishes definitions, prescribes the process of granting, renewing, conditioning, or denying a notary commission, establishes standards for the performance of notarial acts with respect to electronic records, establishes standards for the performance of online notarial acts, establishes standards for the retention of records by notaries public authorized to perform notarial acts with respect to electronic records and notarial acts involving remotely located individuals using communication technology, and prescribes the manner of performing notarial acts for tangible records.
History: 46 Ky.R. 2349, 2943; 47 Ky.R. 35; eff. 8-20-2020

Chapter 9 Filings

30 KAR 9:010 Lieutenant governor designation form {#sec-30-kar-9-010 omnilex-key=us-ky-regs-official--title-30--30 KAR 9:010}

Section 1. To designate a candidate for Lieutenant Governor as required by KRS 118.126(1), a candidate for Governor shall timely file the "Designation of Candidate for Lieutenant Governor" with the Secretary of State.

Section 2. Incorporation by Reference.

(1) "Designation of Candidate for Lieutenant Governor", SOS 01, October 2022, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Secretary of State's Office, 700 Capital Avenue, State Capitol, Suite 152, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m., or may be obtained at http://www.sos.ky.gov.

History

RELATES TO: KRS 14.025, 118.126
STATUTORY AUTHORITY: KRS 118.126(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 14.025(4) requires the Department of State, Office of Elections to be responsible for candidate filings and assisting the Secretary of State in his or her duties as the chief election official of Kentucky. KRS 118.126(1) requires Secretary of State to accept the designation of Lieutenant Governor from each candidate for Governor. This administrative regulation establishes the form for the designation.
History: 49 Ky.R. 1198; 1590; eff. 5-2-2023.

Chapter 10 Safe at Home Program

30 KAR 10:010 Definitions for 30 KAR Chapter 10 {#sec-30-kar-10-010 omnilex-key=us-ky-regs-official--title-30--30 KAR 10:010}

Section 1. Definitions.

(1) "Agency" means every elected or appointed state or local public office, public officer, or official, department, division, bureau, board, commission, committee, council, authority, agency, institution of higher education, or other unit of the executive, legislative, or judicial branch of the state; or any city, county, city and county, town, special district, school district, local improvement district, or other statutory unit of state or local government or any functional subdivision of that agency, or any other kind of municipal, quasi-municipal, or public corporation.

(2) "Address" is defined by KRS 14.300(1).

(3) "Applicant" is defined by KRS 14.300(2).

(4) "Designated address" means the address assigned to a program participant by the Secretary of State.

(5) "Mail" means first-class letters and flats delivered via the United States Postal Service, including priority, express, and certified mail.

(6) "Program Participant" is defined by KRS 14.300(7).

(7) "Safe at Home verification card" means the card provided to each program participant that contains the participant's name, designated address, the participant's ID assigned by the Secretary of State, the participant's birthdate, the participant's picture, and the expiration date.

History

RELATES TO: KRS 14.302
STATUTORY AUTHORITY: KRS 14.318
NECESSITY, FUNCTION, AND CONFORMITY: KRS 14.318 authorizes the Secretary of State to promulgate administrative regulations implementing the Safe at Home Program. This administrative regulation establishes definitions for the Safe at Home Program.
History: 50 Ky.R. 493, 1038; eff. 1-30-2024.

30 KAR 10:020 Application and certification {#sec-30-kar-10-020 omnilex-key=us-ky-regs-official--title-30--30 KAR 10:020}

Section 1. Requirements for Application for Certification to Participate in the Safe at Home Program.

(1) Application for certification to participate in the Safe at Home Program shall be made to the Secretary of State by submitting a completed Application for Certification to Participate in Safe at Home Program, which shall contain:

(a) The applicant's full legal name;

(b) The applicant's date of birth;

(d) The applicant's county of residence;

(e) The applicant's residential address;

(f) The applicant's phone number;

(g) The applicant's email address; and

(h) The applicant's dependent's legal names and identifying information (if applicable).

(2) The application shall include a sworn statement and acknowledge the following:

(a) I am an adult survivor of domestic violence, sexual assault, stalking, or human trafficking, or I am the parent of a child, or guardian of an adult individual, who is such a survivor, or I am a household member of such a survivor;

(b) I am not applying to participate in the Safe at Home Program to avoid prosecution of any kind. I confirm that I am not a sexually violent predator;

(c) I give permission to the Secretary of State's Office to verify my participation in the Safe at Home Program to state or local agencies when requested;

(d) I designate the Secretary of State as my agent for service of process and for the purpose of receipt of mail. If the Secretary of State accepts legal documents or certified mail addressed to me, it is as if I received them;

(e) I understand that my participation in the Safe at Home Program may be cancelled if :

I change my legal name and do not notify the Secretary of State's Office in writing prior to the change;
Mail forwarded by the Secretary of State's Office is returned as undeliverable by the United States Postal Service;
The Secretary of State accepts service of process on my behalf and I do not acknowledge it; or
My application contains false information;

(f) I understand that it is my responsibility to notify family, friends, businesses, and government agencies of my Safe at Home Program designated address. I recognize that if I share my confidential address, the Safe at Home Program cannot control its distribution;

(g) I realize that my mailing address may include an apartment number and that without this apartment number my mail may be delayed or may never reach me. I understand that the Safe at Home Program shall forward only first-class, legal, and certified mail, as well as packages of prescriptions;

(h) I understand that I am enrolled in the Safe at Home Program for a four (4) year term. At the end of this term, I realize that I am required to renew my enrollment or be cancelled from the program;

(i) I authorize the Safe at Home Program to notify the State Board of Elections to remove my physical and mailing address from voter registration documents that may be viewed by the public but maintain my physical address for the purpose of remaining registered and populated in the correct precinct.

(j) I realize that if I purchase or sell real estate, my information shall appear on public records;

(k) I understand that I am required to notify the Safe at Home Program if any of the information on my original application changes within fourteen (14) days;

(l) I understand that once I am enrolled in the Safe at Home Program, my actual address shall be confidential unless an agency has a bona fide statutory or administrative requirement for use of my address; and

(m) I understand that my children under the age of eighteen (18) may be enrolled with me as dependents and that individuals over the age of eighteen (18) are required to enroll separately. I realize that minors who turn eighteen (18) during participation in the program shall complete a renewal form at that time to continue Safe at Home Program participation.

(3) The Application for Certification to Participate in Safe at Home shall be:

(a) Notarized; and

(b) In English.

Section 2. Certification in the Safe at Home Program.

(1) The Secretary of State shall approve an Application for Certification to Participate in Safe at Home Program and certify the applicant as a program participant if the applicant and the Application for Certification to Participate in Safe at Home Program meet the requirements established in KRS 14.304 and this administrative regulation.

(2) The Secretary of State shall notify the applicant or filer whether the Application for Certification to Participate in Safe at Home Program was denied, or the applicant was certified as a program participant.

(a) If an Application for Certification to Participate in Safe at Home Program is denied, the Secretary of State shall inform the applicant or filer of the reason for the denial.

(b) If an applicant is certified as a program participant, the Secretary of State shall:

Assign to the program participant a participant number and designated address;
Issue to the program participant a Safe at Home Program Participant Card;
Provide information about the Safe at Home Program with instructions, frequently asked question and answers, and other information deemed necessary; and
Provide a general letter from the Secretary of State that the participant can provide to agencies.

(3) If an applicant is certified as a program participant, participation in the Safe at Home program shall be effective as of the date of the notification of certification.

Section 3. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Certification to Participate in Safe at Home Program", July 2023;

(b) "Address Confidentiality Program Participant Card", July 2023;

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Secretary of State's Office, 700 Capital Avenue, State Capitol, Suite 152, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m., or may be obtained at sos.ky.gov.

History

RELATES TO: KRS 14.302
STATUTORY AUTHORITY: KRS 14.304, 14.318
NECESSITY, FUNCTION, AND CONFORMITY: KRS 14.318 authorizes the Secretary of State to promulgate administrative regulations implementing the Safe at Home Program. This administrative regulation establishes the application and certification requirements for the Safe at Home Program.
History: 50 Ky.R. 494, 1039; eff. 1-30-2024.

30 KAR 10:030 Notification of expiration and recertification in the Safe at Home Program {#sec-30-kar-10-030 omnilex-key=us-ky-regs-official--title-30--30 KAR 10:030}

Section 1. Notification of Expiration. The Secretary of State shall send notification to the participant or filer of expiring certification at least four (4) weeks prior to expiration and provide an Application for Certification to Participate in Safe at Home Program.

Section 2. Application for Renewal of Certification in the Safe at Home Program.

(1) A program participant or filer wishing to renew certification in the Safe at Home Program shall submit to the Secretary of State at least five (5) business days prior to the date on which the program participant's certification expires an Application for Certification to Participate in Safe at Home Program pursuant to 30 KAR 010:020.

(2) The Application for Certification to Participate in Safe at Home Program shall be considered timely submitted for purposes of renewal if it is date-stamped received by the Office of the Secretary of State at least five (5) business days prior to the date on which the program participant's certification expires.

Section 3. Review by the Secretary of State of a Renewal Application for Certification to Participate in Safe at Home Program.

(1) The Secretary of State shall approve a renewal Application for Certification to Participate in Safe at Home Program if the applicant and Application for Certification to Participate in Safe at Home Program meet the requirements established in KRS 14.304 and 30 KAR 010:020.

(2) The Secretary of State shall notify the program participant or filer whether the renewal Application for Certification to Participate in Safe at Home Program was denied or the program participant's certification was renewed within five (5) business days after it is date-stamped received by the Secretary of State.

(a) If a renewal Application for Certification to Participate in Safe at Home Program is denied, the Secretary of State shall inform the program participant or filer of the reason for denial.

(b) If a program participant's certification is renewed, the Secretary of State shall issue to the program participant a new Safe at Home Program Participant Card pursuant to 30 KAR 010:020, and the renewal shall be effective as of the date of the notification of renewal.

History

RELATES TO: KRS 14.302
STATUTORY AUTHORITY: KRS 14.304, 14.318
NECESSITY, FUNCTION, AND CONFORMITY: KRS 14.318 authorizes the Secretary of State to promulgate administrative regulations to implement the Safe at Home Program. This administrative regulation establishes the requirements for notification of expiration and recertification in the Safe at Home Program.
History: 50 Ky.R. 496, 1040; eff. 1-30-2024.

30 KAR 10:040 Cancellation, appeal, and withdrawal {#sec-30-kar-10-040 omnilex-key=us-ky-regs-official--title-30--30 KAR 10:040}

Section 1. Cancellation from Participation in Safe at Home Program.

(1) A program participant's certification in the Safe at Home Program shall be canceled if:

(a) The program participant fails to notify the Secretary of State of a name change;

(b) The program participant fails to notify the Secretary of State of an address change;

(d) The program participant relocates outside of Kentucky;

(e) The program participant is no longer eligible;

(f) The program participant is required to register as a sex offender; or

(g) The program participant fails to submit an Application for Participation in Safe at Home Program for renewal upon the expiration of the initial four (4) year enrollment.

(2) Upon cancellation, the Secretary of State shall send notice to the program participant of the cancellation of participation in the Safe at Home Program, which shall include:

(a) The reasons for the cancellation;

(b) A copy of the Appeal from Cancellation of Certification in Safe at Home Program; and

Section 2. Appeal from Cancellation of Certification in Safe at Home Program.

(1) A program participant or filer wishing to appeal from a cancellation of certification in the Safe at Home Program shall submit to the Secretary of State an Appeal from Cancellation of Certification in Safe at Home Program form.

(2) The Appeal from Cancellation of Certification in Safe at Home Program shall be considered timely submitted if it is date-stamped received by the Secretary of State within thirty (30) days of the date of the notice of certification cancellation.

(3) The Appeal from Cancellation of Certification in Safe at Home Program shall:

(a) Be in writing;

(b) Be in English;

(d) Include information as to why certification in the Safe at Home Program should not be cancelled.

(4) If an Appeal from Cancellation of Certification in Safe at Home Program is not timely submitted, cancellation of certification in the Safe at Home Program shall be effective upon the expiration of thirty (30) days after the date of the notice of certification cancellation.

Section 3. Review by the Assistant Secretary of State of an Appeal from Cancellation of Certification in Safe at Home Program.

(1) The Assistant Secretary of State shall approve or deny an Appeal from Cancellation of Certification in Safe at Home Program within five (5) business days after it is date-stamped received by the Office of the Secretary of State.

(a) The Assistant Secretary of State shall approve an Appeal from Cancellation of Certification in Safe at Home Program if he or she determines that grounds for cancellation pursuant to KRS 14.306 do not exist.

(b) The Assistant Secretary of State shall deny an Appeal from Cancellation of Certification in Safe at Home Program if he or she determines that grounds for cancellation pursuant to KRS 14.306 exist.

(2) The Assistant Secretary of State shall provide to the program participant or filer written notice of the decision regarding an Appeal from Cancellation of Certification in Safe at Home Program.

(3) If an Appeal from Cancellation of Certification in Safe at Home Program is timely submitted and denied pursuant to this section, cancellation of certification in the Safe at Home program shall be effective on the date on which the notice of denial is mailed.

(4) The decision of the Assistant Secretary of State shall conclude the appeal procedures pursuant to KRS 14.306 and this administrative regulation.

Section 4. Withdrawal from Participation in Safe at Home Program.

(1) A program participant or filer wishing to withdraw from participation in the Safe at Home Program shall submit to the Secretary of State a Withdrawal from Participation in Safe at Home Program form.

(2) The Withdrawal from Participation in Safe at Home Program form shall be:

(a) In writing;

(b) In English;

(d) Notarized or signed by an Application Assistant.

Section 5. Confirmation by the Secretary of State of a Withdrawal from Participation in Safe at Home Program.

(1) Upon receiving a Withdrawal from Participation in Safe at Home Program form, the Secretary of State shall mail to the program participant or filer a written confirmation of withdrawal.

(2) The written confirmation shall notify the program participant or filer:

(a) Of the date on which a Withdrawal from Participation in Safe at Home Program form was date stamped received by the Office of the Secretary of State; and

(b) That program participation shall be terminated ten (10) days following the date of the written confirmation of withdrawal, unless the program participant or filer notifies the Secretary of State on or before that date that the withdrawal request was not legitimate because it was not voluntarily submitted by the program participant or filer.

Section 6. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Withdrawal from Participation in Safe at Home Program", July 2023; and

(b) "Appeal from Cancellation of Certification in Safe at Home Program", July 2023.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Secretary of State's Office, 700 Capital Avenue, State Capitol, Suite 152, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m., or may be obtained at www.sos.ky.gov.

History

RELATES TO: KRS 14.302
STATUTORY AUTHORITY: KRS 14.306, 14.318
NECESSITY, FUNCTION, AND CONFORMITY: KRS 14.318 authorizes the Secretary of State to promulgate administrative regulations implementing the Safe at Home Program. This administrative regulation establishes the cancellation, appeal, and withdrawal procedures for the Safe at Home Program.
History: 50 Ky.R. 498, 1040; eff. 1-30-2024.

30 KAR 10:050 Application assistant training and designation {#sec-30-kar-10-050 omnilex-key=us-ky-regs-official--title-30--30 KAR 10:050}

Section 1. The Application Assistant training and designation process shall consist of:

(1) Completing an in-person or online training that is conducted or approved by the Secretary of State Safe at Home Program; and

(2) Submitting a completed Application Assistant Agreement.

Section 2. Valid Period. The Application Assistant designation shall be valid for a three (3) year period and may be renewed by submitting a new Application Assistant Agreement prior to the end of the three (3) year term.

Section 3. Employment.

(1) Application Assistants shall provide the Safe at Home Program with current employer and contact information.

(2) Application Assistants who change employment may retain their designation if they continue to meet the statutory criteria for the Application Assistant designation and submit an updated Application Assistant Agreement.

Section 4. Expiration or Cancellation.

(1) The Safe at Home Program shall notify Application Assistants prior to the expiration of their designation using the contact information on record with the program.

(2) An Application Assistant designation shall expire if the Application Assistant fails to submit a new Application Assistant Agreement before the end of his or her three (3) year term.

(3) An Application Assistant may cancel his or her designation at any time by notifying the Safe at Home Program.

Section 5. Incorporation by Reference.

(1) "Application Assistant Agreement", July 2023, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Secretary of State's Office, 700 Capital Avenue, State Capitol, Suite 152, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m., or may be obtained at www.sos.ky.gov.

History

RELATES TO: KRS 14.302
STATUTORY AUTHORITY: KRS 14.310, 14.318
NECESSITY, FUNCTION, AND CONFORMITY: KRS 14.318 authorizes the Secretary of State to promulgate administrative regulations to implement the Safe at Home Program. This administrative regulation establishes the application assistant training and designation procedures for the Safe at Home Program.
History: 50 Ky.R. 500, 1041; eff. 1-30-2024.

30 KAR 10:060 Release of participant information to criminal justice officials or agencies {#sec-30-kar-10-060 omnilex-key=us-ky-regs-official--title-30--30 KAR 10:060}

Section 1. Expedited release of participant information shall be granted in response to a written request setting forth the reason(s) requiring the expedited release of information to the criminal justice agency. The request shall be on agency letterhead and signed by the employee of the criminal justice agency requesting the information and his or her direct supervisor or acting supervisor if the employee's direct supervisor is unavailable.

Section 2. If a participant indicates on his or her application that he or she has reason to believe he or she is a victim of domestic violence, sexual assault, trafficking, or stalking perpetrated by an employee of a law enforcement agency, the letter shall be accompanied by a court order for release of records in the program participant's file.

History

RELATES TO: KRS 14.302
STATUTORY AUTHORITY: KRS 14.308, 14.318
NECESSITY, FUNCTION, AND CONFORMITY: KRS 14.318 authorizes the Secretary of State to promulgate administrative regulations implementing the Safe at Home Program. This administrative regulation establishes the release of participant information to criminal justice officials or agencies.
History: 50 Ky.R. 501, 1042; eff. 1-30-2024.

30 KAR 10:070 School enrollment and record transfers {#sec-30-kar-10-070 omnilex-key=us-ky-regs-official--title-30--30 KAR 10:070}

Section 1. At the request of an enrolling school, the Safe at Home Program shall determine a student participant's school district eligibility based on the current residential address listed in the participant's program file. The Safe at Home Program shall notify the enrolling school of district eligibility in writing. The Safe at Home Program shall request a student's records for the purpose of transferring the records from one (1) school to another upon receiving the written request and authorization from the student's parent or legal guardian.

History

RELATES TO: KRS 14.302
STATUTORY AUTHORITY: KRS 14.318
NECESSITY, FUNCTION, AND CONFORMITY: KRS 14.318 authorizes the Secretary of State to promulgate administrative regulations implementing the Safe at Home Program. This administrative regulation establishes the procedures for school enrollment and record transfers.
History: 50 Ky.R. 502, 1042; eff. 1-30-2024.

30 KAR 10:080 Substitute address {#sec-30-kar-10-080 omnilex-key=us-ky-regs-official--title-30--30 KAR 10:080}

Section 1.

(1) Program participants may use the substitute address provided by the Secretary of State when interacting with any state or local agency on all forms or applications that require an address.

(2) Every state or local government agency, or office, shall accept the substitute address issued by the Secretary of State as the only address for all program participants when the participant provides the address and authorization card and authorization number. Program participants shall not be required to respond to any question regarding the details or circumstances of the person's inclusion in the program. The public agency may contact the Secretary of State to verify program participation and for additional program information.

(3) The agency official creating a new record may make a file photocopy of the authorization card and shall immediately return the authorization card to the program participant.

(4) The agency official may call the Safe at Home Program to verify an individual's participation status in the program and to confirm the participant's authorization number.

(5) The Secretary of State shall be the agent for receipt of all mail sent to program participants at the substitute address.

(6) All first-class mail specifically addressed to the program participant at the substitute address shall be forwarded at least every second business day to each participant's mailing address, using "return service requested" designation on the envelope. The Secretary of State shall not be required to forward mail that is not specifically addressed to the participant.

(7) The Secretary of State may hold a participant's mail for up to three (3) weeks if the participant provides a Mail Hold Request. The Secretary of State shall compare the signature on the hold request with that on file for the participant prior to holding the mail.

Section 2. Incorporation by Reference.

(1) "Safe at Home Mail Hold Request", July 2023, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Secretary of State's Office, 700 Capital Avenue, State Capitol, Suite 152, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m., or may be obtained at www.sos.ky.gov.

History

RELATES TO: KRS 14.302
STATUTORY AUTHORITY: KRS 14.318
NECESSITY, FUNCTION, AND CONFORMITY: KRS 14.318 authorizes the Secretary of State to promulgate administrative regulations implementing the Safe at Home Program. This administrative regulation establishes that Safe at Home Program participants may use a substitute address provided by the Secretary of State.
History: 50 Ky.R. 504, 1042; eff. 1-30-2024.

30 KAR 10:090 Exercise of program participant's privileges {#sec-30-kar-10-090 omnilex-key=us-ky-regs-official--title-30--30 KAR 10:090}

Section 1.

(1) At the time any state or local government agency creates a new record or updates an existing record, a program participant may request that the agency use the substitute mailing address as the participant's residence, work, or school address.

(2) Program participants shall be responsible for requesting the use of a substitute address.

(3) A program participant shall show his or her authorization card to the agency official creating a new record and request address confidentiality through the use of the substitute mailing address as it appears on the authorization card, in lieu of the actual location.

History

RELATES TO: KRS 14.302
STATUTORY AUTHORITY: KRS 14.318
NECESSITY, FUNCTION, AND CONFORMITY: KRS 14.318 authorizes the Secretary of State to promulgate administrative regulations implementing the Safe at Home Program. This administrative regulation establishes that a program participant may use a substitute address provided by the Secretary of State for updating official records for his or her residence, work, or school address.
History: 50 Ky.R. 505, 1042; eff. 1-30-2024.

30 KAR 10:100 Attaining age of majority {#sec-30-kar-10-100 omnilex-key=us-ky-regs-official--title-30--30 KAR 10:100}

Section 1. When the Secretary of State becomes aware that a minor child participant has reached the age of eighteen (18), the Secretary of State shall inform the minor child participant of options related to continued participation in the Safe at Home Program. These options shall include leaving the program and reapplying on their own behalf.

(1) In anticipation of a minor child participant's 18th birthday, the Secretary of State shall send an application packet via first class mail to the participant's address. The packet shall include an application form and instructions on actions to be taken by age eighteen (18). The packet shall include notice that if the participant does not respond within thirty (30) days he or she shall be removed from the program, and mail forwarding shall stop. If thirty (30) days pass without contact from the participant, the Secretary of State shall mail a final notice that the participant's certification shall be canceled if the participant fails to submit the Application for Certification within ten (10) days.

(2) The Secretary of State shall renew the certification of a participant upon receipt of a properly completed application form.

(3) A participant who reaches age eighteen (18) and changes residence may reapply or withdraw.

(4) Program participants who have reached age eighteen (18) and have withdrawn or allowed certification to expire, may reapply on their own behalf.

History

RELATES TO: KRS 14.302
STATUTORY AUTHORITY: KRS 14.318
NECESSITY, FUNCTION, AND CONFORMITY: KRS 14.318 authorizes the Secretary of State to promulgate administrative regulations implementing the Safe at Home Program. This administrative regulation establishes the procedures for a minor child participant who has reached the age of majority.
History: 50 Ky.R. 506, 1043; eff. 1-30-2024.

30 KAR 10:110 Service of process {#sec-30-kar-10-110 omnilex-key=us-ky-regs-official--title-30--30 KAR 10:110}

Section 1. Service of Process.

(1) The Secretary of State shall be an agent of the program participant upon whom any summons, writ, notice, demand, or process may be served.

(2) Service on the Secretary of State of any summons, writ, demand, notice, or process shall be made by mailing to the designated address or by delivering to the Secretary of State at his or her office in Frankfort, Kentucky.

(3) If a summons, writ, notice, demand, or process is served on the Secretary of State, the Secretary of State shall immediately forward a copy of the summons, writ, notice, demand, or process to the participant's mailing address shown on the program records.

(4) The Secretary of State shall maintain in the program participant's file, a record of all summonses, writs, notices, demands, and processes served upon the Secretary of State for that participant, which shall include the date of service and the Secretary of State's action.

History

RELATES TO: KRS 14.302
STATUTORY AUTHORITY: KRS 14.304, 14.318
NECESSITY, FUNCTION, AND CONFORMITY: KRS 14.318 authorizes the Secretary of State to promulgate administrative regulations implementing the Safe at Home Program. This administrative regulation establishes that the Secretary of State shall be an agent for service of process for program participants.
History: 50 Ky.R. 508, 1043; eff. 1-30-2024.

30 KAR 10:120 Recognition of certification in other state {#sec-30-kar-10-120 omnilex-key=us-ky-regs-official--title-30--30 KAR 10:120}

Section 1. A participant in a program in another state that is similar to the Safe at Home Program may apply for approval in the Kentucky Secretary of State Safe at Home Program.

(1) The application for recognition shall be made to the Secretary of State by submitting a completed Application for Recognition of Out of State Participant, which shall contain:

(a) The applicant's full legal name;

(b) The applicant's date of birth;

(d) The applicant's county of residence;

(e) The applicant's residential address;

(f) The applicant's phone number;

(g) The applicant's email address;

(h) The applicant's dependent's legal names and identifying information (if applicable);

(i) The state where the applicant is currently enrolled;

(j) Contact information for the other State's administrator of the similar program; and

(k) Whether the applicant is permanently moving to the Commonwealth, temporarily living in the Commonwealth, doing business in the Commonwealth, or engaged in other transactions in the Commonwealth.

(2) The application shall include a sworn statement and acknowledge the following:

(a) I am an adult survivor of domestic abuse, domestic abuse assault, sexual abuse, stalking, or human trafficking, or I am the parent or guardian of a child or incapacitated individual who is such a survivor. I fear for my safety, the safety of those who reside in my household, or the safety of the person on whose behalf I completed this application;

(b) I am not applying to participate in the Safe at Home Program to avoid prosecution of any kind. I confirm that I am not a sexually violent predator;

(c) I give permission to the Secretary of State's Office to verify my participation in the Safe at Home Program to third parties when requested;

(e) I understand that my participation in the Safe at Home Program may be cancelled if :

I change my legal name and do not notify the Secretary of State's Office in writing prior to the change;
Mail forwarded by the Secretary of State's Office is returned as undeliverable by the United States Postal Service;
I do not accept service of process or I am unavailable for delivery of service of process;
My application contains false information; or
I become ineligible for the similar program in the original state certification;

(g) I realize that my mailing address could include an apartment number and without this apartment number, my mail may be delayed or may never reach me. I understand the Safe at Home Program shall forward only first-class, legal, and certified mail, as well as packages of prescriptions;

(h) I understand that my approval in the Safe at Home Program is for a one (1) year term. At the end of this term, I realize that I am required to renew my enrollment or be cancelled from the program;

(i) I realize that if I purchase real estate, my information shall appear on public records;

(j) I understand that I am required to notify the Safe at Home Program if any of the information on my original Safe at Home Program application changes;

(k) I understand that once I am enrolled in the Safe at Home Program, my actual address shall be confidential unless otherwise ordered by a court or released by the lawful custodian of the record. The Safe at Home Program may release my information to the Department of Public Safety, who may release it to law enforcement upon verification that it may aid in responding to an emergency situation, criminal complaint, or an ongoing investigation; and

(l) I understand that my children under the age of eighteen (18) may be enrolled with me as dependents and that individuals over the age of eighteen (18) are required to enroll separately. I realize that minors who turn eighteen (18) during participation in the program shall be responsible for completing a renewal form at that time to continue Safe at Home Program participation.

Section 2. Certification in the Safe at Home Program.

(a) If an Application for Certification to Participate in Safe at Home Program is denied, the Secretary of State shall inform the applicant or filer of the reason for the denial.

(b) If an applicant is certified as a program participant, the Secretary of State shall:

Assign to the program participant a participant number and designated address;
Issue to the program participant a Safe at Home Program Participant Card;
Provide information about the Safe at Home Program with instructions, frequently asked question and answers, and other information deemed necessary; and
Provide a general letter from the Secretary of State that the participant can provide to agencies.

(3) If an applicant is certified as a program participant, participation in the Safe at Home program shall be effective as of the date of the notification of certification.

Section 3. Incorporation by Reference.

(1) "Application for Recognition of Out of State Participant", July 2023; is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Secretary of State's Office, 700 Capital Avenue, State Capitol, Suite 152, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m., or may be obtained at www.sos.ky.gov.

History

RELATES TO: KRS 14.302
STATUTORY AUTHORITY: KRS 14.304, 14.318
NECESSITY, FUNCTION, AND CONFORMITY: KRS 14.318 authorizes the Secretary of State to promulgate administrative regulations implementing the Safe at Home Program. This administrative regulation establishes the reciprocity processes for a participant of a similar program in another state.
History: 50 Ky.R. 509, 1043; eff. 1-30-2024.

Title 30 KAR — Secretary of State

Chapter 3 Trademarks and Service Marks

30 KAR 3:010 Application for registration of trademarks and service marks {#sec-30-kar-3-010 omnilex-key=us-ky-regs-official--title-30--30 KAR 3:010}

30 KAR 3:020 Application for renewal of registration {#sec-30-kar-3-020 omnilex-key=us-ky-regs-official--title-30--30 KAR 3:020}

30 KAR 3:030 Classification of goods and services for registration of trademarks and service marks {#sec-30-kar-3-030 omnilex-key=us-ky-regs-official--title-30--30 KAR 3:030}

Chapter 5 Implementation of Revised Article 9

30 KAR 5:011 Definitions for 30 KAR Chapter 5 {#sec-30-kar-5-011 omnilex-key=us-ky-regs-official--title-30--30 KAR 5:011}

30 KAR 5:021 Filing methods and forms {#sec-30-kar-5-021 omnilex-key=us-ky-regs-official--title-30--30 KAR 5:021}

30 KAR 5:031 Acceptance and refusal of records {#sec-30-kar-5-031 omnilex-key=us-ky-regs-official--title-30--30 KAR 5:031}

30 KAR 5:041 UCC Information management system {#sec-30-kar-5-041 omnilex-key=us-ky-regs-official--title-30--30 KAR 5:041}

30 KAR 5:051 Filing, indexing, and data entry procedures {#sec-30-kar-5-051 omnilex-key=us-ky-regs-official--title-30--30 KAR 5:051}

30 KAR 5:060 Search requests, reports, and copies {#sec-30-kar-5-060 omnilex-key=us-ky-regs-official--title-30--30 KAR 5:060}

Chapter 7 Occupational License Fees

30 KAR 7:011 Standard form for occupational license fee return {#sec-30-kar-7-011 omnilex-key=us-ky-regs-official--title-30--30 KAR 7:011}

30 KAR 7:020 Standard form occupational license fee returns for dual tax districts {#sec-30-kar-7-020 omnilex-key=us-ky-regs-official--title-30--30 KAR 7:020}

Chapter 8 Notary Public

30 KAR 8:005 Notary public application; requirements for notarial acts performed with respect to electronic records and for remotely located individuals; notary public discipline {#sec-30-kar-8-005 omnilex-key=us-ky-regs-official--title-30--30 KAR 8:005}

Chapter 9 Filings

30 KAR 9:010 Lieutenant governor designation form {#sec-30-kar-9-010 omnilex-key=us-ky-regs-official--title-30--30 KAR 9:010}

Chapter 10 Safe at Home Program

30 KAR 10:010 Definitions for 30 KAR Chapter 10 {#sec-30-kar-10-010 omnilex-key=us-ky-regs-official--title-30--30 KAR 10:010}

30 KAR 10:020 Application and certification {#sec-30-kar-10-020 omnilex-key=us-ky-regs-official--title-30--30 KAR 10:020}

30 KAR 10:030 Notification of expiration and recertification in the Safe at Home Program {#sec-30-kar-10-030 omnilex-key=us-ky-regs-official--title-30--30 KAR 10:030}

30 KAR 10:040 Cancellation, appeal, and withdrawal {#sec-30-kar-10-040 omnilex-key=us-ky-regs-official--title-30--30 KAR 10:040}

30 KAR 10:050 Application assistant training and designation {#sec-30-kar-10-050 omnilex-key=us-ky-regs-official--title-30--30 KAR 10:050}

30 KAR 10:060 Release of participant information to criminal justice officials or agencies {#sec-30-kar-10-060 omnilex-key=us-ky-regs-official--title-30--30 KAR 10:060}

30 KAR 10:070 School enrollment and record transfers {#sec-30-kar-10-070 omnilex-key=us-ky-regs-official--title-30--30 KAR 10:070}

30 KAR 10:080 Substitute address {#sec-30-kar-10-080 omnilex-key=us-ky-regs-official--title-30--30 KAR 10:080}

30 KAR 10:090 Exercise of program participant's privileges {#sec-30-kar-10-090 omnilex-key=us-ky-regs-official--title-30--30 KAR 10:090}

30 KAR 10:100 Attaining age of majority {#sec-30-kar-10-100 omnilex-key=us-ky-regs-official--title-30--30 KAR 10:100}

30 KAR 10:110 Service of process {#sec-30-kar-10-110 omnilex-key=us-ky-regs-official--title-30--30 KAR 10:110}

30 KAR 10:120 Recognition of certification in other state {#sec-30-kar-10-120 omnilex-key=us-ky-regs-official--title-30--30 KAR 10:120}

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