Agency Rulemaking Petition - Kentucky

PETITION FOR RULEMAKING — KENTUCKY

COVER LETTER

[__/__/____]

[________________________________]
[Agency Head Name / Title]
[________________________________]
[Agency Name / Cabinet]
[________________________________]
[Street Address]
[________________________________]
[City, State, ZIP Code]

Re: Petition for Rulemaking Under KRS 13A.120
Requesting: ☐ Adoption ☐ Amendment ☐ Repeal of Administrative Regulation
Subject Matter: [________________________________]

Dear [________________________________]:

Pursuant to KRS 13A.120, the undersigned petitioner(s) respectfully submit this Petition for Rulemaking requesting that [________________________________] [Agency Name / Cabinet] initiate rulemaking proceedings to [adopt/amend/repeal] an administrative regulation concerning [________________________________] [identify regulation or subject area].

Under Kentucky law, any interested person may petition an agency requesting the promulgation, amendment, or repeal of an administrative regulation. This petition sets forth the facts, technical justification, and legal authority supporting the requested action and includes the proposed text of the regulation.

The petitioner(s) request that the Agency take this petition under consideration and provide a written response within thirty (30) days as required by KRS 13A.120.

Respectfully submitted,

[________________________________]
[Petitioner Name / Title]
[________________________________]
[Organization / Firm Name]
[________________________________]
[Street Address]
[________________________________]
[City, State, ZIP Code]
[________________________________]
[Telephone Number]
[________________________________]
[Email Address]

FORMAL PETITION FOR RULEMAKING

BEFORE THE [________________________________] [AGENCY NAME / CABINET]

COMMONWEALTH OF KENTUCKY

PETITION NO.: [____] (Agency Assigned)

I. IDENTIFICATION OF PETITIONER(S)

Primary Petitioner:

Additional Petitioner(s): ☐ See Attachment A for additional petitioners

Attorney/Representative (if applicable):

II. TYPE OF RULEMAKING ACTION REQUESTED

☐ Adoption (promulgation) of a new administrative regulation
☐ Amendment of an existing administrative regulation
☐ Repeal of an existing administrative regulation

Existing Regulation Citation (if amendment or repeal):
Kentucky Administrative Regulations (KAR): [____] KAR [____]:[____]

Proposed Regulation Title: [________________________________]

Subject Matter Category: [________________________________]

III. STATEMENT OF NEED — FACTS AND TECHNICAL JUSTIFICATION

KRS 13A.120 requires that a petition for rulemaking set forth the facts, technical justification, and law which support the petition.

A. Description of the Problem or Regulatory Need

[________________________________]
[________________________________]
[________________________________]

Explain: (1) what specific problem, harm, or regulatory gap exists; (2) who is affected by the problem; (3) the severity and scope of the problem; and (4) why regulatory action is necessary.

B. Factual Basis Supporting the Petition

[________________________________]
[________________________________]
[________________________________]

Provide specific facts demonstrating the need for regulation:

☐ Documented incidents, complaints, or violations: [________________________________]
☐ Statistical data, studies, or research: [________________________________]
☐ Industry or practice changes: [________________________________]
☐ Federal regulatory developments: [________________________________]
☐ Court decisions: [________________________________]
☐ Technological or scientific advances: [________________________________]
☐ Other factual basis: [________________________________]

C. Technical Justification

[________________________________]
[________________________________]
[________________________________]

For petitions involving technical subject matter, provide scientific, engineering, or other technical support for the proposed regulation, including:

☐ Technical standards or guidelines: [________________________________]
☐ Expert analysis or reports: [________________________________]
☐ Industry best practices: [________________________________]
☐ Risk assessments: [________________________________]

D. Inadequacy of Current Regulations

[________________________________]
[________________________________]
[________________________________]

IV. PROPOSED REGULATION LANGUAGE

A. Complete Text of Proposed Regulation (New Adoption)

Provide the proposed regulation in the standard Kentucky Administrative Regulations format:

[____] KAR [____]:[____]. [Title of Proposed Regulation].

Section 1. Definitions. As used in this administrative regulation:
(1) "[________________________________]" means [________________________________];
(2) "[________________________________]" means [________________________________].

Section 2. [________________________________].
(1) [________________________________]
(2) [________________________________]

Section 3. [________________________________].
(1) [________________________________]
(2) [________________________________]

Section 4. Incorporation by Reference.
(1) "[________________________________]", [date], is incorporated by reference.
(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at [________________________________].

Section 5. Effective Date. This administrative regulation shall become effective [________________________________].

B. Proposed Amendment (Showing Changes)

For amendments, show the current text and proposed changes:

Current [____] KAR [____]:[____]:
[________________________________]
[________________________________]

Proposed Amendment (new language underlined, deleted language struck):
[________________________________]
[________________________________]

C. Proposed Repeal

If seeking repeal, identify the specific regulation(s):

V. LEGAL AUTHORITY ANALYSIS

A. Agency Rulemaking Authority

The [________________________________] [Agency Name] possesses the authority to promulgate the proposed regulation under:

1. Organic Statute: KRS [________________________________]
   - Grant of rulemaking authority: [________________________________]
   - Specific section: [________________________________]

2. KRS Chapter 13A: Governs the promulgation, amendment, and repeal of administrative regulations by Kentucky state agencies.

3. Additional Authority:
   - KRS [________________________________]
   - KRS [________________________________]

B. Petition Right Under KRS 13A.120

Under KRS 13A.120, any interested person may petition an agency requesting the promulgation, amendment, or repeal of an administrative regulation. The statute requires:

• The petition must be in writing
• The petition must set forth the facts, technical justification, and law supporting the petition
• The agency shall consider the petition
• Within thirty (30) days after the filing of the petition, the agency must either:
• Deny the petition in writing, stating the reasons for denial, or
• Initiate rulemaking proceedings

If rulemaking is initiated, the agency must begin the promulgation process within thirty (30) days of granting the petition.

C. Legislative Research Commission (LRC) and Administrative Regulation Review Subcommittee

Kentucky administrative regulations are subject to review by the Administrative Regulation Review Subcommittee of the Legislative Research Commission. Under KRS 13A.290:

☐ The Subcommittee reviews all proposed and amended regulations
☐ The Subcommittee may find a regulation deficient
☐ A deficiency finding triggers additional review under KRS 13A.330
☐ The Governor may override a deficiency finding

D. Constitutional and Preemption Analysis

☐ The proposed regulation does not violate the Kentucky Constitution
☐ The proposed regulation does not conflict with federal law or regulations
☐ The proposed regulation is consistent with existing Kentucky statutes
☐ The proposed regulation does not exceed the agency's delegated authority
☐ Preemption analysis attached (if applicable): [________________________________]

VI. IMPACT ANALYSIS

A. Economic Impact

B. Regulatory Impact Analysis Requirements

Kentucky requires agencies filing administrative regulations to include a Regulatory Impact Analysis (RIA) and a Tiering Statement. Under KRS 13A.240, the analysis must address:

☐ Need for the regulation and its statutory authority
☐ How the regulation conforms to the content of the authorizing statute
☐ How the regulation will be implemented
☐ Whether an existing regulation is being amended or replaced
☐ Whether the regulation is necessary to qualify for receipt of federal funds
☐ Estimated costs of compliance for state and local government
☐ Estimated costs of compliance for small businesses and other affected parties
☐ Tiering analysis — whether the regulation differentiates between groups affected

C. Environmental Impact

[________________________________]
[________________________________]

D. Impact on Specific Populations

VII. PUBLIC INTEREST ARGUMENTS

A. Health and Safety Benefits

[________________________________]
[________________________________]

B. Consumer Protection Benefits

[________________________________]
[________________________________]

C. Economic Development Benefits

[________________________________]
[________________________________]

D. Consistency with Commonwealth Policy

[________________________________]
[________________________________]

E. Stakeholder Support

VIII. SUPPORTING EVIDENCE AND EXHIBITS

IX. PETITIONER'S SPECIFIC REQUESTS

The petitioner(s) respectfully request that the [________________________________] [Agency Name]:

1. Acknowledge receipt of this petition in writing;

2. Within thirty (30) days, either initiate rulemaking proceedings or deny the petition in writing with specific reasons, as required by KRS 13A.120;

3. If rulemaking is initiated, commence the regulation promulgation process within thirty (30) days of granting the petition, including preparation of the Regulatory Impact Analysis and Tiering Statement required by KRS 13A.240;

4. Conduct a public hearing on the proposed administrative regulation under KRS 13A.220;

5. Provide the petitioner with notice of all proceedings, hearings, and actions taken on this petition;

6. File the proposed regulation with the Legislative Research Commission for review by the Administrative Regulation Review Subcommittee.

X. VERIFICATION AND SIGNATURE

I, [________________________________], declare under penalty of perjury that the foregoing statements are true and correct to the best of my knowledge, information, and belief.

Petitioner Signature: ______________________________

Printed Name: [________________________________]

Title: [________________________________]

Date: [__/__/____]

Attorney Signature (if applicable): ______________________________

Printed Name: [________________________________]

Kentucky Bar Number: [________________________________]

Date: [__/__/____]

FILING INSTRUCTIONS — KENTUCKY

Where to File

Primary Filing: File with the specific state agency or cabinet that has jurisdiction over the subject matter of the proposed regulation.

Agency Contact:

• Identify the agency's regulation coordinator or general counsel
• Check the agency's website for filing procedures
• The Legislative Research Commission maintains agency contact information

Legislative Research Commission (for reference):
700 Capital Avenue
Room 300, Capitol Building
Frankfort, KY 40601
Phone: (502) 564-8100
Website: https://legislature.ky.gov/

Administrative Regulation Review Subcommittee:
Legislative Research Commission
Frankfort, KY 40601

How to File

☐ Deliver by certified mail, return receipt requested
☐ Hand-deliver to the agency's designated office (obtain date-stamped receipt)
☐ Check whether the agency accepts electronic filing
☐ Retain a complete copy of the petition with proof of filing

Filing Requirements

☐ Original petition plus copies as required by the specific agency
☐ All exhibits and supporting documents properly labeled
☐ Cover letter addressed to agency head or regulation coordinator
☐ Written petition setting forth facts, technical justification, and law (KRS 13A.120)
☐ Proof of filing retained by petitioner

Filing Fee

Kentucky law does not impose a specific filing fee for petitions for rulemaking. Confirm with the specific agency or cabinet.

AGENCY RESPONSE REQUIREMENTS

Agency Obligations Under KRS 13A.120

Upon receipt of a properly filed petition for rulemaking, the agency must:

1. Consider the petition — Review the facts, technical justification, legal arguments, and proposed regulation text.

2. Respond within 30 days — Within thirty (30) days after the filing of the petition, the agency must either:
   - Deny the petition in writing, stating the reasons for denial, or
   - Initiate rulemaking proceedings under KRS Chapter 13A

3. If rulemaking is initiated, begin the promulgation process within 30 days of granting the petition.

Kentucky Rulemaking Process (If Petition Is Granted)

Regulatory Impact Analysis and Tiering Statement

Under KRS 13A.240, the agency must prepare and file the following with any proposed regulation:

☐ Statement of necessity for the regulation
☐ Statement of statutory authority
☐ Compliance costs for state and local government
☐ Compliance costs for small businesses and other regulated entities
☐ Impact on families (if applicable)
☐ Tiering analysis — differential treatment for different groups

Tracking Your Petition

☐ Record filing date — the 30-day response deadline runs from this date
☐ Calendar the 30-day deadline for agency response
☐ Monitor the Administrative Register of Kentucky for proposed regulations
☐ Check the LRC website for Administrative Regulation Review Subcommittee agendas
☐ Follow up in writing if no response by day 25

APPEAL OF DENIAL

Options if the Petition Is Denied

If the agency denies the petition for rulemaking, the petitioner may pursue the following:

A. Judicial Review

• Under KRS 13B.140 and KRS 13B.150, judicial review of agency action may be available
• File a petition for judicial review in the Franklin Circuit Court (or appropriate circuit court)
• The court reviews whether the denial was:
  ☐ In violation of constitutional or statutory provisions
  ☐ In excess of the agency's statutory authority
  ☐ Without support of substantial evidence
  ☐ Arbitrary, capricious, or characterized by abuse of discretion
  ☐ Deficient in procedure required by law

B. Legislative Action

• Contact members of the Kentucky General Assembly
• Petition the Administrative Regulation Review Subcommittee of the LRC
• Request that the General Assembly direct the agency to promulgate the regulation through legislation
• The Governor may also direct agency action on regulatory matters

C. Renewed Petition

• Submit a revised petition addressing the specific reasons cited for denial
• Provide additional facts, technical justification, and legal authority
• Build broader stakeholder and coalition support
• Allow 6-12 months before refiling

D. Governor's Office

• The Governor has broad authority over executive branch agencies
• Contact the Governor's Office regarding the regulatory matter
• Under KRS 13A.330, the Governor may act on regulations found deficient by the Subcommittee

Judicial Review Standards

Kentucky courts apply the following standards when reviewing agency denials:

☐ Arbitrary and capricious standard (primary standard for discretionary decisions)
☐ Substantial evidence test (for fact-based determinations)
☐ Statutory authority review (whether the agency acted within its jurisdiction)
☐ Procedural compliance (whether the agency followed required procedures)

DOCUMENT CHECKLIST

Pre-Filing Checklist

☐ Identified the correct agency or cabinet with jurisdiction
☐ Researched agency-specific filing requirements and regulation coordinator contact
☐ Confirmed agency mailing address
☐ Researched statutory authority for the proposed regulation
☐ Reviewed the Kentucky Administrative Regulations on the subject
☐ Checked the Administrative Register of Kentucky for pending related regulations
☐ Reviewed LRC website for Subcommittee activity on the topic

Petition Components

☐ Cover letter addressed to agency head
☐ Formal petition with all required sections
☐ Facts supporting the petition (required by KRS 13A.120)
☐ Technical justification (required by KRS 13A.120)
☐ Legal authority analysis (required by KRS 13A.120)
☐ Proposed regulation text in standard KAR format
☐ Impact analysis (economic, regulatory, environmental)
☐ Public interest arguments
☐ Supporting exhibits properly labeled and indexed

Filing Requirements

☐ Petition in writing (required by KRS 13A.120)
☐ Petition signed and dated
☐ Attorney signature (if represented)
☐ Sufficient copies prepared
☐ Filed by certified mail or hand-delivered with receipt

Post-Filing Actions

☐ Calendar 30-day response deadline from date of filing
☐ Calendar 25-day follow-up reminder
☐ Monitor Administrative Register of Kentucky for proposed regulations
☐ Check LRC Administrative Regulation Review Subcommittee schedule
☐ Prepare for potential public hearing testimony
☐ Notify stakeholders of filing

PRACTICE TIPS FOR KENTUCKY PRACTITIONERS

Strengthening Your Petition

1. Meet the triple requirement. KRS 13A.120 specifically requires facts, technical justification, and law. Structure your petition clearly around all three elements — an omission may give the agency grounds for denial.

2. Use the 30-day deadline strategically. Kentucky's 30-day statutory deadline is one of the shortest in the country. Note this deadline in your petition and follow up promptly.

3. Draft in KAR format. Kentucky administrative regulations follow a specific format. Review existing regulations in the relevant KAR title and model your proposed text accordingly.

4. Anticipate the Regulatory Impact Analysis. The agency must prepare an RIA and Tiering Statement before filing the regulation with LRC. Providing your own impact analysis assists the agency and demonstrates thoroughness.

5. Engage with the Administrative Regulation Review Subcommittee. The Subcommittee has significant authority to review and find regulations deficient. Understanding the Subcommittee's priorities and concerns can inform how you structure the proposed regulation.

6. Build legislative support. Legislators serve on the Administrative Regulation Review Subcommittee and can influence agency priorities. Informing supportive legislators of your petition enhances its institutional weight.

7. Address Governor's priorities. The Governor has final authority on deficient regulations and may direct agency action. Aligning your petition with stated gubernatorial priorities strengthens the proposal.

Common Pitfalls to Avoid

1. Omitting technical justification. KRS 13A.120 specifically requires technical justification — not merely legal and factual arguments.
2. Missing the 30-day deadline tracking. Calendar the response deadline immediately upon filing and follow up if no response by day 25.
3. Filing with the wrong agency or cabinet. Verify which agency within which cabinet has jurisdiction.
4. Proposing regulations beyond statutory authority. The Subcommittee closely scrutinizes whether regulations exceed the agency's organic statute.
5. Ignoring the RIA and Tiering requirements. Addressing these proactively shows the petition is serious and well-researched.

Timeline Expectations

• Agency response deadline: 30 days from filing (KRS 13A.120)
• Agency must initiate rulemaking: Within 30 days of granting the petition
• Public comment and hearing period: Minimum 30 days after filing with LRC
• Subcommittee review cycle: Monthly meetings
• Total rulemaking process (if initiated): 4-12 months from petition to effective date

SOURCES AND REFERENCES

Primary Kentucky Statutes

• KRS 13A.120 — Petition for Adoption, Amendment, or Repeal (30-day response, facts/technical justification/law requirement)
• KRS Chapter 13A — Administrative Regulations (complete chapter)
• KRS 13A.220 — Filing of Proposed Regulations with LRC; Public Hearing
• KRS 13A.240 — Regulatory Impact Analysis and Tiering Statement
• KRS 13A.290 — Administrative Regulation Review Subcommittee
• KRS 13A.330 — Adoption and Effective Date; Governor's Authority on Deficient Regulations
• KRS 13B — Administrative Hearings
• KRS 13B.140–13B.150 — Judicial Review of Agency Action

Administrative Resources

• Administrative Register of Kentucky — Official publication for proposed and adopted regulations
• Kentucky Administrative Regulations (KAR): https://apps.legislature.ky.gov/law/kar/
• Legislative Research Commission: https://legislature.ky.gov/
• Administrative Regulation Review Subcommittee — Schedule and agendas available through LRC
• Kentucky Revised Statutes Online: https://apps.legislature.ky.gov/law/statutes/

Helpful References

• Kentucky Bar Association, Administrative Law Section resources
• Legislative Research Commission, Guide to the Administrative Regulation Process in Kentucky
• Kentucky Chamber of Commerce, regulatory compliance resources

This template is designed for use by Kentucky attorneys and interested persons seeking to petition state agencies for rulemaking action. It should be adapted to the specific requirements of the target agency or cabinet. All statutory citations should be verified for current accuracy before filing. This document does not constitute legal advice.