Agency Rulemaking Petition - Kentucky

NONSTATUTORY REQUEST FOR AGENCY RULEMAKING — KENTUCKY

Use limitation: KRS 13A.120 governs an agency's authority and prohibitions when promulgating regulations; it does not create the general petition right or 30-day response procedure previously stated in this template. Treat this document as a voluntary request unless an agency-specific statute or regulation supplies a petition procedure.

COVER LETTER

[__/__/____]

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

Re: Nonstatutory Request to Consider Rulemaking
Requesting: ☐ Adoption ☐ Amendment ☐ Repeal of Administrative Regulation
Subject Matter: [________________________________]

Dear [________________________________]:

The undersigned requester(s) respectfully ask [________________________________] [Agency Name / Cabinet] to consider whether it should initiate lawful proceedings to [adopt/amend/repeal] an administrative regulation concerning [________________________________] [identify regulation or subject area].

This request supplies facts, technical material, proposed text, and an analysis of the agency's organic authority for the agency's voluntary consideration. Before acting, the agency must independently satisfy current KRS Chapter 13A, including KRS 13A.105 and 13A.120.

The requester(s) ask the Agency to acknowledge receipt and advise whether an agency-specific procedure or response schedule applies.

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

Although Chapter 13A does not prescribe a general petition format, a useful request should identify the facts, technical basis, policy rationale, and statutory authority supporting the requested action.

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. Status of This Request; Current Promulgation Gates

KRS Chapter 13A does not create a general interested-person petition right or require an agency to decide this request within thirty days. Identify any agency-specific petition authority here: [________________________________].

If the agency elects to proceed, counsel must confirm that it has subject-specific statutory authority and satisfies KRS 13A.105. That section restricts new, amended, and repealing regulations after March 31, 2025 unless the agency makes an applicable statutory certification; specified executive-branch bodies also require the Governor's certification. KRS 13A.120 separately bars regulations outside clear statutory authority and makes violating regulations void and unenforceable.

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. Identify any agency-specific statute, regulation, policy, or schedule governing this request;

3. If rulemaking is initiated, confirm the agency's organic authority and the certifications required by KRS 13A.105 before filing a proposed regulation;

4. Follow current KRS Chapter 13A for filing, notice, public-comment, legislative-review, and effective-date requirements;

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 nonstatutory request identifying facts, technical support, and organic statutory authority
☐ Proof of filing retained by petitioner

Filing Fee

Confirm with the specific agency or cabinet whether it accepts voluntary rulemaking requests and whether any fee or submission protocol applies.

AGENCY RESPONSE AND NEXT STEPS

No General Chapter 13A Response Deadline

KRS 13A.120 does not require the agency to consider or answer this request within thirty days. Do not calendar a statutory response deadline unless an agency-specific authority supplies one.

If the agency elects to evaluate the request, ask it to:

1. Confirm receipt and identify the responsible contact;
2. Identify any agency-specific procedure or expected review schedule; and
3. Explain whether the agency believes it has authority and a current KRS 13A.105 basis to proceed.

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 the submission date and proof of receipt
☐ Calendar only an agency-specific response date confirmed by authority or the agency
☐ Monitor the Administrative Register of Kentucky for proposed regulations
☐ Check the LRC website for Administrative Regulation Review Subcommittee agendas
☐ Follow up on a reasonable nonstatutory schedule

OPTIONS IF THE AGENCY DECLINES

Options if the Petition Is Denied

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

A. Legal Review

A refusal to act on a voluntary request is not automatically a final order reviewable under KRS Chapter 13B. Kentucky counsel should determine whether any agency-specific statute creates a duty, hearing right, final order, or judicial remedy on the particular facts.

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 voluntary request
☐ Technical and policy justification
☐ Agency organic-authority and KRS 13A.105 analysis
☐ Proposed regulation text in standard KAR format
☐ Impact analysis (economic, regulatory, environmental)
☐ Public interest arguments
☐ Supporting exhibits properly labeled and indexed

Filing Requirements

☐ Request in writing under any confirmed agency procedure
☐ Request signed and dated
☐ Attorney signature (if represented)
☐ Sufficient copies prepared
☐ Filed by certified mail or hand-delivered with receipt

Post-Filing Actions

☐ Calendar any confirmed agency-specific response date
☐ Calendar a reasonable 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. Do not invoke a nonexistent general petition procedure. Identify the request as voluntary unless a target-agency statute or regulation expressly creates a petition process.

2. Lead with authority and the current certification gate. Identify the organic statute and explain which KRS 13A.105 criterion could permit the agency to proceed.

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. Mislabeling KRS 13A.120. It governs promulgation authority and prohibitions, not an interested-person petition right.
2. Inventing a response deadline. Chapter 13A supplies no general 30-day decision deadline for this voluntary request.
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: None under general KRS Chapter 13A; check agency-specific law
• Agency initiation deadline: None created by KRS 13A.120 for this request
• Rulemaking schedule: Confirm against the current statutes, LRC calendar, and target agency procedure

SOURCES AND REFERENCES

Primary Kentucky Statutes

• KRS 13A.100 — Matters that must be prescribed by administrative regulation
• KRS 13A.105 — Current criteria and certifications for new, amended, and repealing regulations
• KRS 13A.120 — Promulgation authority and prohibitions; no general petition procedure
• KRS Chapter 13A — Administrative Regulations (complete chapter)
• KRS 13A.240 — Regulatory Impact Analysis and Tiering Statement
• KRS 13A.290 — Administrative Regulation Review Subcommittee

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/
• Current KRS Chapter 13A: https://apps.legislature.ky.gov/law/statutes/chapter.aspx?id=37084
• 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.