Expungement / Record Sealing Petition and Eligibility Memo — Kentucky

Expungement / Record Sealing Petition and Eligibility Memo (KENTUCKY)

Quick-Reference Summary

Part A — Eligibility Memo

TO: [CLIENT NAME]
FROM: [ATTORNEY NAME], [LAW FIRM]
RE: Eligibility for Expungement under Kentucky Law (KRS §§ 431.073, 431.076, 431.078)
DATE: [__/__/____]

1. Executive Summary

Kentucky's expungement framework is petition-based: relief requires affirmative filing in the court of conviction, satisfaction of statutory waiting periods, and (for felonies) issuance of a Certificate of Eligibility by the Administrative Office of the Courts under KRS 431.079. Three principal pathways exist:

1. Arrest / non-conviction expungement (KRS 431.076) — acquittals, dismissals with prejudice, and arrests not resulting in indictment within 12 months.
2. Misdemeanor, violation, and traffic-infraction expungement (KRS 431.078) — after a 5-year waiting period.
3. Class D felony expungement (KRS 431.073) — after a 5-year waiting period, only for offenses on the statutory eligibility list, subject to rehabilitation finding.

Based on the facts provided, [PETITIONER NAME] is [ELIGIBLE / NOT YET ELIGIBLE / INELIGIBLE] under [STATUTE], for the reasons stated in Sections 3–5.

2. Petitioner Information

3. Pathway 1 — Arrest, Acquittal, or Dismissal (KRS 431.076)

4. Pathway 2 — Misdemeanor / Violation / Traffic (KRS 431.078)

5. Pathway 3 — Class D Felony (KRS 431.073)

6. Categorical Exclusions (Apply Across Pathways 2 and 3)

7. Recommendation

[Based on the facts and law above, recommend filing under KRS § [____] on or after [__/__/____]; identify any cure steps (restitution payoff, waiting-period completion, AOC Certificate of Eligibility application) that must precede filing.]

Part B — Petition Template

In the [CIRCUIT / DISTRICT] Court of [COUNTY] County, Kentucky
Case No.: [________________]

PETITION TO VACATE AND EXPUNGE [FELONY / MISDEMEANOR] CONVICTION

Petitioner [PETITIONER NAME], by and through undersigned counsel, respectfully petitions this Court under KRS § [431.073 / 431.078 / 431.076] for an order vacating and expunging the conviction(s) and all related records identified below. In support, Petitioner states:

I. Petitioner

1. Petitioner's full legal name is [PETITIONER NAME].
2. Petitioner's date of birth is [__/__/____].
3. Petitioner's current address is [________________________________].
4. Petitioner's Social Security number (last four): [____].

II. Conviction Sought to Be Expunged

5. On [__/__/____], in this Court, Petitioner was convicted of [OFFENSE NAME], in violation of KRS § [________], a [Class D felony / Class A misdemeanor / Class B misdemeanor / violation / traffic infraction], in Case No. [________].
6. Petitioner was sentenced to [SENTENCE], including [____] year(s) of probation/parole.
7. Petitioner completed the sentence, including all probation, parole, and restitution, on [__/__/____].
8. Petitioner has paid all court costs, fines, fees, and restitution in full. (Receipts attached as Exhibit A.)

III. Statutory Eligibility

9. The offense identified in Paragraph 5 [is a Class D felony enumerated in KRS 431.073(1) / is a misdemeanor, violation, or traffic infraction eligible under KRS 431.078 / resulted in acquittal or dismissal with prejudice under KRS 431.076].
10. More than five (5) years have elapsed since the later of (a) completion of Petitioner's sentence and (b) successful completion of probation or parole.
11. Petitioner has not been convicted of any misdemeanor or felony in the five (5) years preceding this Petition.
12. Petitioner has no criminal proceedings pending in any court.
13. The offense is not subject to enhancement within an unexpired enhancement window.
14. The offense is not a sex offense, an offense against a child, a DUI under KRS 189A.010, a domestic-assault offense under KRS 508.032, an offense resulting in serious bodily injury or death, an abuse-of-public-office offense, or otherwise excluded under KRS 431.073(1) or 431.078(7).

IV. Certificate of Eligibility (Felony Pathway Only)

15. Petitioner obtained a Certificate of Eligibility from the Administrative Office of the Courts under KRS 431.079 on [__/__/____]. A true copy is attached as Exhibit B.

V. Rehabilitation (Felony Pathway Only — KRS 431.073(4))

16. Petitioner has been rehabilitated and poses no significant threat of recidivism. In support, Petitioner attaches:
    - Employment history and letter(s) from current employer (Exhibit C);
    - Letters of community reference (Exhibit D);
    - Evidence of continuing education, vocational training, or treatment (Exhibit E);
    - Statement of personal circumstances supporting expungement (Exhibit F).

VI. Filing Fee

17. Petitioner has tendered the $[250 / 100] filing fee required by KRS § [431.073(5) / 431.078(8)].

VII. Relief Requested

WHEREFORE, Petitioner respectfully requests that this Court:

A. Set this Petition for hearing if the Commonwealth objects;
B. Enter an order vacating the conviction(s) identified above;
C. Order the expungement of all records of the arrest, charge, conviction, and sentence, including the records of the court, the Kentucky State Police, the Administrative Office of the Courts, the Department of Corrections, the prosecuting attorney's office, the arresting law-enforcement agency, and any other agency holding such records;
D. Direct that, upon expungement, the proceedings be deemed never to have occurred, and Petitioner may lawfully deny the existence of the records (subject to KRS 431.073(6) / 431.078(6) exceptions);
E. Grant such other relief as the Court deems just and proper.

Respectfully submitted,

_______________________________
[ATTORNEY NAME], KBA No. [______]
[LAW FIRM]
[ADDRESS]
[PHONE] | [EMAIL]
Counsel for Petitioner

Certificate of Service

I certify that on [__/__/____] a true copy of the foregoing Petition was served on the [Commonwealth's Attorney / County Attorney] for [COUNTY] County and on the named victim(s), if any, by [METHOD OF SERVICE].

_______________________________
[ATTORNEY NAME]

Part C — Filing Checklist

Pre-Filing

☐ Confirm offense is not categorically excluded (sex offense, child-victim offense, DUI, domestic assault, public-office abuse, serious bodily injury/death)
☐ Confirm 5-year waiting period has run from later of sentence completion or probation/parole completion
☐ Confirm no convictions in the preceding 5 years
☐ Confirm no pending criminal proceedings in any jurisdiction
☐ Confirm all restitution, fines, fees, and court costs paid (obtain receipts)
☐ Confirm offense is not in an unexpired enhancement window
☐ For Class D felony: apply for AOC Certificate of Eligibility under KRS 431.079 (allow 60+ days)
☐ For misdemeanor: consider AOC Certificate of Eligibility for streamlined review
☐ Pull certified copies of judgment, sentencing order, probation/parole discharge
☐ Identify victim(s), if any, and confirm notice address
☐ Gather rehabilitation evidence (employment, education, references, treatment records)

Filing

☐ Use correct AOC form (AOC-496 felony / AOC-491 misdemeanor / AOC-494 acquittal-dismissal) or supplemental petition
☐ Attach Certificate of Eligibility (Exhibit B) for felony petitions
☐ Attach proof of payment of restitution, fines, costs (Exhibit A)
☐ Attach rehabilitation evidence (Exhibits C–F) for felony petitions
☐ Tender filing fee: $250 felony / $100 misdemeanor / $0 acquittal-dismissal
☐ File in court of original conviction
☐ Serve Commonwealth's Attorney (felony) or County Attorney (misdemeanor)
☐ Serve victim(s), if any, by certified mail
☐ Calendar Commonwealth's objection deadline (60 days under KRS 431.073(4))

Post-Order

☐ Obtain certified copies of expungement order
☐ Serve order on: Kentucky State Police (Records Section, Frankfort), Administrative Office of the Courts, Department of Corrections (if applicable), arresting agency, prosecuting attorney, jail/booking facility, and any private background-check vendors holding records
☐ Confirm KSP central repository update (allow 60–90 days)
☐ Provide client written confirmation of expungement, including KRS 431.073(6) / 431.078(6) language permitting denial of conviction
☐ Advise client of remaining federal-disclosure obligations (e.g., ATF Form 4473, immigration filings, security clearance applications)
☐ Calendar fee-refund deadline if petition was denied (felony only)

Sources and References

• KRS § 431.073 (Class D felony expungement): https://apps.legislature.ky.gov/law/statutes/statute.aspx?id=53904
• KRS § 431.076 (Expungement after acquittal or dismissal): https://apps.legislature.ky.gov/law/statutes/statute.aspx?id=45220
• KRS § 431.078 (Misdemeanor / violation / traffic expungement): https://apps.legislature.ky.gov/law/statutes/statute.aspx?id=45221
• Kentucky Court of Justice — Expungement Certification Process: https://www.kycourts.gov/AOC/Information-and-Technology/Pages/Expungement.aspx
• Department of Public Advocacy — Expungement in Kentucky: A Guide for Legal Practitioners: https://dpa.ky.gov/wp-content/uploads/2022/02/Lawyers-Guide-to-Expungement-2020-update.pdf
• Collateral Consequences Resource Center — Kentucky Restoration of Rights: https://ccresourcecenter.org/state-restoration-profiles/kentucky-restoration-of-rights-pardon-expungement-sealing/
• Kentucky State Police — Expungement Certification: https://www.kentuckystatepolice.ky.gov/expungements