Expungement / Record Sealing Petition and Eligibility Memo — Kentucky

Kentucky Expungement Petition and Eligibility Memo

Complete and file the current Kentucky Court of Justice form for the selected
pathway. This document is an attorney work product and supplemental-drafting
template, not a substitute for AOC-496.2, AOC-496.3, or AOC-497.2. The current
KRS 431.073 version remains effective through April 30, 2027.

Part A — Eligibility Memorandum

TO: [CLIENT NAME]

FROM: [ATTORNEY NAME], [LAW FIRM]

DATE: [__/__/____]

RE: Kentucky expungement eligibility, Case No. [________________________________]

1. Conclusion

[PETITIONER NAME] is ☐ eligible now ☐ potentially eligible after [DATE OR EVENT]
☐ not eligible under the reviewed statutes.

The applicable route is:

☐ KRS 431.073 — eligible felony conviction

☐ KRS 431.078 — misdemeanor, violation, or traffic-infraction conviction

☐ KRS 431.076 — acquittal, dismissal, or failure to indict

☐ Automatic KRS 431.076(1)(a) expungement should already have occurred

2. Record Reviewed

3. Nonconviction Analysis — KRS 431.076

Automatic Route

For an acquittal or dismissal with prejudice entered on or after July 15, 2020, the
court must order expungement after 30 days unless the person objects. The dismissal
cannot be exchanged for a guilty plea to another charge. A traffic infraction not
otherwise classified as a misdemeanor is excluded.

☐ The record qualifies for automatic expungement.

☐ The docket confirms an automatic order entered on [__/__/____].

☐ The record was not automatically expunged, so a petition route must be analyzed.

Petition Timing

A petition after acquittal or dismissal must be filed in the court where the disposition
occurred. A failure-to-indict petition is filed in the District Court where the felony
charges originated.

Conclusion: [Apply the disposition, date, guilty-plea exchange rule, and automatic
order status.]

4. Misdemeanor, Violation, or Traffic Analysis — KRS 431.078

KRS 431.078 does not impose a separate ten-year filing wait on every DUI conviction.
The statute uses a five-year filing wait and separately requires that any repeat-offense
enhancement period have expired. Analyze the specific offense's enhancement statute
before filing.

If the eligible convictions arose from one incident, the court must order expungement
when the statutory findings are made. If a series arose from different incidents, the
court has discretion to grant relief.

Conclusion: [State whether subsection (1)(a) or (1)(b) applies and why.]

5. Felony Analysis — KRS 431.073

Offense Route

☐ KRS 431.073(1)(a): enumerated Class D felony

☐ KRS 431.073(1)(b): series of enumerated Class D felonies from one incident

☐ KRS 431.073(1)(c): full pardon

☐ KRS 431.073(1)(d): other eligible Class D felony or qualifying pre-1975 offense

For subsection (1)(d), confirm the conviction is not DUI under KRS 189A.010,
fourth-degree assault under KRS 508.032, impersonating a peace officer under KRS
519.055, abuse of public office, a sex offense, an offense against a child, or an offense
resulting in serious bodily injury or death.

General Findings

For a subsection (1)(d) application, the court must find rehabilitation and no
significant threat of recidivism. If the Commonwealth objects, the applicant must prove
by clear and convincing evidence that relief is consistent with public welfare and safety,
is supported by post-conviction rehabilitation and a law-abiding life, is warranted by
the interests of justice, and satisfies any other matter the court deems appropriate.

Conclusion: [Identify the offense route, waiting-period calculation, findings, and
evidence needed.]

6. Certification, Forms, and Fees

KRS 431.079 requires a certification with every petition or application seeking
expungement of a conviction. Both the Kentucky State Police and Administrative Office
of the Courts conduct the underlying checks. The certification costs $40 and the
conviction petition must be filed before it expires 30 days after availability.

The felony court order is AOC-496.4. The misdemeanor order is AOC-496, and the
nonconviction order is AOC-497.

Part B — Supplemental Allegations for the Official Form

Use only if additional allegations are appropriate under local practice. Do not alter
the AOC form or present this supplement as an official AOC form.

[________________________________] COURT

[________________________________] COUNTY, KENTUCKY

CASE NO. [________________________________]

Supplement to ☐ AOC-496.3 ☐ AOC-496.2 ☐ AOC-497.2

1. The applicant seeks relief under KRS [431.073 / 431.076 / 431.078] for the
   following charge or conviction:

2. The official filing form and every required certification are filed with this
   supplement.

Conviction Route Allegations

3. The sentence was completed on [__/__/____]. Probation or parole was successfully
   completed on [__/__/____]. The later date is [__/__/____].

4. During the five years before filing, the applicant was not convicted of a felony or
   misdemeanor.

5. No felony or misdemeanor proceeding is pending or being instituted against the
   applicant.

6. For a KRS 431.078 filing, the offense was not a sex offense or offense against a
   child and ☐ is not enhancement-eligible ☐ its enhancement period expired on
   [__/__/____].

7. For a KRS 431.073(1)(d) filing, the applicant has been rehabilitated and poses no
   significant threat of recidivism. Supporting facts include:
   [____________________________________________________________]
   [____________________________________________________________]

8. The attached certification became available on [__/__/____] and has not expired.

Nonconviction Route Allegations

9. The charge was ☐ acquitted ☐ dismissed with prejudice ☐ dismissed without
   prejudice ☐ held to the grand jury without indictment or information.

10. The disposition was not exchanged for a guilty plea to another charge.

11. The applicable 60-day, six-month, one-year, or three-year period expired on
    [__/__/____].

12. If the disposition was an acquittal or dismissal with prejudice on or after July 15,
    2020, the record was not automatically expunged. The docket was reviewed on
    [__/__/____].

Requested Relief

The applicant requests the relief authorized by the selected statute and the official AOC
form, including expungement by each identified agency holding a record of the matter.

Respectfully submitted,

[________________________________]

[ATTORNEY NAME], KBA No. [________________________________]

[LAW FIRM]

[ADDRESS]

[PHONE]

[EMAIL]

Counsel for Defendant/Applicant

Filing and Follow-Up Checklist

☐ Use the current AOC form and list every charge requested for expungement.

☐ Attach a current certification to a conviction petition.

☐ File AOC-496.3 in the court of conviction as a motion in the original criminal case.

☐ File AOC-496.2 in the court of conviction.

☐ File AOC-497.2 in the court of disposition or, for failure to indict, in the originating
District Court.

☐ List every government agency that may hold the record.

☐ For felony relief, calendar the prosecutor's 60-day response period and the
120-day outer limit for a hearing.

☐ For a KRS 431.078 petition, calendar the hearing no sooner than 30 days after filing.

☐ For a failure-to-indict petition, calendar the statutory 90-day response procedure.

☐ After a felony grant, confirm payment or an installment plan for the $250
expungement fee; expungement is not completed until payment in full.

☐ For a KRS 431.076 order, confirm that named agencies certify completion within
60 days.

Official Sources and Forms

• KRS 431.073 — Felony vacatur and expungement
• KRS 431.076 — Nonconviction expungement
• KRS 431.078 — Misdemeanor, violation, and traffic expungement
• KRS 431.079 — Certification for conviction expungement
• Kentucky Court of Justice — Expungement Certification Process
• Kentucky Court of Justice — Legal Forms