IMPORTANT: THIS IS A PREPARATION GUIDE — NOT THE OFFICIAL COURT FORM

Kentucky requires the use of official AOC forms for expungement petitions: AOC-496.2
(misdemeanor/violation/traffic conviction expungement) and AOC-497.2 (acquittal,
dismissal, or failure-to-indict expungement). This template provides the substantive legal
content to help you prepare — but you must transfer your content to the official form
before filing. The official forms are available at
https://www.kycourts.gov/Legal-Forms/Pages/default.aspx.
Do not file this document directly with the court.

COMMONWEALTH OF KENTUCKY

☐ CIRCUIT COURT   ☐ DISTRICT COURT

[________________________________] COUNTY

DIVISION: [________________________________]

CASE NO.: [________________________________]

PETITIONER: [________________________________]

Last Four SSN: XXX-XX-[____]   DOB: [__/__/____]   SID No.: [________________________________]

v.

RESPONDENT: COMMONWEALTH OF KENTUCKY

By and through the Office of the ☐ County Attorney ☐ Commonwealth's Attorney

PETITION FOR EXPUNGEMENT OF CRIMINAL RECORD

(Pursuant to KRS 431.073, KRS 431.076, KRS 431.078, and/or KRS 431.079)

TABLE OF CONTENTS

1. Preliminary Statement
2. Type of Expungement Sought
3. Factual Background and Criminal History
4. Eligibility Requirements
5. Certificate of Eligibility
6. Rehabilitation and Community Reintegration
7. Legal Standard
8. Prayer for Relief
9. Verification
10. Attorney Signature Block
11. Notary Acknowledgment
12. Certificate of Service
13. Proposed Order

I. PRELIMINARY STATEMENT

Petitioner [________________________________] ("Petitioner") respectfully petitions this Court, pursuant to Kentucky Revised Statutes Chapter 431, for an Order expunging and sealing all records related to the criminal case described herein. Petitioner has obtained a Certificate of Eligibility from the Kentucky State Police ("KSP") as required by KRS 431.079, has satisfied all statutory prerequisites, and submits this Petition within thirty (30) days of the Certificate's date of issuance.

II. TYPE OF EXPUNGEMENT SOUGHT

Petitioner seeks expungement under the following statutory provision (check one):

Option A: Felony Conviction — KRS 431.073

☐ Petitioner was convicted of one or more Class D felonies eligible for vacatur and expungement under KRS 431.073(1).

☐ Five (5) years have elapsed since the completion of Petitioner's sentence, including any period of probation, parole, or conditional discharge. KRS 431.073(2)(a).

☐ The offense(s) are not among the excluded offenses listed in KRS 431.073(1)(a)-(n), including:
- Sex offenses (KRS Chapter 510)
- Offenses against minors (KRS 530.064, 531.310, etc.)
- Assault in the first or second degree (KRS 508.010, 508.020)
- Robbery in the first degree (KRS 515.020)
- Arson in the first degree (KRS 513.020)
- Human trafficking (KRS 529.100)
- Other excluded offenses as specified in KRS 431.073(1)

Option B: Misdemeanor/Violation Conviction — KRS 431.078

☐ Petitioner was convicted of one or more misdemeanors or violations eligible for expungement under KRS 431.078(1).

☐ Five (5) years have elapsed since the completion of Petitioner's sentence, including probation. KRS 431.078(2).

☐ The offense(s) are not sex offenses or offenses against minors.

☐ For DUI offenses: Ten (10) years have elapsed since the completion of sentence. KRS 431.078(2)(b).

Option C: Dismissal or Acquittal — KRS 431.076

☐ The charge(s) against Petitioner were dismissed with prejudice or Petitioner was acquitted of all charges.

☐ No waiting period is required for this type of expungement.

Option D: Arrest Record Only

☐ Petitioner was arrested but no charges were filed, or charges were dismissed without prejudice.

☐ Petitioner seeks expungement of the arrest record only.

III. FACTUAL BACKGROUND AND CRIMINAL HISTORY

A. Underlying Case Information

1. Petitioner was charged in this Court under Case No. [________________________________] with the following offense(s):

2. Disposition:
   ☐ Conviction — Judgment of conviction was entered on [__/__/____].
   ☐ Guilty Plea — Petitioner entered a guilty plea on [__/__/____].
   ☐ Acquittal — Petitioner was acquitted on [__/__/____].
   ☐ Dismissal with Prejudice — The case was dismissed with prejudice on [__/__/____].

3. Sentence imposed (if applicable):
   ☐ Incarceration: [________________________________]
   ☐ Probation: [________________________________] (term and conditions)
   ☐ Fines: $[________________________________]
   ☐ Restitution: $[________________________________]
   ☐ Community service: [____] hours
   ☐ Other conditions: [________________________________]

B. Completion of Sentence

4. Petitioner fully completed all terms of sentence, probation, parole, conditional discharge, and restitution on [__/__/____].

5. ☐ All fines and court costs have been paid in full.
   ☐ All restitution has been paid in full.
   ☐ Probation/parole was successfully completed without revocation.

C. Post-Disposition Criminal History

6. Since the completion of sentence on the above case:
   ☐ Petitioner has not been convicted of any felony or misdemeanor offense.
   ☐ Petitioner has no pending criminal charges in any jurisdiction.
   ☐ Petitioner has not been arrested for any offense.

IV. ELIGIBILITY REQUIREMENTS

Petitioner affirms compliance with all statutory prerequisites:

☐ Waiting Period Satisfied. More than [____] years have elapsed since the completion of Petitioner's sentence:
- Date of sentence completion: [__/__/____]
- Required waiting period: ☐ 5 years (felony/misdemeanor) ☐ 10 years (DUI) ☐ None (dismissal/acquittal)
- Waiting period elapsed on: [__/__/____]

☐ No Disqualifying Convictions. Petitioner has not been convicted of any other offense during the waiting period.

☐ No Pending Charges. No felony or misdemeanor charges are presently pending against Petitioner in any jurisdiction.

☐ Eligible Offense. The offense(s) are among those eligible for expungement under the applicable statute and are not among the excluded categories.

☐ Certificate of Eligibility Obtained. Petitioner has obtained a Certificate of Eligibility from the Kentucky State Police pursuant to KRS 431.079, dated [__/__/____].

☐ Filing Within 30 Days. This Petition is filed within thirty (30) days of the Certificate's date of issuance, as required by KRS 431.079(5).

☐ Filing Fees Paid.
- $40.00 for issuance of the Certificate (KRS 431.079(2))
- $50.00 filing fee deposited with the Circuit/District Clerk (KRS 431.079(4))

V. CERTIFICATE OF ELIGIBILITY

7. Pursuant to KRS 431.079, Petitioner applied for and received a Certificate of Eligibility from the Kentucky State Police. The Certificate, dated [__/__/____], confirms Petitioner's prima facie statutory eligibility for expungement.

8. The original Certificate of Eligibility is attached hereto as Exhibit A.

9. The Certificate was processed by KSP and reflects that Petitioner's criminal history record is consistent with the eligibility requirements of KRS 431.073 / KRS 431.078 (as applicable).

VI. REHABILITATION AND COMMUNITY REINTEGRATION

Petitioner respectfully submits the following evidence demonstrating rehabilitation and reintegration into the community:

10. Employment: Petitioner has been employed as [________________________________] at [________________________________] since [__/__/____]. ☐ Employment verification is attached as Exhibit [____].

11. Education: Petitioner ☐ completed ☐ is enrolled in [________________________________] at [________________________________]. ☐ Documentation attached as Exhibit [____].

12. Community Involvement: Petitioner has been active in [________________________________] (volunteer organizations, religious institutions, community groups) since [________________________________].

13. Family and Residence Stability: Petitioner resides at [________________________________] with [________________________________] (family members) and supports [____] dependents.

14. Treatment/Counseling: ☐ Petitioner successfully completed [________________________________] (substance abuse treatment, counseling, anger management) on [__/__/____]. ☐ Completion certificate attached as Exhibit [____].

15. Impact of Criminal Record: Retention of the criminal record has adversely affected Petitioner's access to:
    ☐ Employment — specifically: [________________________________]
    ☐ Housing — specifically: [________________________________]
    ☐ Professional licensing — specifically: [________________________________]
    ☐ Educational opportunities — specifically: [________________________________]
    ☐ Other: [________________________________]

16. Character References: Letters of support are attached from:
    - [________________________________] (name, relationship) — Exhibit [____]
    - [________________________________] (name, relationship) — Exhibit [____]
    - [________________________________] (name, relationship) — Exhibit [____]

VII. LEGAL STANDARD

A. Felony Expungement — KRS 431.073

Under KRS 431.073, the circuit court may vacate a Class D felony conviction and order expungement when: (1) the conviction is for an eligible offense; (2) at least five years have elapsed since the completion of all sentencing obligations; (3) the petitioner has not been convicted of any other offense during the waiting period; (4) no charges are pending; and (5) the petitioner has obtained a Certificate of Eligibility from KSP. KRS 431.073(2)-(3).

Upon granting the petition, the court vacates the conviction and orders all records sealed. The sealed records remain accessible only to law enforcement for limited purposes as specified in KRS 431.073(5).

B. Misdemeanor/Violation Expungement — KRS 431.078

Under KRS 431.078, the court may expunge misdemeanor and violation convictions when: (1) the offense is eligible; (2) at least five years (or ten years for DUI) have elapsed since completion of sentence; (3) no subsequent convictions during the waiting period; (4) no pending charges; and (5) a Certificate of Eligibility has been obtained. KRS 431.078(2)-(3).

C. Dismissal/Acquittal — KRS 431.076

Under KRS 431.076, a person who has been found not guilty or whose charges have been dismissed with prejudice may petition for expungement of the entire record. No waiting period applies.

D. Hearing Requirement

Pursuant to KRS 431.073(3) and KRS 431.078(3), the court shall set a hearing not less than thirty (30) days after service of the Petition upon the respondent Commonwealth Attorney. If the Commonwealth Attorney does not file a timely written objection, the court may grant the Petition without a hearing.

E. Effect of Expungement — KRS 431.081

Upon expungement, all records are sealed, the proceedings are deemed never to have occurred, and the petitioner may lawfully deny the existence of the record except as specifically required by statute. KRS 431.081.

VIII. PRAYER FOR RELIEF

WHEREFORE, Petitioner respectfully petitions this Court to:

A. Schedule a hearing on this Petition not less than thirty (30) days after service upon the Commonwealth's Attorney, pursuant to KRS 431.073(3) / KRS 431.078(3);

B. ☐ Vacate Petitioner's conviction(s) (for felony expungement under KRS 431.073) and ORDER expungement and sealing of all records;
☐ ORDER expungement and sealing of all records (for misdemeanor, dismissal, or acquittal);

C. Direct each Relevant Agency possessing the record to comply with the Court's expungement order within thirty (30) days of entry, including:
- Clerk of Courts, [________________________________] County
- Kentucky State Police (KSP)
- Administrative Office of the Courts (AOC)
- [________________________________] (local law enforcement)
- Federal Bureau of Investigation (FBI) (to the extent subject to the Court's jurisdiction)
- Any private or third-party repositories subject to the Court's jurisdiction;

D. Restore Petitioner to all rights and privileges enjoyed prior to the arrest, charge, or conviction, including the right to deny the existence of the sealed record except as otherwise provided by law;

E. Assess no additional court costs beyond the filing fees already paid; and

F. Grant such other and further relief as the Court deems just and proper.

IX. VERIFICATION

I, [________________________________], being first duly sworn, state that I have read the foregoing Petition for Expungement and that the facts stated therein are true and correct to the best of my knowledge, information, and belief. I understand that a false statement herein may constitute grounds for denial of the Petition and may result in criminal prosecution.

[________________________________]
[________________________________], Petitioner

Date: [__/__/____]

X. ATTORNEY SIGNATURE BLOCK

Respectfully submitted,

[________________________________]
[________________________________], Esq. (KBA No. [________________________________])
[________________________________] (Law Firm)
[________________________________] (Address)
Telephone: [________________________________]
Email: [________________________________]
Counsel for Petitioner

XI. NOTARY ACKNOWLEDGMENT

COMMONWEALTH OF KENTUCKY )
COUNTY OF [________________________________] )

Subscribed and sworn before me by [________________________________] on this [____] day of [________________________________], 20[____].

[________________________________]
Notary Public, State-at-Large / Kentucky
My Commission Expires: [________________________________]

XII. CERTIFICATE OF SERVICE

I hereby certify that on this [____] day of [________________________________], 20[____], a true and correct copy of the foregoing Petition for Expungement (with Certificate of Eligibility attached as Exhibit A) was served upon:

Office of the ☐ County Attorney ☐ Commonwealth's Attorney
[________________________________] County
[________________________________] (Address / Email)

by ☐ hand delivery ☐ first-class mail ☐ electronic filing through the Kentucky Court of Justice e-filing system.

[________________________________]
[________________________________] (Attorney or Petitioner)

XIII. PROPOSED ORDER

COMMONWEALTH OF KENTUCKY

[________________________________] ☐ CIRCUIT COURT ☐ DISTRICT COURT

CASE NO. [________________________________]

In the Matter of the Petition of [________________________________] for Expungement of Criminal Record

ORDER GRANTING PETITION FOR EXPUNGEMENT

The Court, having reviewed the Petition for Expungement, the Certificate of Eligibility, ☐ having conducted a hearing on [__/__/____] ☐ the Commonwealth Attorney having filed no objection within the statutory period, and being otherwise sufficiently advised, FINDS and ORDERS as follows:

FINDINGS:

1. Petitioner has met all statutory eligibility requirements for expungement under KRS [________________________________].

2. The Certificate of Eligibility from the Kentucky State Police confirms Petitioner's eligibility.

3. ☐ The applicable waiting period of [____] years has elapsed since completion of all sentencing obligations.

4. Petitioner has no subsequent convictions and no pending charges.

5. The interests of justice are served by the granting of this Petition.

ORDER:

1. ☐ Petitioner's conviction(s) in Case No. [________________________________] are hereby VACATED (for felony expungement under KRS 431.073).

2. The Petition for Expungement is GRANTED.

3. All records related to Case No. [________________________________], including complaints, warrants, indictments, charging instruments, arrest records, court dockets, orders, judgments, and electronic data, are hereby SEALED from public inspection.

4. The following agencies shall comply with this Order within thirty (30) days:
   (a) Clerk of Courts, [________________________________] County
   (b) Kentucky State Police (KSP)
   (c) Administrative Office of the Courts (AOC)
   (d) [________________________________] (local law enforcement agency)
   (e) [________________________________] (other agencies)

5. Petitioner is restored to all rights and privileges enjoyed prior to the arrest, charge, or conviction. Petitioner may lawfully deny the existence of the sealed record except as provided by KRS 431.073(5), KRS 431.078(6), or KRS 431.081.

6. Sealed records remain accessible to law enforcement for the limited purposes specified in the applicable statute.

SO ORDERED this [____] day of [________________________________], 20[____].

[________________________________]
JUDGE, ☐ CIRCUIT COURT ☐ DISTRICT COURT

EXHIBITS CHECKLIST

☐ Exhibit A — Certificate of Eligibility from Kentucky State Police (REQUIRED)
☐ Exhibit B — Certified copy of judgment / dismissal order / acquittal
☐ Exhibit C — Proof of sentence completion (probation discharge, fine receipts, restitution satisfaction)
☐ Exhibit D — Employment verification
☐ Exhibit E — Character / reference letters
☐ Exhibit F — Treatment program completion certificate
☐ Exhibit G — Educational transcripts / certificates
☐ Exhibit H — [________________________________]

SOURCES AND REFERENCES

• KRS 431.073 — Felony vacatur and expungement: https://apps.legislature.ky.gov/law/statutes/statute.aspx?id=53904
• KRS 431.076 — Expungement after dismissal or acquittal
• KRS 431.078 — Misdemeanor/violation conviction expungement
• KRS 431.079 — Certificate of Eligibility process
• KRS 431.081 — Effect of expungement
• Kentucky State Police Expungement Portal: https://www.kentuckystatepolice.ky.gov/expungements
• Kentucky Court of Justice, Expungement Certification Process: https://www.kycourts.gov/AOC/Information-and-Technology/Pages/Expungement.aspx
• Kentucky DPA, Guide to Expungement in Kentucky: https://dpa.ky.gov/wp-content/uploads/2020/10/Lawyers-Guide-to-Expungement-in-KY.pdf
• CCRC, Kentucky Restoration Profile: https://ccresourcecenter.org/state-restoration-profiles/kentucky-restoration-of-rights-pardon-expungement-sealing/