Kentucky Petition for Expungement of Criminal Record - Preparation Worksheet

PREPARATION GUIDE — NOT AN OFFICIAL KENTUCKY COURT FORM

Use the current Kentucky Court of Justice form for the selected pathway. Do not file
this guide in place of the official form. The felony statute cited here is the version
effective through April 30, 2027; recheck KRS 431.073 for filings on or after May 1,
2027.

Kentucky Criminal-Record Expungement Preparation Guide

1. Select the Correct Pathway and Form

☐ Confirm the latest form revision in the Kentucky Court of Justice Legal Forms library.

☐ Prepare a separate petition or application for each criminal case, as directed by the official forms.

2. Screen for Automatic Nonconviction Expungement

For an acquittal or a dismissal with prejudice entered on or after July 15, 2020, the
court must order expungement after 30 days unless the person objects. This automatic
route does not cover a traffic infraction that is not otherwise a misdemeanor, and the
dismissal cannot have been exchanged for a guilty plea to another charge.

If an automatic order should have been entered, obtain the docket and order before
preparing a petition.

3. Identify the Petition Route

A. Felony Conviction — KRS 431.073

☐ The conviction is an eligible Class D felony, an eligible series of felonies, or a
conviction covered by a full pardon.

☐ At least five years have passed after completion of the sentence or successful
completion of probation or parole, whichever occurred later.

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

☐ No felony or misdemeanor proceeding is pending or being instituted.

For the broader Class D route in KRS 431.073(1)(d), confirm that the conviction is not
for 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.

☐ If proceeding under KRS 431.073(1)(d), collect evidence that the applicant has been
rehabilitated and poses no significant threat of recidivism.

B. Misdemeanor, Violation, or Traffic-Infraction Conviction — KRS 431.078

☐ At least five years have passed after completion of the sentence or successful
completion of probation, whichever occurred later.

☐ The offense was not a sex offense or an offense committed against a child.

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

☐ No felony or misdemeanor proceeding is pending or being instituted.

☐ The offense is not subject to enhancement for a later offense, or the enhancement
period has expired.

If convictions arose from one incident, relief is mandatory when the statutory findings
are made. For a series arising from different incidents, relief is discretionary even when
the same findings are made.

C. Acquittal, Dismissal, or Failure to Indict — KRS 431.076

Use AOC-497.2 only if the record was not already automatically expunged. Select the
applicable timing rule:

☐ Acquittal or dismissal with prejudice: at least 60 days have passed after the order.

☐ Felony dismissal without prejudice: at least three years have passed after the order.

☐ Misdemeanor dismissal without prejudice: at least one year has passed after the order.

☐ Felony charge held to the grand jury without indictment or information: at least six
months have passed after the District Court decision holding the matter to the grand jury.

☐ Any dismissal was not exchanged for a guilty plea to another charge.

4. Certification and Fees

KRS 431.079 requires a current certification of eligibility with every petition or
application seeking expungement of a conviction. The certification reflects background
checks by both the Kentucky State Police and the Administrative Office of the Courts.

☐ Certification packet attached for a conviction-expungement filing.

☐ Filing occurs before the certification expiration date: [__/__/____].

5. Case and Agency Worksheet

List every agency that may hold records of the arrest, charge, or conviction:

6. Supporting Materials

☐ Current certification packet for a conviction petition

☐ Judgment, disposition, or dismissal order

☐ Proof of sentence, probation, or parole completion

☐ Payment records relevant to completion of the sentence

☐ For a KRS 431.073(1)(d) application, rehabilitation evidence and a concise account
of the adverse consequences of the public record

☐ Names and addresses of identified victims or other persons with relevant information
for a KRS 431.078 petition, as requested by AOC-496.2

7. Procedure After Filing

Felony Application

The Circuit Court clerk serves notice on the prosecuting office and the county attorney
for the county of judgment. The prosecuting office ordinarily has 60 days after service
to respond. Any hearing must occur no later than 120 days after filing. If the prosecutor
states no objection, or 120 days pass after filing without a response from the victim or
prosecuting office, the court may act without a hearing.

If relief is granted, the judgment is vacated and eligible charges are dismissed with
prejudice. Record expungement is completed only after the $250 expungement fee is
paid in full.

Misdemeanor, Violation, or Traffic Petition

The court sets a hearing no sooner than 30 days after filing and notifies the county
attorney, an identified victim, and other persons identified as having relevant
information. The petitioner should not substitute private service instructions for the
notice procedure on AOC-496.2.

Nonconviction Petition

A properly brought petition following acquittal or dismissal must be granted. A
failure-to-indict petition is served on the county and Commonwealth's attorneys; the
statutory response period is 90 days.

Agencies ordered to expunge under KRS 431.076 must certify completion to the court
within 60 days. Department for Community Based Services records are excluded from
a KRS 431.076 order.

8. Effects to Confirm in the Order

For KRS 431.076 and KRS 431.078 relief, the proceedings are deemed never to have
occurred; official state-performed background checks should not show the matter, and
the person need not disclose it on employment, credit, or other applications.

For KRS 431.073 relief, the conviction is vacated and dismissed, the person need not
disclose the record on employment, credit, or other applications, and voting eligibility
is restored if no other prohibition applies. The order is not a finding of innocence or
legal error.

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