Regulatory Comment Letter

REGULATORY COMMENT LETTER — KENTUCKY

Overview of Kentucky Regulatory Comment Framework

Kentucky's administrative regulatory framework is governed by KRS Chapter 13A (Administrative Regulations) and KRS Chapter 13B (administrative hearings). Kentucky uses a unique system in which the Administrative Regulation Review Subcommittee (ARRS), a permanent subcommittee of the Legislative Research Commission (LRC), conducts continuous oversight of administrative regulations. KRS § 13A.020 establishes ARRS to review and comment on regulations submitted to it, studying whether additional legislation or regulatory changes are needed.

This template covers regulatory comments broader than formal notice-and-comment rulemaking, including comments on existing regulations, requests for regulatory interpretation, guidance document comments, enforcement policy comments, waiver and variance requests, petitions for declaratory rulings, and no-action letter requests.

Key Kentucky Regulatory Agencies Accepting Comments

• Kentucky Energy and Environment Cabinet (EEC) — Environmental regulations (401 KAR)
• Kentucky Department of Insurance (DOI) — Insurance regulations (806 KAR)
• Kentucky Public Service Commission (PSC) — Utility regulation (807 KAR)
• Kentucky Department of Revenue (DOR) — Tax regulations (103 KAR)
• Kentucky Cabinet for Health and Family Services (CHFS) — Health and human services regulations (902 KAR, 910 KAR, 922 KAR)
• Kentucky Department of Agriculture (KDA) — Agricultural regulations (302 KAR)
• Kentucky Labor Cabinet — Occupational safety and wages (803 KAR)
• Kentucky Transportation Cabinet — Transportation regulations (601 KAR, 603 KAR)
• Kentucky Department of Alcoholic Beverage Control (ABC) — Alcohol regulations (804 KAR)
• Kentucky Real Estate Commission — Real estate licensing (201 KAR 11)
• Kentucky Board of Education — Education regulations (702 KAR, 704 KAR)

Types of Regulatory Comments Covered

☐ Comment on proposed administrative regulation (KRS § 13A.270)
☐ Comment on existing regulation interpretation
☐ Guidance document comment
☐ Enforcement policy comment
☐ Waiver or variance request
☐ Petition for adoption, amendment, or repeal of regulation (KRS § 13A.100)
☐ Petition for declaratory ruling
☐ No-action letter request
☐ Request for regulatory interpretation or advisory opinion
☐ Comment on emergency administrative regulation (KRS § 13A.315)
☐ Comment submitted to Administrative Regulation Review Subcommittee (ARRS)

FORMAL REGULATORY COMMENT LETTER

Letterhead Block

[________________________________]
[LAW FIRM / ORGANIZATION NAME]
[________________________________]
[Street Address]
[________________________________]
[City, State ZIP Code]
[________________________________]
[Telephone]
[________________________________]
[Email Address]

Date: [__/__/____]

VIA: ☐ Electronic Submission ☐ U.S. Mail ☐ Hand Delivery

[________________________________]
[Name of Agency Contact / Regulation Coordinator]
[________________________________]
[Agency / Cabinet Name]
[________________________________]
[Division / Department, if applicable]
[________________________________]
[Agency Street Address]
[________________________________]
[Frankfort / Other City], Kentucky [____]

RE: Line

Re: ☐ Comment on Proposed Regulation / ☐ Request for Interpretation / ☐ Waiver Request / ☐ Petition for Declaratory Ruling / ☐ Other

Kentucky Administrative Regulation (KAR) at Issue: [____] KAR [____]:[____]
Administrative Register Citation: Vol. [____], No. [____], dated [__/__/____]
Docket/Reference Number: [________________________________]
Subject Matter: [________________________________]
Public Hearing Date: [__/__/____]
Written Comment Period Deadline: [__/__/____]

I. INTRODUCTION AND IDENTIFICATION OF COMMENTER

Dear [________________________________]:

On behalf of [________________________________] ("Commenter"), this letter is submitted to [________________________________] ("Agency") regarding [________________________________].

Commenter Identification:

Interest and Standing:

The Commenter has a direct and substantial interest in this matter because:

☐ The Commenter is directly regulated by the Agency under [____] KAR [____]
☐ The Commenter is a Kentucky business affected by the regulation
☐ The Commenter represents [____] members/constituents subject to the regulation
☐ The Commenter is a local government entity affected by the regulation
☐ The Commenter has relevant expertise
☐ Other: [________________________________]

[________________________________]
[Describe the specific nature of the Commenter's interest.]

II. BACKGROUND AND FACTUAL CONTEXT

A. Regulatory Provision at Issue

The regulatory provision(s) at issue are:

1. [____] KAR [____]:[____]: [________________________________]
2. [____] KAR [____]:[____]: [________________________________]
3. Enabling Statute: KRS § [________________________________]

B. Kentucky Rulemaking Context

☐ This comment relates to a proposed ordinary administrative regulation
☐ This comment relates to an emergency administrative regulation (KRS § 13A.315)
☐ This comment relates to an existing administrative regulation
☐ This comment relates to agency guidance or policy documents
☐ This comment is also being submitted to the Administrative Regulation Review Subcommittee (ARRS)

Note on Kentucky's Regulatory Process: Under KRS § 13A.270, the administrative body must hold a public hearing open to the public on the administrative regulation. After the regulation is published in the Administrative Register, the Agency must also accept written comments. Under KRS § 13A.280, the Agency must give consideration to all comments received at the public hearing and during the comment period, including any report filed by the Commission on Small Business Advocacy.

C. Factual Background

[________________________________]
[Provide a detailed factual narrative describing the circumstances giving rise to this comment. Include relevant dates, business operations, compliance history, and prior agency communications.]

D. Compliance Context

☐ The Commenter is currently in compliance and seeks clarification
☐ The Commenter has identified an ambiguity requiring interpretation
☐ The Commenter cannot comply as currently written and seeks a waiver or variance
☐ The Commenter believes the regulation exceeds statutory authority
☐ The Commenter believes the regulation conflicts with Kentucky or federal law
☐ The Commenter believes the regulation has a disproportionate impact on small business
☐ Other: [________________________________]

E. Commission on Small Business Advocacy

Under KRS § 13A.280, the Agency must consider any report filed by the Commission on Small Business Advocacy:

☐ The Commenter is a small business (as defined by KRS § 13A.010)
☐ The Commenter requests that the Commission on Small Business Advocacy review this regulation
☐ The Commission has filed or is expected to file a report on this regulation
☐ Not applicable

F. Administrative Regulation Review Subcommittee (ARRS)

☐ The Commenter has separately communicated with ARRS regarding this regulation
☐ ARRS has previously reviewed and commented on this regulation
☐ The Commenter requests that ARRS review this comment
☐ Not applicable

G. Prior Communications with Agency

☐ No prior communications regarding this matter
☐ Prior informal inquiry on [__/__/____] — Response received: ☐ Yes ☐ No
☐ Prior formal petition on [__/__/____] — Disposition: [________________________________]
☐ Prior enforcement action — Case No. [________________________________]
☐ Other: [________________________________]

III. LEGAL ANALYSIS

A. Statutory Authority

The Agency's authority to adopt and administer the regulation at issue derives from KRS § [________________________________]. Under Kentucky law, administrative regulations must be within the scope of authority granted by the enabling statute and must not be arbitrary or capricious.

[________________________________]
[Analyze whether the regulation is within the Agency's statutory authority. Cite relevant provisions of the enabling statute.]

B. Regulatory Text Analysis

[________________________________]
[Provide a close textual analysis of the KAR provision at issue. Identify ambiguities, undefined terms, or provisions susceptible to more than one reasonable interpretation.]

C. Compliance with KRS Chapter 13A Requirements

Under KRS Chapter 13A, agencies must comply with procedural requirements including:

☐ Filing with Legislative Research Commission (KRS § 13A.220)
☐ Regulatory Impact Analysis and Tiering Statement (KRS § 13A.245)
☐ Federal mandate analysis (KRS § 13A.245(2))
☐ Publication in Administrative Register (KRS § 13A.250)
☐ Public hearing (KRS § 13A.270)
☐ Written comment period (KRS § 13A.270)
☐ Consideration of all comments including Small Business Commission reports (KRS § 13A.280)
☐ Review by ARRS (KRS § 13A.290)
☐ Compliance with deficiency findings (KRS § 13A.330)

[________________________________]
[Analyze compliance with KRS Chapter 13A requirements.]

D. Regulatory Impact Analysis and Tiering

Under KRS § 13A.245, agencies must prepare a regulatory impact analysis that classifies the regulation under a tiering system. The Commenter's analysis:

[________________________________]
[Provide detailed analysis comparing the Agency's regulatory impact analysis with the Commenter's own assessment.]

E. Federal Mandate Comparison

Under KRS § 13A.245(2), agencies must compare proposed regulations with any applicable federal mandate:

☐ The regulation is required by federal law: [________________________________]
☐ The regulation exceeds federal requirements: [________________________________]
☐ No applicable federal mandate exists
☐ The regulation is consistent with federal requirements

[________________________________]
[Analyze the relationship between the Kentucky regulation and applicable federal requirements.]

F. Alternative Approaches

[________________________________]
[Propose alternative regulatory approaches that achieve the Agency's statutory objectives while reducing burden.]

IV. SPECIFIC REQUEST

Based on the foregoing analysis, the Commenter respectfully requests that the Agency:

☐ Adopt the Commenter's proposed interpretation of [____] KAR [____]:[____]

☐ Issue a declaratory ruling regarding the applicability of [________________________________] to the Commenter's circumstances

☐ Grant a waiver or variance from [____] KAR [____]:[____] based on the following grounds:

• ☐ Compliance would impose undue hardship
• ☐ The waiver would not jeopardize public health, safety, or welfare
• ☐ Alternative compliance measures are available

☐ Initiate rulemaking to adopt, amend, or repeal [____] KAR [____]:[____] pursuant to KRS § 13A.100

☐ Withdraw or modify the proposed regulation to address concerns identified herein

☐ Reclassify the tier designation under KRS § 13A.245

☐ Issue guidance clarifying the Agency's interpretation and enforcement approach

☐ Modify enforcement policy regarding [________________________________]

☐ Other: [________________________________]

Proposed Language (if applicable):

Current text of [____] KAR [____]:[____]:

[________________________________]

Proposed revised text:

[________________________________]

V. SUPPORTING DOCUMENTATION

The following documents are submitted in support of this comment:

☐ Exhibit A: [________________________________]
☐ Exhibit B: [________________________________]
☐ Exhibit C: [________________________________]
☐ Exhibit D: [________________________________]
☐ Exhibit E: [________________________________]

VI. REQUEST FOR HEARING / ORAL PRESENTATION

☐ The Commenter requests an opportunity for oral comment at the public hearing scheduled for [__/__/____] pursuant to KRS § 13A.270

☐ The Commenter requests a public hearing if one has not yet been scheduled

☐ The Commenter does not request oral presentation at this time

VII. CERTIFICATION AND SIGNATURE

I hereby certify that the statements and representations contained in this letter are true and accurate to the best of my knowledge and belief, and that this comment is submitted in good faith.

Respectfully submitted,

___________________________________________
[________________________________]
[Name — Printed]

[________________________________]
[Title / Position]

[________________________________]
[Organization / Firm]

[________________________________]
[Kentucky Bar Association No., if applicable]

Date: [__/__/____]

COMMENT PREPARATION CHECKLIST

Before Drafting

☐ Identified the specific KAR provision at issue
☐ Obtained complete text of the regulation from Kentucky Administrative Regulations
☐ Reviewed enabling statute in Kentucky Revised Statutes (KRS)
☐ Reviewed Administrative Register publication (if proposed regulation)
☐ Checked public hearing date and written comment deadline
☐ Reviewed Agency's Regulatory Impact Analysis and Tiering Statement (KRS § 13A.245)
☐ Determined whether ARRS has reviewed or commented on the regulation
☐ Determined whether the Commission on Small Business Advocacy has filed a report
☐ Compared regulation with applicable federal mandate (KRS § 13A.245(2))
☐ Verified submission requirements (format, address, electronic submission)

During Drafting

☐ Clearly identified the Commenter and stated the nature of the interest
☐ Cited specific KAR provisions using correct format ([Title] KAR [Chapter]:[Section])
☐ Cited enabling statute provisions in KRS
☐ Provided factual context with specificity
☐ Included economic impact data with supporting documentation
☐ Compared Commenter's impact analysis with Agency's regulatory impact analysis
☐ Addressed federal mandate comparison
☐ Proposed specific alternative language or approaches
☐ Addressed small business impact

Before Submission

☐ Reviewed for accuracy of all legal citations
☐ Confirmed comment is timely filed (before deadline)
☐ Attached all supporting exhibits referenced in letter
☐ Retained copy of comment and proof of submission
☐ Confirmed correct submission address and method
☐ Considered whether to attend and present at public hearing (KRS § 13A.270)
☐ Considered whether to submit copy to ARRS or Commission on Small Business Advocacy

TEMPLATE: PETITION FOR ADOPTION, AMENDMENT, OR REPEAL (KRS § 13A.100)

To: [________________________________], Regulation Coordinator
Agency: [________________________________]
Date: [__/__/____]

PETITION FOR ADOPTION / AMENDMENT / REPEAL OF ADMINISTRATIVE REGULATION

Pursuant to KRS § 13A.100, the undersigned petitions the Agency to:

☐ Adopt a new administrative regulation regarding [________________________________]
☐ Amend [____] KAR [____]:[____]
☐ Repeal [____] KAR [____]:[____]

Name and Address of Petitioner:
[________________________________]

Regulation at Issue:
[________________________________]

Reasons for Petition:
[________________________________]

Proposed Regulatory Text (if adoption or amendment):
[________________________________]

Note: Under KRS § 13A.100, the Agency must consider the petition and respond within a reasonable time. If the Agency denies the petition, it must provide a written statement of reasons.

TEMPLATE: REQUEST FOR REGULATORY INTERPRETATION / ADVISORY OPINION

To: [________________________________], General Counsel
Agency: [________________________________]
Date: [__/__/____]

REQUEST FOR REGULATORY INTERPRETATION

The undersigned respectfully requests the Agency's interpretation of the following KAR provision:

Regulation at Issue: [____] KAR [____]:[____]

Specific Question:
[________________________________]

Factual Context:
[________________________________]

Submitter's Proposed Interpretation:
[________________________________]

Basis for Request:
☐ The regulatory language is ambiguous
☐ Conflicting interpretations exist
☐ The submitter needs guidance for compliance planning
☐ Other: [________________________________]

TEMPLATE: WAIVER / VARIANCE REQUEST

To: [________________________________]
Agency: [________________________________]
Date: [__/__/____]

REQUEST FOR WAIVER OF ADMINISTRATIVE REGULATION

The undersigned requests a waiver of the following KAR provision:

Regulation: [____] KAR [____]:[____]

Grounds for Waiver:
☐ Strict compliance would impose an undue financial burden
☐ The waiver would not compromise health, safety, or welfare objectives
☐ Alternative compliance measures are proposed
☐ Unique circumstances justify the waiver
☐ The regulation as applied exceeds the federal mandate

[________________________________]
[Detailed explanation of grounds]

Duration of Waiver Requested:
[________________________________]

Alternative Compliance Measures:
[________________________________]

TEMPLATE: COMMENT ON EMERGENCY REGULATION (KRS § 13A.315)

To: [________________________________]
Agency: [________________________________]
Date: [__/__/____]

COMMENT ON EMERGENCY ADMINISTRATIVE REGULATION

The undersigned submits this comment on the following emergency administrative regulation adopted pursuant to KRS § 13A.315:

Regulation: [____] KAR [____]:[____]E

Date of Emergency Filing: [__/__/____]

Comment:

☐ The conditions justifying the emergency filing no longer exist
☐ The emergency regulation exceeds the scope of the emergency
☐ The emergency regulation should be modified as follows: [________________________________]
☐ The emergency regulation should not be made permanent through ordinary rulemaking
☐ Other: [________________________________]

[________________________________]
[Detailed comment on the emergency regulation]

AGENCY RESPONSE OBLIGATIONS AND TIMELINES

SOURCES AND REFERENCES

• KRS Chapter 13A (Administrative Regulations): https://apps.legislature.ky.gov/law/statutes/chapter.aspx?id=37084
• Kentucky Administrative Regulations: https://legislature.ky.gov/Law/kar/Pages/default.aspx
• Kentucky Administrative Register: https://legislature.ky.gov/Law/kar/Pages/kararchives.aspx
• Legislative Research Commission — ARRS: https://legislature.ky.gov/Committees/Pages/Committee-Details.aspx?CommitteeRSN=7&CommitteeType=Statutory+Committee

This template is provided for informational purposes only and does not constitute legal advice. You must have this template reviewed and customized by a qualified attorney licensed in Kentucky before use. Legal requirements and agency procedures may change; verify all citations and procedures before submission.