1 

Section 110(a) Infrastructure Requirements 

Emission limits and other control measures: Section 110(a)(2)(A) of the CAA requires SIPs to 

include enforceable emission limits and other control measures, means or techniques, schedules 

or compliance and other related matters. 

Kentucky Authority:

• Kentucky Revised Statute Chapter 224 Section 10-100 (KRS 224.10-100) provides the 

Energy and Environment Cabinet the authority to administer all rules, regulations and 

orders promulgated under Chapter 224, and to provide for the prevention, abatement, and 

control of all water, land, and air pollution. 

Chapter 50 General Administrative Procedures.

• 401 KAR 50:010. Definitions for 401 KAR Chapter 50. This administrative regulation 

defines the terms used in 401 KAR Chapter 50; 

• 401 KAR 50:012. General application. This administrative regulation provides guidelines 

by which all administrative regulations of 401 KAR Chapters 50 to 65, are to be 

understood; 

• 401 KAR 50:015. Documents incorporated by reference. This administrative regulation 

provides for the incorporation by reference of documents referred to within these 

administrative regulations; 

• 401 KAR 50:020. Air quality control regions. This administrative regulation provides for 

the designation and classification of air quality control regions; 

• 401 KAR 50:025. Classification of counties. This administrative regulation provides for 

the classification of counties with respect to various pollutants; 

• 401 KAR 50:040. Air quality models. This administrative regulation specifies general 

provisions for the use of air quality models; 

• 401 KAR 50:042. Good engineering practice stack height. This administrative regulation 

defines good engineering practice stack height which shall be used in establishing 

emissions limitations; 

• 401 KAR 50:045. Performance tests. This administrative regulation establishes 

requirements for performance tests; 

• 401 KAR 50:047. Test procedures for capture efficiency. This administrative regulation 

provides capture efficiency test procedures for volatile organic compounds; 

• 401 KAR 50:050. Monitoring. This administrative regulation establishes requirements for 

stack gas monitoring, ambient air monitoring, and recording and reporting requirements as 

related to monitoring data; 

• 401 KAR 50:055. General compliance requirements. This administrative regulation 

establishes requirements for compliance during shutdown and malfunctions; establishes 

requirements for demonstrating compliance with standards; establishes requirements for 

compliance when a source is relocated within the Commonwealth of Kentucky; and other 

general compliance requirements; 

• 401 KAR 50:060. Enforcement. This administrative regulation provides for enforcement 

of the terms and conditions of permits and compliance schedules; 
2 

• 401 KAR 50:065. Conformity of general federal actions. The federal regulation 

incorporated by reference in this administrative regulation provides for determining the 

conformity of general federal actions to the SIP. 40 CFR 51.850 to 51.860 require that the 

applicable federal agencies implement the conformity determination in consultation with 

agencies of the Commonwealth of Kentucky; 

• 401 KAR 50:066. Conformity of transportation plans, programs, and projects. This 

administrative regulation adopts the Federal Transportation Conformity Rules as codified 

in 40 C.F.R. Part 93 Subpart A and incorporates a guidance document that establishes 

criteria and procedures for the interagency consultation process used in demonstrating 

conformity of federal transportation plans to the Kentucky State Implementation Plan. 

Chapter 51 Attainment and Maintenance of the National Ambient Air Quality Standards

• 401 KAR 51:001. Definitions for 401 KAR Chapter 51. This administrative regulation 

defines the terms used in 401 KAR Chapter 51. The definitions contained in this 

administrative regulation are neither more stringent nor otherwise different than the 

corresponding federal definitions; 

• 401 KAR 51:005. Purpose and General Provisions. This administrative regulation 

establishes the general provisions as related to new sources with respect to the prevention 

of significant deterioration of air quality and construction of stationary sources impacting 

on nonattainment areas; 

• 401 KAR 51:010. Attainment Status Designations. This administrative regulation 

designates the status of all areas of the Commonwealth of Kentucky with regard to 

attainment of the ambient air quality standards; 

• 401 KAR 51:017. Prevention of significant deterioration of air quality. This 

administrative regulation applies to the construction of any new major stationary source 

or any project at an existing major stationary source in an area designated as attainment 

or unclassifiable; 

• 401 KAR 51:052. Review of new sources in or impacting upon nonattainment areas. 

This administrative regulation establishes requirements for the construction or 

modification of stationary sources within, or impacting upon, areas where the national 

ambient air quality standards have not been attained; 

• 401 KAR 51:150. NOx requirements for stationary internal combustion engines. 

Pursuant to the federal NOx SIP Call, this administrative regulation provides for the 

regional control of NOx emissions by establishing requirements for large stationary 

internal combustion engines; 

• 401 KAR 51:160. NOx requirements for large utility and industrial boilers. This 

administrative regulation establishes requirements for the control of NOx emissions from 

large boilers and turbines used in power plants and other industrial applications, pursuant 

to the federal mandate published under the NOx SIP Call; 

• 401 KAR 51:170. NOx requirements for cement kilns. This administrative regulation 

provides for the regional control of NOx emissions from portland cement manufacturing 

plants pursuant to the federal mandate published under the NOx SIP Call; 

• 401 KAR 51:180. NOx credits for early reduction and emergency. This administrative 

regulation provides for the distribution of NOx allowances from a compliance 

supplement pool allocated to Kentucky by the U.S. EPA for sources that reduce NOx 

emissions before the compliance deadline of the federal mandate published under the 
3 

NOx SIP Call. It also provides for setting aside unused credits to assist sources that are 

unable to meet the compliance deadline; 

• 401 KAR 51:190. Banking and trading NOx allowances. This administrative regulation 

incorporates by reference the federal regulation that establishes a program for banking 

and trading of emission allowances to reduce NOx emissions under the federal NOx SIP 

Call; 

• 401 KAR 51:195. NOx opt-in provisions. The federal regulation incorporated by 

reference in this administrative regulation establishes provisions for individual sources to 

opt into the NOx Budget Trading Program; 

• 401 KAR 51:210. CAIR NOx annual trading program. This administrative regulation 

establishes requirements for the control of NOx emissions from large boilers and turbines 

used in power plants, pursuant to the federal mandate published under the Clean Air 

Interstate Rule (CAIR), 40 C.F.R. 96.101 to 96.188; 

• 401 KAR 51:220. CAIR NOx ozone season trading program. This administrative 

regulation establishes requirements for the control of NOx emissions from large boilers 

and turbines used in power plants and other industrial applications, pursuant to the federal 

mandate published under the Clean Air Interstate Rule (CAIR), 40 C.F.R. 96.301 to 

96.388; 

• 401 KAR 51:230. CAIR SO2 trading program. This administrative regulation establishes 

the provisions of the CAIR SO2 Trading Program as codified at 40 C.F.R. 96.201 to 

96.288 for applicable sources located in the Commonwealth of Kentucky. 

Chapter 52 Permits, Registrations, and Prohibitory Rules.

• 401 KAR 52:001. Definitions for 401 KAR Chapter 52. This administrative regulation 

defines the terms used in 401 KAR Chapter 52; 

• 401 KAR 52:020. Title V permits. This administrative regulation establishes requirements 

for air contaminant sources located in Kentucky that are required to obtain a Title V 

permit; 

• 401 KAR 52:030. Federally-enforceable permits for nonmajor sources. This 

administrative regulation establishes requirements for air contaminant sources located in 

Kentucky that accept emission limitations to avoid the New Source Review requirements 

under Title I of the Clean Air Act or the Operating Permit Program requirements under 

Title V of the Clean Air Act; 

• 401 KAR 52:040. State-Origin Permits. This administrative regulation establishes 

requirements for minor sources whose permits are not required to be federally 

enforceable; 

• 401 KAR 52:050. Permit application forms. This administrative regulation incorporates 

by reference the application forms used to permit air contaminant sources in Kentucky; 

• 401 KAR 52:060. Acid rain permits. This administrative regulation incorporates by 

reference the federal acid rain provisions as codified at 40 CFR Parts 72 to 78; 

• 401 KAR 52:070. Registration of designated sources. This administrative regulation 

establishes the procedure for the registration of designated air contaminant sources in 

Kentucky; 

• 401 KAR 52:090. Prohibitory rule for hot mix asphalt plants. This administrative 

regulation establishes production limits for hot mix asphalt plants, which keeps their 
4 

emissions below the major source threshold and avoids the necessity of having to obtain a 

Title V or conditional major permit; 

• 401 KAR 52:100. Public, affected state and U.S. EPA review. This administrative 

regulation establishes the procedures used by the cabinet to provide for the review of 

federally-enforceable permits by the public, affected states, and the U.S. EPA; 

• 401 KAR 53:005. General provisions. This administrative regulation is to provide for the 

establishment of general provisions, definitions and time schedules as they pertain to this 

chapter; 

• 401 KAR 53:010. Ambient air quality standards. This administrative regulation is to fix 

ambient air quality standards necessary for the protection of the public health, the general 

welfare, and the property and people in this Commonwealth. 

Ambient air quality monitoring/data system: Section 110(a)(2)(B) of the CAA requires SIPs 

to include provisions to provide for establishment and operation of ambient air quality monitors, 

collecting and analyzing ambient air quality data, and presentation of these data available to EPA 

upon request. 

 

Kentucky Authority: 

• KRS 224.10-100 (22) requires the installation, maintenance, and use of equipment, 

devices, or test and methodologies to monitor the nature and amount of any substance 

emitted into the ambient air and to provide the information to the cabinet; 

• 401 KAR 50:050. Monitoring. This administrative regulation establishes requirements for 

stack gas monitoring, ambient air monitoring, and recording and reporting requirements as 

related to monitoring data; 

• 401 KAR 51:017. Prevention of significant deterioration of air quality. This 

administrative regulation applies to the construction of any new major stationary source 

or any project at an existing major stationary source in an area designated as attainment 

or unclassifiable; 

• 401 KAR 51:052. Review of new sources in or impacting upon nonattainment areas. 

This administrative regulation establishes requirements for the construction or 

modification of stationary sources within, or impacting upon, areas where the national 

ambient air quality standards have not been attained; 

• 401 KAR 53:005. General provisions. This administrative regulation is to provide for the 

establishment of general provisions, definitions and time schedules as they pertain to this 

chapter; 

• 401 KAR 53:010. Ambient Air Quality Standards. This administrative regulation 

establishes ambient air quality standards necessary for the protection of the public health, 

welfare, and property. 

Program for enforcement of control measures: Section 110(a)(2)(C) of the CAA requires 

States to include a program that provides for enforcement of all SIP measures and the regulation 

of construction of new or modified stationary sources to meet prevention of significant 

deterioration (PSD) and nonattainment new source review (NSR) requirements. 
5 

Kentucky Authority:

• 401 KAR 50:060. Enforcement. This administrative regulation provides for enforcement 

of the terms and conditions of permits and compliance schedules; 

• 401 KAR 51:017. Prevention of Significant Deterioration of Air Quality. This 

administrative regulation applies to the construction of any new major stationary source 

or any project at an existing major stationary source in an area designated as attainment 

or unclassifiable; 

• 401 KAR 51:052. Review of new sources in or impacting upon nonattainment areas. 

This administrative regulation establishes requirements for the construction or 

modification of stationary sources within, or impacting upon, areas where the national 

ambient air quality standards have not been attained; 

• 401 KAR 51:001, 51:017 and 51:052. These regulations were amended to adopt federal 

revisions to the lists of major sources relating to PSD, NSR and Title V applicability, 

removed the existing requirements for clean units and pollution control projects, and 

added nitrogen oxides as a precursor to ozone formation. These amendments became 

effective in Kentucky on February 5, 2010, were submitted to EPA on February 22, 2010, 

and were officially approved to the SIP in 75 FR 55988, on September 15, 2010; 

• 401 KAR 51:001 and 52:001. These regulations were amended to include federal 

definition changes significant to Kentucky’s permitting by establishing thresholds for the 

regulation and permitting of greenhouse gas emissions. These amendments became 

effective in Kentucky on January 3, 2011, were submitted to EPA on December 13, 2010 

and were officially approved to the SIP in 75 FR 81868, December 29, 2010; 

• 401 KAR 51:001, 51:017 and 51:052. These regulations were amended to adopt revisions 

to the NSR/PSD programs consistent with the PM2.5 NAAQS implementation. The 

Division filed the proposed administrative regulation amendments with the Legislative 

Research Commission June 14, 2012 and EPA on June 19, 2012. 

Interstate transport: Section 110(a)(2)(D) of the CAA requires SIPs to include provisions 

prohibiting any source of other type of emissions activity in one state from contributing 

significantly to nonattainment of the NAAQS in another State. States are required to submit 

110(a)(2)(D)(i) plans to demonstrate compliance with these provisions. 

Kentucky Authority:

• Finding regarding section 110(a)(2)(D)(i) promulgated submitted on 12/10/07 for the 

1997 8-hour ozone and PM2.5 National Ambient Air Quality Standards; 

• Kentucky submitted the 110(a)(1) plan on 12/7/07 for the 1997 8-hour ozone and PM2.5

NAAQS; 

• Kentucky’s regulations in response to the Clean Air Interstate Rule (CAIR) were 

approved 10/4/07 (72 FR 56623); 

• The Final Regional Haze SIP was submitted to U.S. EPA on 6/25/08, and EPA published 

a limited approval and limited disapproval on March 30, 2012 effective April 30, 2012; 

• The Final 8-Hour Ozone Attainment Demonstration for Boone, Campbell, and Kenton 

counties, Kentucky, was submitted to U.S. EPA on 12/07/07; 

• The Final PM2.5 Attainment Demonstration for Jefferson, Bullitt, Boone, Campbell, 

Kenton, Boyd, and a portion of Lawrence counties, Kentucky, was submitted to U.S. 

EPA on 12/03/08; 
6 

• 401 KAR 51:010. Attainment Status Designations. This administrative regulation 

designates the status of all areas of the Commonwealth of Kentucky with regard to 

attainment of the ambient air quality standards; 

• 401 KAR 51:017. Prevention of significant deterioration of air quality. This 

administrative regulation applies to the construction of any new major stationary source 

or any project at an existing major stationary source in an area designated as attainment 

or unclassifiable; 

• Regulation 401 KAR 51:052. Review of new sources in or impacting upon nonattainment 

areas, Section 1 applies to a new major stationary source or project that is a major 

modification at an existing major source and locates in or impacts upon an area 

designated nonattainment under 42 U.S.C. 7407(d)(1)(A)(i); 

• 401 KAR 52:100. Public, affected state, and U.S. EPA review Section 6 requires that 

public notice to permit actions shall be provided to affected states. 

Adequate resources: Section 110(a)(2)(E) of the CAA requires states to provide for adequate 

personnel, funding and legal authority under State law to carry out its SIP and related issues, and 

that the state complies with the requirements state boards under section 7428, State Boards. 

Kentucky Authority:

• KRS 224.10-100. Powers and Duties of the Cabinet, provides for authority under State 

law to carry out its SIP and related issues; 

• KRS 224.10-100. Powers and Duties of the Cabinet, Section (11) provides for the 

authority to accept, receive, and administer grants or other funds or gifts from public and 

private agencies including the federal government for the purpose of carrying out any of 

the functions of the cabinet; 

• KRS 224.10-020, Departments within the cabinet – Offices and divisions within the 

departments – Appointments, describes who is authorized in the Commonwealth to 

approve Air permits and enforcement orders and appeals thereof; 

• 401 KAR 50:038. Air Emissions Fee. This administrative regulation provides for the 

assessment of fees necessary to fund the state Title V permit program; 

• KRS 11A.020. Public servant prohibited from certain conduct—Exception—Disclosure 

of personal or private interest, requires adequate disclosure of any potential conflicts of 

interest; 

• KRS 11A.030 Considerations in determination to abstain from action on official decision 

– Advisory opinion, proscribes guidelines for determining whether to abstain from action 

on an official decision because of a possible conflict of interest; 

• KRS 11A.040 Acts prohibited for public servant or officer – Exception.

Stationary source monitoring system: Section 110(a)(2)(F) of the CAA requires States to 

establish a system to monitor emissions from stationary sources and to submit periodic emissions 

reports. 

Kentucky Authority: 

• Chapter 50 General Administrative Procedures; 
7 

• 401 KAR 50:050 Monitoring, Section 1 Monitoring Records and Reporting establishes 

the requirements for the installation, use, and maintenance of stack gas and ambient air 

monitoring equipment; 

• 401 KAR 50:055 General Compliance Requirements, Section 1 Emission During Shut 

Down Malfunction. 

Emergency power: Section 110(a)(2)(G) of the CAA requires States to provide for authority to 

address activities causing imminent and substantial endangerment to public health, including 

contingency plans to implement the emergency episode provisions in their SIPs. 

Kentucky Authority:

• Chapter 55 Emergency Episodes.

• 401 KAR 55:005. Significant Harm Criteria, Section 1 Purpose defines those levels of 

pollutant concentration which must be prevented in order to avoid significant harm to the 

health of persons; 

• 401 KAR 55:010. Episodic Criteria. The administrative regulation defines those levels 

of pollutant concentrations which justify the proclamation of an air pollution alert, air 

pollution warning, an air pollution emergency; 

• 401 KAR 55:015. Episode Declaration. This administrative regulation provides for the 

curtailment or reduction of processes or operations which emit an air contaminant or an 

air contaminant precursor whose criteria has been reached and are located in the affected 

areas for which an episode level has been declared; 

• All of Kentucky is considered a Priority III Area, and therefore no emergency episode 

plan for PM2.5 is required; 

• An emergency episode was already included for the 1-hour ozone standard and would 

suffice for the 8-hour ozone standard. 

Future SIP revisions: Section 110(a)(2)(H) of the CAA requires States to have the authority to 

revise their SIPs in response to changes in the NAAQS, availability of improved methods for 

attaining the NAAQS, or in response to an EPA finding that the SIP is substantially inadequate. 

Kentucky Authority:

• Chapter 53 Ambient Air Quality.

• 401 KAR 53:005. General Provisions;

• 401 KAR 53:010. Ambient Air Quality Standards. This administrative regulation is to fix 

ambient air quality standards necessary for the protection of the public health, the general 

welfare, and the property and people in this Commonwealth; 

• 401 KAR 51:010. Attainment Status Designations. This administrative regulation 

contains provisions for the cabinet to review applicable data and submit to U.S. EPA 

revisions to the attainment-nonattainment list pursuant to 42 U.S.C. 7407. 

Consultation with government officials: Section 110(a)(2)(J) of the CAA requires States to 

provide a process for consultation with local governments and Federal Land Managers carrying 

out NAAQS implementation requirements pursuant to CAA Section 121 relating to consultation. 
8 

Kentucky Authority:

• 401 KAR 50:055. General compliance requirements. This administrative regulation 

establishes requirements for compliance during shutdown and malfunctions; establishes 

requirements for demonstrating compliance with standards; establishes requirements for 

compliance when a source is relocated within the Commonwealth of Kentucky; and other 

general compliance requirements; 

• 401 KAR 50:060. Enforcement. This administrative regulation provides for enforcement 

of the terms and conditions of permits and compliance schedules; 

• 401 KAR 50:065. Conformity of general federal actions. The federal regulation 

incorporated by reference in this administrative regulation provides for determining the 

conformity of general federal actions to the State Implementation Plan (SIP). 40 CFR 

51.850 to 51.860 require that the applicable federal agencies implement the conformity 

determination in consultation with agencies of the Commonwealth of Kentucky; 

• 401 KAR 50:060. Enforcement. This administrative regulation provides for enforcement 

of the terms and conditions of permits and compliance schedules; 

• 401 KAR 50:066. Conformity of Transportation Plans, Programs, and Projects. This 

administrative regulation establishes criteria and procedures for the interagency 

consultation process used in demonstrating conformity of federal transportation plans to 

the SIP; 

• 401 KAR 51:017. Prevention of Significant Deterioration of Air Quality. This 

administrative regulation applies to the construction of any new major stationary source 

or any project at an existing major stationary source in an area designated as attainment 

or unclassifiable; 

• 401 KAR 51:052. Review of new sources in or impacting upon nonattainment areas. 

This administrative regulation establishes requirements for the construction or 

modification of stationary sources within, or impacting upon, areas where the national 

ambient air quality standards have not been attained; 

• 401 KAR 51:001, 51:017 and 51:052. These regulations were amended to adopt federal 

revisions to the lists of major sources relating to PSD, NSR and Title V applicability, 

removed the existing requirements for clean units and pollution control projects, and 

added nitrogen oxides as a precursor to ozone formation. These amendments became 

effective in Kentucky on February 5, 2010, were submitted to EPA on February 22, 2010, 

and were officially approved to the SIP in 75 FR 55988, on September 15, 2010; 

• 401 KAR 51:001 and 52:001. These regulations were amended to include federal 

definition changes significant to Kentucky’s permitting by establishing thresholds for the 

regulation and permitting of greenhouse gas emissions. These amendments became 

effective in Kentucky on January 3, 2011, were submitted to EPA on December 13, 2010 

and were officially approved to the SIP in 75 FR 81868, December 29, 2010; 

• 401 KAR 51:001, 51:017 and 51:052. These regulations were amended to adopt revisions 

to the NSR/PSD programs consistent with the PM2.5 NAAQS implementation. The 

Division filed the proposed administrative regulation amendments with the Legislative 

Research Commission June 14, 2012 and EPA on June 19, 2012; 

• KAR 52:100. Public, Affected State, and U.S. EPA Review. This administrative 

regulation establishes the procedures used by the cabinet to provide for the review of 

federally-enforceable permits by the public, affected states, and the U.S. EPA. 
9 

Public notification: Section 110(a)(2)(J) of the CAA further requires States to notify the public 

if NAAQS are exceeded in an area and to enhance public awareness of measure that can be taken 

to prevent exceedances. 

Kentucky Authority:

• 401 KAR 51:001. Definitions for 401 KAR Chapter 51. This administrative regulation 

defines the terms used in 401 KAR Chapter 51. The definitions contained in this 

administrative regulation are neither more stringent nor otherwise different than the 

corresponding federal definitions; 

• 401 KAR 51:005. Purpose and General Provisions. This administrative regulation 

establishes the general provisions as related to new sources with respect to the prevention 

of significant deterioration of air quality and construction of stationary sources impacting 

on nonattainment areas; 

• 401 KAR 51:010. Attainment Status Designations. This administrative regulation 

designates the status of all areas of the Commonwealth of Kentucky with regard to 

attainment of the ambient air quality standards; 

• 401 KAR 51:017. Prevention of significant deterioration of air quality. This 

administrative regulation applies to the construction of any new major stationary source 

or any project at an existing major stationary source in an area designated as attainment 

or unclassifiable; 

• 401 KAR 51:052. Review of new sources in or impacting upon nonattainment areas. 

This administrative regulation establishes requirements for the construction or 

modification of stationary sources within, or impacting upon, areas where the national 

ambient air quality standards have not been attained; 

• 401 KAR 51:150. NOx requirements for stationary internal combustion engines. 

Pursuant to the federal NOx SIP Call, this administrative regulation provides for the 

regional control of NOx emissions by establishing requirements for large stationary 

internal combustion engines; 

• 401 KAR 51:160. NOx requirements for large utility and industrial boilers. This 

administrative regulation establishes requirements for the control of NOx emissions from 

large boilers and turbines used in power plants and other industrial applications, pursuant 

to the federal mandate published under the NOx SIP Call; 

• 401 KAR 51:170. NOx requirements for cement kilns. This administrative regulation 

provides for the regional control of NOx emissions from portland cement manufacturing 

plants pursuant to the federal mandate published under the NOx SIP Call; 

• 401 KAR 51:180. NOx credits for early reduction and emergency. This administrative 

regulation provides for the distribution of NOx allowances from a compliance 

supplement pool allocated to Kentucky by the U.S. EPA for sources that reduce NOx 

emissions before the compliance deadline of the federal mandate published under the 

NOx SIP Call. It also provides for setting aside unused credits to assist sources that are 

unable to meet the compliance deadline; 

• 401 KAR 51:190. Banking and trading NOx allowances. This administrative regulation 

incorporates by reference the federal regulation that establishes a program for banking 
10 

and trading of emission allowances to reduce NOx emissions under the federal NOx SIP 

Call; 

• 401 KAR 51:195. NOx opt-in provisions. The federal regulation incorporated by 

reference in this administrative regulation establishes provisions for individual sources to 

opt into the NOx Budget Trading Program; 

• 401 KAR 51:210. CAIR NOx annual trading program. This administrative regulation 

establishes requirements for the control of NOx emissions from large boilers and turbines 

used in power plants, pursuant to the federal mandate published under the Clean Air 

Interstate Rule (CAIR), 40 C.F.R. 96.101 to 96.188; 

• 401 KAR 51:220. CAIR NOx ozone season trading program. This administrative 

regulation establishes requirements for the control of NOx emissions from large boilers 

and turbines used in power plants and other industrial applications, pursuant to the federal 

mandate published under the Clean Air Interstate Rule (CAIR), 40 C.F.R. 96.301 to 

96.388; 

• 401 KAR 51:230. CAIR SO2 trading program. This administrative regulation establishes 

the provisions of the CAIR SO2 Trading Program as codified at 40 C.F.R. 96.201 to 

96.288 for applicable sources located in the Commonwealth of Kentucky; 

• 401 KAR 52:100. Public, Affected State, and U.S. EPA Review. This administrative 

regulation establishes the procedures used by the cabinet to provide for the review of 

federally-enforceable permits by the public, affected states, and the U.S. EPA. 

PSD and visibility protection: Section 110(a)(2)(J) of the CAA also requires States to meet 

applicable requirements of Part C related to PSD and visibility protection. 

Kentucky Authority:

• 401 KAR 51:005. Purpose and General Provisions. This administrative regulation 

establishes the general provisions as related to new sources with respect to the prevention 

of significant deterioration of air quality and construction of stationary sources impacting 

on nonattainment areas; 

• 401 KAR 51:010. Attainment Status Designations. This administrative regulation 

designates the status of all areas of the Commonwealth of Kentucky with regard to 

attainment of the ambient air quality standards; 

• 401 KAR 51:017. Prevention of significant deterioration of air quality. This 

administrative regulation applies to the construction of any new major stationary source 

or any project at an existing major stationary source in an area designated as attainment 

or unclassifiable; 

• 401 KAR 51:052. Review of new sources in or impacting upon nonattainment areas. 

This administrative regulation establishes requirements for the construction or 

modification of stationary sources within, or impacting upon, areas where the national 

ambient air quality standards have not been attained; 

• 401 KAR 63:005. Open Burning. This administrative regulation establishes 

requirements for the control of open burning; 

• 401 KAR 63:010. Fugitive Emissions. This administrative regulation provides for the 

control of fugitive emissions. 
11 

Air quality modeling/data: Section 110(a)(2)(K) of the CAA requires that SIPs provide for 

performing air quality modeling so that effects on air quality of emissions from NAAQS 

pollutants can be predicted and submission of such data to EPA can be made. 

Kentucky Authority:

• 401 KAR 50:040. Air Quality Models. This administrative regulation specifies general 

provisions for the use of air quality models; 

• 401 KAR 50:050. Monitoring. 

Permitting fees: Section 110(a)(2)(L) of the CAA requires SIPs to require each major stationary 

source to pay permitting fees to cover the costs of reviewing, approving, implementing, and 

enforcing a permit. 

Kentucky Authority:

• 401 KAR 50:038. Air Emissions Fee. This administrative regulation provides for the 

assessment of fees necessary to fund the state permit program. 

Consultation/participation by affected local entities: Section 110(a)(2)(M) of the CAA 

requires States to provide for consultation and participation in SIP development by local political 

subdivision affected by the SIP. 

Kentucky Authority:

• 401 KAR 50:066. Conformity of transportation plans, programs, and projects. This 

administrative regulation adopts the Federal Transportation Conformity Rules as codified 

in 40 C.F.R. Part 93 Subpart A and incorporates a guidance document that establishes 

criteria and procedures for the interagency consultation process used in demonstrating 

conformity of federal transportation plans to the Kentucky State Implementation Plan; 

• 401 KAR 52:100. Public, Affected State, and U.S. EPA Review. This administrative 

regulation establishes the procedures used by the cabinet to provide for the review of 

federally-enforceable permits by the public, affected states, and the U.S. EPA; 

• KRS Chapter 77. Air Pollution Control, provides for the creation of each county to 

development an air pollution control district.
1 

STATEMENT OF CONSIDERATION 

RELATING TO SIP REVISION FOR THE STATE IMPLEMENTATION PLAN (SIP) 

THAT DOCUMENTS THE CLEAN AIR ACT (CAA) REQUIREMENTS OF SECTION 

110(A) INFRASTRUCTURE PROVISIONS ADDRESSING THE REQUIREMENTS FOR 

THE 1997 AND 2006 PM2.5, THE 2008 8-HOUR OZONE, AND THE 2008 LEAD 

NATIONAL AMBIENT AIR QUALITY STANDARDS (NAAQS). 

Amended After Comments 

Energy and Environment Cabinet 

Department for Environmental Protection 

Division for Air Quality 

A public comment period was open to receive comments on the State Implementation Plan (SIP) 

revision to document the Clean Air Act (CAA) requirements of Section 110(a) infrastructure 

provisions addressing the National Ambient Air Quality Standards (NAAQS) requirements for 

the 1997 and 2006 PM2.5, and the 2008 8-hour ozone and lead standards. No request for a public 

hearing was received therefore a previously scheduled hearing was cancelled. 

The following individuals from the Kentucky Environmental and Public Protection Cabinet 

drafted responses to comments received during the public review period. 

John Gowins, Environmental Control Supervisor, Division for Air Quality 

Response to Comments for the proposed revision to the State Implementation Plan (SIP) to 

address Clean Air Act Section 110 requirements for the 1997 and 2006 PM 2.5, and the 

2008 8-hour ozone and lead National Ambient Air Quality Standards (NAAQS). 

1. Comment: KRS 11A.020(3) appears to describe the disclosure requirements applicable 

to public servants when they abstain from action on an official decision for which the 

Commonwealth has or may have a personal or private interest, but a provision actually 

requiring this abstention is not obvious. Please provide clarification on whether there is a 

requirement in a different provision to address this abstention, or if section 11A.020 is 

interpreted by the Commonwealth as the basis for the abstention requirement. 

R. Scott Davis, U.S. EPA

Response: The Cabinet acknowledges this comment. After further discussions between 

counsel for the Cabinet and EPA, it was agreed that this requirement would be satisfied 

by the inclusion of KRS 11A.030 Considerations in determination to abstain from action 

on official decision – Advisory opinion, and KRS 11A.040 Acts prohibited for public 

servant or officer – Exception. 

2. Comment: Based on information provided in this prehearing submittal, it appears that 

128(a)(1) is not applicable in the Commonwealth because there are no “boards or bodies” 
2 

that approve CAA permits or enforcement orders. Please clarify and/or confirm this 

point through a citation to the provisions that describe who is authorized in the 

Commonwealth to approve Air permits and enforcement orders and appeals thereof. 

R. Scott Davis, U.S. EPA

Response: The Cabinet acknowledges this comment. KRS 224.10-020, Departments 

within the cabinet – Offices and divisions within the departments – Appointments which 

provides the provisions that describe who is authorized in the Commonwealth to approve 

Air permits and enforcement orders and appeals thereof has been included to be 

incorporated into the SIP. 

3. Comment: Regarding reference to section 110(a)(2)(E)(i) on Page 6, EPA recommends 

the Commonwealth reference “110(a)(2)(E)” in its efforts to establish how the 

Commonwealth is addressing compliance for the entire element. 

R. Scott Davis, U.S. EPA

Response: The Cabinet acknowledges this comment and the narrative has been changed 

as suggested. 

4. Comment: Section 110(a)(2)(C) of the CAA establishes that states are required to have 

SIP-approved prevention of significant deterioration (PSD) programs for enforcement of 

control measures including review of proposed new sources to implement the national 

ambient air quality standards (NAAQS). States were required to submit a SIP revision to 

EPA on May 16, 2011, to adopt the new source review (NSR) requirements established in 

the 2008 NSR PM2.5 Implementation Rule. Additionally the PM2.5 PSD Increment 

requirements established in the October 20, 2010, PSD Increment, Significant Impact 

Levels and Significant Monitoring Concentrations, are due to EPA July 20, 2012. In 

order to comply with 110(a)(2)(C) for the PM2.5 NAAQS, states are required to approve 

into its SIP the 2008 NSR PM2.5 requirements. EPA recommends the Commonwealth 

clarify its intentions regarding meeting the SIP requirements of the 2008 NSR PM2.5 Rule 

and compliance with 110(a)(2)(C) of the CAA. 

R. Scott Davis, U.S. EPA

Response: The Cabinet acknowledges this comment. The Division filed proposed 

administrative regulation amendments with the Legislative Research Commission and 

EPA on June 14, 2012 to adopt revisions to the NSR program consistent with the PM2.5

NAAQS implementation. 

5. Comment: The cover letter states that the submittal is for the NAAQS requirements for 

“PM 2.5, 8-hour ozone, and lead.” EPA suggests the Commonwealth specify in the final 

SIP package cover letter, which NAAQS the infrastructure submittal is addressing (e.g., 

1997 and 2006 PM 2.5 and 2008 ozone and lead NAAQS). 

R. Scott Davis, U.S. EPA
3 

Response: The Cabinet acknowledges this comment. The cover letter has been changed 

to include the dates as suggested. 

6. Comment: Kentucky’s compliance with section 110(a)(2)(G) states “All of Kentucky is 

considered a Priority III area, and therefore no emergency episode plan for PM2.5 is 

required.” It appears this statement was established based on the PM2.5 NAAQS levels in 

the state during the time of the Commonwealth’s September 19, 2008, correspondence to 

EPA regarding Emergency Episode and may not reflect current PM2.5 NAAQS levels in 

the Commonwealth. Consistent with 40 CFR 51.153(a), EPA recommends the 

Commonwealth review the most recent three years of air quality monitoring data for the 

PM2.5 NAAQS for the purposes of this submittal to ensure that no area in the 

Commonwealth has exceeded the 24-hour PM2.5 level of 140.4 micrograms per cubic 

meter (μg/m3). EPA also recommends that the Commonwealth revise the statement at 

110(a)(2)(G) as the following: “Based upon the most recent three years of air quality 

data, no area of the Commonwealth has exceeded the 24-hour PM 2.5 level of 140.4 

μg/m3. Therefore, based upon EPA’s September 25, 2009 PM 2.5 infrastructure 

guidance memorandum, no emergency episode plan for PM2.5 is necessary at this time.” 

R. Scott Davis, U.S. EPA

Response: The Cabinet acknowledges this comment. The Cabinet reviewed the most 

recent three years of air quality monitoring data for the PM2.5 NAAQS for the purposes of 

the submittal and no area in the Commonwealth has exceeded the 24-hour PM2.5 level of 

140.4 micrograms per cubic meter (μg/m3

). 

7. Comment: EPA suggests the following edits to the Interstate transport element (a) list 

401 KAR 51:001 and 51:017 to address PSD; (b) specify approval of Regional Haze SIP; 

and (c) clarify the appropriate 8-hour ozone and PM2.5 NAAQS regarding the attainment 

demonstration reference. 

R. Scott Davis, U.S. EPA

Response: The Cabinet acknowledges this comment. The edits to the Interstate transport 

element have been made. 

8. Comment: Maryland finds Kentucky’s Infrastructure SIP, specifically the Clean Air Act 

Section 110(a)(2)(D), to be lacking the necessary control measures to effectively prohibit 

emissions that significantly contribute to nonattainment or interfere with maintenance in 

Maryland for the 2008 8-hour ozone NAAQS. CSAPR identified Kentucky as a state 

that significantly contributes to Maryland’s ozone nonattainment problem. 

George (Tad) Aburn, Maryland 

Response: The Cabinet does not agree. The air quality modeling to identify downwind 

nonattainment and maintenance receptors for CSPAR was performed using emissions 

inventories developed with a 2005 base year and for 2012 and 2014 projections. This 

modeling did not account for reductions that have been achieved through implementation 

of the Clean Air Interstate Rule (CAIR). The following table shows that the actual 

emissions of NO2 and VOC in Kentucky have decreased by 39% and 17% respectively; 
4 

yet the monitoring data for the Maryland monitor 24-025-1001 Hartford (Edgewood) 

shows that the design value for 2010 has decreased from the 2005 design value by only 

3%. For 2011, the monitor design value has decreased by less than 1% of the 2005 

design value. It is unlikely that Kentucky emissions are having a significant contribution 

to the nonattainment problem in Maryland if reductions in emissions of these magnitudes 

result in reductions of monitor design values of such small values. 

Year KY NO2 Percent KY VOC Percent Maryland dv 

ppb Percent

2005 203,959.70 48,835.72 99 

2010 124,662.91 -39% 40,426.22 -17% 96 -3% 

A review of the monitors located between Kentucky and Maryland was performed using 

the 2010 3-year design values. The design values for these monitors further indicate that 

whatever leads to the ozone problem in Maryland, it is likely due to localized sources. 

Further, a 2011 Congested Corridors Report1

 identified 13 corridors in Washington D.C. 

and 5 corridors in Baltimore as highly congested, which contribute significantly to the 

nonattainment problem for Maryland. 

An analysis of the ten highest monitored values for this site was performed using the 

NOAA hysplit back-trajectory model. The air column passed through Kentucky during 

 

1

Texas Transportation Institute, The Texas A&M University System http://mobility.tamu.edu November 2011 
5 

only 8 of the 30 days reviewed. On the days of the highest readings for each year 2009-

2010-2011 at the Edgewood monitor the air column did not pass over Kentucky. 

9. Comment: Kentucky’s Infrastructure SIP purports to comply with the interstate transport 

requirements of Section 110(a)(2)(D) through the implementation of the NOx SIP Call 

reductions and the Clean Air Interstate Rule (CAIR), or its replacement, CSAPR. 

Maryland strongly believes that these measures alone, even with the reinstatement of 

CSAPR, are insufficient to address transported pollution with regard to the 2008 8-hour 

ozone NAAQS. In fact, CSAPR and CAIR were designed only to address the 0.08 parts 

per million (ppm) 8-hour ozone NAAQS. These federal measures do not eliminate 

significant contributions under the 0.075 ppm 8-hour ozone NAAQS. 

George (Tad) Aburn, Maryland 

Response: The Cabinet does not agree. See response to comment 8 above. Further, 

given the unrecognized reductions accomplished by CAIR, coupled with those expected 

and in some cases already underway due to CSAPR and the Mercury Air Toxics rule 

(MATS) significant localized and downwind benefits are already being achieved. 

10. Comment: Pursuant to the “good neighbor” provisions of Section 110(a)(2)(D), States 

will need to develop and commit to implementation of regulations in their Infrastructure 

SIPs to achieve VOC and NOx reductions from various emissions sources such that the 

State’s significant contribution to nonattainment or interference with maintenance in 

downwind states is eliminated. 

George (Tad) Aburn, Maryland 

Response: The Cabinet does not agree. See response to comment 8 above. 

11. Comment: From our preliminary modeling, a NOx budget from all sources sectors in 

Kentucky of 146,315 tons per year would satisfy the requirements for Section 

l10(a)(2)(D). 

George (Tad) Aburn, Maryland 

Response: The Cabinet acknowledges this comment. See response to comment 8 above. 

12. Comment: Maryland believes Kentucky and all states that have been demonstrated to 

significantly impact downwind receptors, which include Maryland, should expeditiously 

implement control programs that address NOx and VOC emissions. 

George (Tad) Aburn, Maryland 

Response: The Cabinet does not agree. As stated previously, measures under CAIR have 

been implemented and further emissions reductions expected to be implemented due to 

the CSAPR and MATS rules are underway2

. 

 

2

 PSC Approves LG&E and KU Plan for Gas-fired Power Plants http://psc.ky.gov/agencies/psc/press/052012/0503_r01.PDF 
224.10-100 Powers and duties of cabinet.

In addition to any other powers and duties vested in it by law, the cabinet shall have the 

authority, power, and duty to:

(1) Exercise general supervision of the administration and enforcement of this chapter, 

and all rules, regulations, and orders promulgated thereunder;

(2) Prepare and develop a comprehensive plan or plans related to the environment of 

the Commonwealth;

(3) Encourage industrial, commercial, residential, and community development which 

provides the best usage of land areas, maximizes environmental benefits, and 

minimizes the effects of less desirable environmental conditions;

(4) Develop and conduct a comprehensive program for the management of water, land, 

and air resources to assure their protection and balance utilization consistent with 

the environmental policy of the Commonwealth;

(5) Provide for the prevention, abatement, and control of all water, land, and air 

pollution, including but not limited to that related to particulates, pesticides, gases, 

dust, vapors, noise, radiation, odor, nutrients, heated liquid, or other contaminants;

(6) Provide for the control and regulation of surface coal mining and reclamation in a 

manner to accomplish the purposes of KRS Chapter 350;

(7) Secure necessary scientific, technical, administrative, and operational services, 

including laboratory facilities, by contract or otherwise;

(8) Collect and disseminate information and conduct educational and training programs 

relating to the protection of the environment;

(9) Appear and participate in proceedings before any federal regulatory agency 

involving or affecting the purposes of the cabinet;

(10) Enter and inspect any property or premises for the purpose of investigating either 

actual or suspected sources of pollution or contamination or for the purpose of 

ascertaining compliance or noncompliance with this chapter, or any regulation 

which may be promulgated thereunder;

(11) Conduct investigations and hold hearings and compel the attendance of witnesses 

and the production of accounts, books, and records by the issuance of subpoenas;

(12) Accept, receive, and administer grants or other funds or gifts from public and 

private agencies including the federal government for the purpose of carrying out 

any of the functions of the cabinet. The funds received by the cabinet shall be 

deposited in the State Treasury to the account of the cabinet;

(13) Request and receive the assistance of any state or municipal educational institution, 

experiment station, laboratory, or other agency when it is deemed necessary or 

beneficial by the cabinet in the performance of its duties;

(14) Advise, consult, and cooperate with other agencies of the Commonwealth, other 

states, the federal government, and interstate and interlocal agencies, and affected 

persons, groups, and industries;
(15) Formulate guides for measuring presently unidentified environmental values and 

relationships so they can be given appropriate consideration along with social, 

economic, and technical considerations in decision making;

(16) Monitor the environment to afford more effective and efficient control practices, to 

identify changes and conditions in ecological systems, and to warn of emergency 

conditions;

(17) Adopt, modify, or repeal with the recommendation of the commission any standard, 

regulation, or plan specified in KRS 224.01-110 (5) and (6);

(18) Issue, after hearing, orders abating activities in violation of this chapter, or the 

provisions of this chapter, or the regulations promulgated pursuant thereto and 

requiring the adoption of the remedial measures the cabinet deems necessary;

(19) Issue, continue in effect, revoke, modify, suspend, or deny under such conditions as 

the cabinet may prescribe and require that applications be accompanied by plans, 

specifications, and other information the cabinet deems necessary for the following 

permits:

(a) Permits to discharge into any waters of the Commonwealth, and for the 

installation, alteration, expansion, or operation of any sewage system; 

however, the cabinet may refuse to issue the permits to any person, or any 

partnership, corporation, etc., of which the person owns more than ten percent 

(10%) interest, who has improperly constructed, operated, or maintained a 

sewage system willfully, through negligence, or because of lack of proper 

knowledge or qualifications until the time that person demonstrates proper 

qualifications to the cabinet and provides the cabinet with a performance 

bond;

(b) Permits for the installation, alteration, or use of any machine, equipment, 

device, or other article that may cause or contribute to air pollution or is 

intended primarily to prevent or control the emission of air pollution; or

(c) Permits for the establishment or construction and the operation or 

maintenance of waste disposal sites and facilities;

(20) May establish, by regulation, a fee or schedule of fees for the cost of processing 

applications for permits authorized by this chapter, and for the cost of processing 

applications for exemptions or partial exemptions which may include but not be 

limited to the administrative costs of a hearing held as a result of the exemption 

application, except that applicants for existing or proposed publicly owned facilities 

shall be exempt from any charge, other than emissions fees assessed pursuant to 

KRS 224.20-050, and that certain nonprofit organizations shall be charged lower 

fees to process water discharge permits under KRS 224.16-050(5);

(21) May require for persons discharging into the waters or onto the land of the 

Commonwealth, by regulation, order, or permit, technological levels of treatment 

and effluent limitations;

(22) Require, by regulation, that any person engaged in any operation regulated pursuant 

to this chapter install, maintain, and use at such locations and intervals as the 

cabinet may prescribe any equipment, device, or test and the methodologies and 
procedures for the use of the equipment, device, or test to monitor the nature and 

amount of any substance emitted or discharged into the ambient air or waters or 

land of the Commonwealth and to provide any information concerning the 

monitoring to the cabinet in accordance with the provisions of subsection (23) of 

this section;

(23) Require by regulation that any person engaged in any operation regulated pursuant 

to this chapter file with the cabinet reports containing information as to location, 

size, height, rate of emission or discharge, and composition of any substance 

discharged or emitted into the ambient air or into the waters or onto the land of the 

Commonwealth, and such other information the cabinet may require;

(24) Promulgate regulations, guidelines, and standards for waste planning and 

management activities, approve waste management facilities, develop and publish a 

comprehensive statewide plan for nonhazardous waste management which shall 

contain but not be limited to the provisions set forth in KRS 224.43-345, and 

develop and publish a comprehensive statewide plan for hazardous waste 

management which shall contain but not be limited to the following:

(a) A description of current hazardous waste management practices and costs, 

including treatment and disposal, within the Commonwealth;

(b) An inventory and description of all existing facilities where hazardous waste 

is being generated, treated, recycled, stored, or disposed of, including an 

inventory of the deficiencies of present facilities in meeting current hazardous 

waste management needs and a statement of the ability of present hazardous 

waste management facilities to comply with state and federal laws relating to 

hazardous waste;

(c) A description of the sources of hazardous waste affecting the Commonwealth 

including the types and quantities of hazardous waste currently being 

generated and a projection of such activities as can be expected to continue for 

not less than twenty (20) years into the future; and

(d) An identification and continuing evaluation of those locations within the 

Commonwealth which are naturally or may be engineered to be suitable for 

the establishment of hazardous waste management facilities, and an 

identification of those general characteristics, values, and attributes which 

would render a particular location unsuitable, consistent with the policy of 

minimizing land disposal and encouraging the treatment and recycling of the 

wastes.

The statewide waste management plans shall be developed consistent with state and 

federal laws relating to waste;

(25) Perform other acts necessary to carry out the duties and responsibilities described in 

this section;

(26) Preserve existing clean air resources while ensuring economic growth by issuing 

regulations, which shall be no more stringent than federal requirements, setting 

maximum allowable increases from stationary sources over baseline concentrations 
of air contaminants to prevent significant deterioration in areas meeting the state 

and national ambient air quality standards;

(27) Promulgate regulations concerning the bonding provisions of subsection (19)(a) of 

this section, setting forth bonding requirements, including but not limited to 

requirements for the amount, duration, release, and forfeiture of the bonds. All 

funds from the forfeiture of bonds required pursuant to this section shall be placed 

in the State Treasury and credited to a special trust and agency account which shall 

not lapse. The account shall be known as the "sewage treatment system 

rehabilitation fund" and all moneys placed in the fund shall be used for the 

elimination of nuisances and hazards created by sewage systems which were 

improperly built, operated, or maintained, and insofar as practicable be used to 

correct the problems at the same site for which the bond or other sureties were 

originally provided; and

(28) Promulgate administrative regulations not inconsistent with the provisions of law 

administered by the cabinet.

Effective: August 30, 2007

History: Amended 2007 (2d Extra. Sess.) Ky. Acts ch. 1, sec. 42, effective August 30, 

2007. -- Amended 1994 Ky. Acts ch. 162, sec. 3, effective July 15, 1994. -- Amended

1990 Ky. Acts ch. 325, sec. 15, effective July 13, 1990; and ch. 412, sec. 1, effective 

July 13, 1990. -- Amended 1986 Ky. Acts ch. 455, sec. 1, effective July 15, 1986. --

Amended 1984 Ky. Acts ch. 111, sec. 109, effective July 13, 1984. -- Amended 1980 

Ky. Acts ch. 264, sec. 2; and ch. 377, sec. 10, effective July 15, 1980. -- Amended 

1978 Ky. Acts ch. 113, sec. 3, effective June 17, 1978; and ch. 266, sec. 2, effective 

June 17, 1978. -- Amended 1974 Ky. Acts ch. 355, sec. 2, effective June 21, 1974. --

Created 1972 (1st Extra. Sess.) Ky. Acts ch. 3, sec. 3, effective January 1, 1973.

Formerly codified as KRS 224.033

Legislative Research Commission Note (9/28/93). The Division of Energy within the 

Department for Natural Resources of the Natural Resources and Environmental 

Protection Cabinet was made "responsible for subsections (28) and (29)" of this 

statute by 1990 Ky. Acts, ch. 325, sec. 14.

Legislative Research Commission Note (6/20/2005). 2005 Ky. Acts ch. 123, sec. 5, 

codified at KRS 224.10-103, provides that the Division of Energy and all "personnel, 

functions, powers, and duties of the Division of Energy shall be transferred to the 

Tourism Development Cabinet." The abolition of the Tourism Development Cabinet 

and creation of the Commerce Cabinet under Executive Order 2004-729 were 

confirmed by 2005 Ky. Acts ch. 95, in which the Office of Energy Policy is 

established and statutory references to the "Division of Energy" are changed to the 

"Office of Energy Policy."
224.10-020 Departments within the cabinet -- Offices and divisions within the 

departments -- Appointments.

(1) There is established within the cabinet a Department for Natural Resources, a 

Department for Environmental Protection, and a Department for Energy 

Development and Independence. Each department shall be headed by a 

commissioner appointed by the secretary with the approval of the Governor as 

required by KRS 12.050. The commissioners shall be directly responsible to the 

secretary and shall perform such functions, powers, and duties as provided by law 

and as the secretary may prescribe.

(2) There is established within the Department for Natural Resources a Division of 

Forestry, a Division of Conservation, a Division of Technical and Administrative 

Support, a Division of Mine Reclamation and Enforcement, a Division of Mine 

Permits, a Division of Abandoned Mine Lands, a Division of Oil and Gas, and an 

Office of Mine Safety and Licensing. There shall be established within the Office of 

Mine Safety and Licensing a Division of Safety Inspection and Licensing and a 

Division of Safety Analysis, Training, and Certification. The Kentucky Mining 

Board is attached to the Office of Mine Safety and Licensing for administrative 

purposes. Each division shall be headed by a director and each office shall be 

headed by an executive director. Directors and executive directors shall be 

appointed by the secretary with the approval of the Governor as required by KRS 

12.050, except for the director of the Division of Conservation, who shall be 

appointed in accordance with KRS 146.100. Both directors and executive directors 

shall be directly responsible to the commissioner and shall perform the functions, 

powers, and duties as provided by law and as prescribed by the secretary.

(3) There is established within the Department for Environmental Protection a Division 

of Water, a Division for Air Quality, a Division of Waste Management, a Division 

of Enforcement, a Division of Compliance Assistance, and a Division of 

Environmental Program Support. Each division shall be headed by a director 

appointed by the secretary with the approval of the Governor as required by KRS 

12.050. Directors shall be directly responsible to the commissioner and shall 

perform the functions, powers, and duties as provided by law and as prescribed by 

the secretary.

(4) There is established within the Department for Energy Development and 

Independence a Division of Energy Efficiency and Conservation, a Division of 

Renewable Energy, a Division of Biofuels, a Division of Energy Generation, 

Transmission and Distribution, a Division of Carbon Management, and a Division 

of Fossil Energy Development. Each division shall be headed by a director. 

Directors shall be appointed by the secretary with the approval of the Governor as 

required by KRS 12.050.

Effective: July 15, 2010

History: Amended 2010 Ky. Acts ch. 24, sec. 349, effective July 15, 2010. -- Amended 

2005 Ky. Acts ch. 123, sec. 21, effective June 20, 2005. -- Amended 1996 Ky. Acts 

ch. 360, sec. 1, effective July 15, 1996. -- Amended 1990 Ky. Acts ch. 399, sec. 1, 

effective July 13, 1990. -- Amended 1978 Ky. Acts ch. 155, sec. 122, effective June 

17, 1978. -- Amended 1976 Ky. Acts ch. 290, sec. 1, effective June 19, 1976. --
Created 1974 Ky. Acts ch. 74, Art. III, sec. 2, effective June 21, 1974.

Formerly codified as KRS 224.012.

Legislative Research Commission Note (6/20/2005). Although 2005 Ky. Acts ch. 123, 

sec. 21, contains a reference to "Section 64 of this Act" (KRS 353.510) in subsection 

(2) of this statute, that reference has been codified as KRS 353.530 (2005 Ky. Acts 

ch. 123, sec. 65) because a section was added to the introduced version of the bill in 

the Senate Committee Substitute, but the necessary adjustment to this internal 

reference was not made. This manifest typographical or clerical error and has been 

corrected in codification under KRS 7.136(1)(h).
11A.020 Public servant prohibited from certain conduct -- Exception -- Disclosure 

of personal or private interest.

(1) No public servant, by himself or through others, shall knowingly:

(a) Use or attempt to use his influence in any matter which involves a substantial 

conflict between his personal or private interest and his duties in the public 

interest;

(b) Use or attempt to use any means to influence a public agency in derogation of 

the state at large;

(c) Use his official position or office to obtain financial gain for himself or any 

members of the public servant's family; or

(d) Use or attempt to use his official position to secure or create privileges, 

exemptions, advantages, or treatment for himself or others in derogation of the 

public interest at large.

(2) If a public servant appears before a state agency, he shall avoid all conduct which 

might in any way lead members of the general public to conclude that he is using 

his official position to further his professional or private interest.

(3) When a public servant abstains from action on an official decision in which he has 

or may have a personal or private interest, he shall disclose that fact in writing to his 

superior, who shall cause the decision on these matters to be made by an impartial 

third party.

(4) The prohibitions imposed by subsection (1)(c) of this section shall not apply to 

Professional Golfers' Association class A members who teach golf lessons and 

receive a fee or lesson charge at golf courses owned and operated by the Kentucky 

Department of Parks. Instruction provided by an employee of the Commonwealth 

shall only be given while the employee is on his or her own personal time. The 

commissioner of the Department of Parks shall promulgate administrative 

regulations to establish guidelines for the process by which Professional Golfers' 

Association class A members are approved to teach golf lessons at Kentucky 

Department of Parks-owned golf courses. The exception granted by this subsection 

is in recognition of the benefits that will accrue to the Kentucky Department of 

Parks due to increased participation at state-owned golf courses.

Effective: July 15, 1998

History: Amended 1998 Ky. Acts ch. 381, sec. 1, effective July 15, 1998. -- Created 

1992 Ky. Acts ch. 287, sec. 4, effective July 14, 1992.
11A.030 Considerations in determination to abstain from action on official decision 

-- Advisory opinion.

In determining whether to abstain from action on an official decision because of a 

possible conflict of interest, a public servant should consider the following guidelines:

(1) Whether a substantial threat to his independence of judgment has been created by 

his personal or private interest;

(2) The effect of his participation on public confidence in the integrity of the executive 

branch;

(3) Whether his participation is likely to have any significant effect on the disposition 

of the matter;

(4) The need for his particular contribution, such as special knowledge of the subject 

matter, to the effective functioning of the executive branch; or

(5) Whether the official decision will affect him in a manner differently from the public 

or will affect him as a member of a business, profession, occupation, or group to no 

greater extent generally than other members of such business, profession, 

occupation, or group. A public servant may request an advisory opinion from the 

Executive Branch Ethics Commission in accordance with the commission's rules of 

procedure.

Effective: July 14, 1992

History: Created 1992 Ky. Acts ch. 287, sec. 5, effective July 14, 1992.
11A.040 Acts prohibited for public servant or officer -- Exception.

(1) A public servant, in order to further his own economic interests, or those of any 

other person, shall not knowingly disclose or use confidential information acquired 

in the course of his official duties.

(2) A public servant shall not knowingly receive, directly or indirectly, any interest or 

profit arising from the use or loan of public funds in his hands or to be raised 

through any state agency.

(3) A public servant shall not knowingly act as a representative or agent for the 

Commonwealth or any agency in the transaction of any business or regulatory 

action with himself, or with any business in which he or a member of his family has 

any interest greater than five percent (5%) of the total value thereof.

(4) A public servant shall not knowingly himself or through any business in which he 

owns or controls an interest of more than five percent (5%), or by any other person 

for his use or benefit or on his account, undertake, execute, hold, bid on, negotiate, 

or enjoy, in whole or in part, any contract, agreement, lease, sale, or purchase made, 

entered into, awarded, or granted by the agency by which he is employed or which 

he supervises, subject to the provisions of KRS 45A.340. This provision shall not 

apply to:

(a) A contract, purchase, or good faith negotiation made pursuant to KRS Chapter 

416 relating to eminent domain; or

(b) Agreements which may directly or indirectly involve public funds disbursed 

through entitlement programs; or

(c) A public servant's spouse or child doing business with any state agency other 

than the agency by which the public servant is employed or which he 

supervises; or

(d) Purchases from a state agency that are available on the same terms to the 

general public or that are made at public auction; or

(e) Sales of craft items to a state park by interim state employees designated as 

craftspersons under KRS 148.257.

(5) A public servant shall not knowingly accept compensation, other than that provided 

by law for public servants, for performance of his official duties without the prior 

approval of the commission.

(6) A former officer or public servant listed in KRS 11A.010(9)(a) to (g) shall not, 

within six (6) months of termination of his employment, knowingly by himself or 

through any business in which he owns or controls an interest of at least five percent 

(5%), or by any other person for his use or benefit or on his account, undertake, 

execute, hold, bid on, negotiate, or enjoy, in whole or in part, any contract, 

agreement, lease, sale, or purchase made, entered into, awarded, or granted by the 

agency by which he was employed. This provision shall not apply to a contract, 

purchase, or good faith negotiation made under KRS Chapter 416 relating to 

eminent domain or to agreements that may directly or indirectly involve public 

funds disbursed through entitlement programs. This provision shall not apply to 

purchases from a state agency that are available on the same terms to the general 
public or that are made at public auction. This provision shall not apply to former 

officers of the Department of Public Advocacy whose continued representation of 

clients is necessary in order to prevent an adverse effect on the client.

(7) A present or former officer or public servant listed in KRS 11A.010(9)(a) to (g) 

shall not, within six (6) months following termination of his office or employment, 

accept employment, compensation, or other economic benefit from any person or 

business that contracts or does business with, or is regulated by, the state in matters 

in which he was directly involved during the last thirty-six (36) months of his 

tenure. This provision shall not prohibit an individual from returning to the same 

business, firm, occupation, or profession in which he was involved prior to taking 

office or beginning his term of employment, or for which he received, prior to his 

state employment, a professional degree or license, provided that, for a period of six 

(6) months, he personally refrains from working on any matter in which he was 

directly involved during the last thirty-six (36) months of his tenure in state 

government. This subsection shall not prohibit the performance of ministerial 

functions, including but not limited to filing tax returns, filing applications for 

permits or licenses, or filing incorporation papers, nor shall it prohibit the former 

officer or public servant from receiving public funds disbursed through entitlement 

programs.

(8) A former public servant shall not act as a lobbyist or lobbyist's principal in matters 

in which he was directly involved during the last thirty-six (36) months of his tenure 

for a period of one (1) year after the latter of:

(a) The date of leaving office or termination of employment; or

(b) The date the term of office expires to which the public servant was elected.

(9) A former public servant shall not represent a person or business before a state 

agency in a matter in which the former public servant was directly involved during 

the last thirty-six (36) months of his tenure, for a period of one (1) year after the 

latter of:

(a) The date of leaving office or termination of employment; or

(b) The date the term of office expires to which the public servant was elected.

(10) Without the approval of his appointing authority, a public servant shall not accept 

outside employment from any person or business that does business with or is 

regulated by the state agency for which the public servant works or which he 

supervises, unless the outside employer's relationship with the state agency is 

limited to the receipt of entitlement funds.

(a) The appointing authority shall review administrative regulations established 

under KRS Chapter 11A when deciding whether to approve outside 

employment for a public servant.

(b) The appointing authority shall not approve outside employment for a public 

servant if the public servant is involved in decision-making or 

recommendations concerning the person or business from which the public 

servant seeks outside employment or compensation.
(c) The appointing authority, if applicable, shall file quarterly with the Executive 

Branch Ethics Commission a list of all employees who have been approved 

for outside employment along with the name of the outside employer of each.

(11) The prohibitions imposed by subsection (5) or (10) of this section shall not apply to 

Professional Golfers' Association class A members who teach golf lessons and 

receive a fee or lesson charge at golf courses owned and operated by the Kentucky 

Department of Parks. Instruction provided by an employee of the Commonwealth 

shall only be given while the employee is on his or her own personal time. The 

commissioner of the Department of Parks shall promulgate administrative 

regulations to establish guidelines for the process by which Professional Golfers' 

Association class A members are approved to teach golf lessons at Kentucky 

Department of Parks-owned golf courses. The exception granted by this subsection 

is in recognition of the benefits that will accrue to the Kentucky Department of 

Parks due to increased participation at state-owned golf courses.

Effective: July 12, 2006

History: Amended 2006 Ky. Acts ch. 68, sec. 1, effective July 12, 2006. -- Amended 

2000 Ky. Acts ch. 417, sec. 4, effective December 1, 2000; and ch. 475, sec. 2, 

effective July 14, 2000. -- Amended 1998 Ky. Acts ch. 381, sec. 2, effective July 15, 

1998; ch. 429, sec. 2, effective July 15, 1998; ch. 430, sec. 1, effective July 15, 1998; 

and ch. 602, sec. 2, effective July 15, 1998. -- Amended 1996 Ky. Acts ch. 367, 

sec. 1, effective July 15, 1996. -- Amended 1994 Ky. Acts ch. 434, sec. 3, effective 

July 15, 1994. – Created 1992 Ky. Acts ch. 287, sec. 6, effective July 14, 1992.

Legislative Research Commission Note (12/1/2000). The contingency on the 

effectiveness of this statute set by 2000 Ky. Acts ch. 417, sec. 18, was met, the voters 

of the Commonwealth having ratified at the general election on November 7, 2000, a 

constitutional amendment (see 2000 Ky. Acts ch. 399) abolishing the Railroad 

Commission.

Legislative Research Commission Note (7/15/98). A reference to "KRS 11A.010(9)(a) 

to (i)" in the former subsection (6) of this statute (now subsection (7)) has been 

changed in codification to "KRS 11A.010(9)(a) to (h)" under KRS 7.136(1)(e) and 

(h). 1998 Ky. Acts ch. 429, sec. 1, eliminated the former paragraph (g) of KRS 

11A.010(9) and renumbered the remaining subsections accordingly. Other actions 

within Acts Chapter 429 used the "(a) to (h)" range in new language and modified 

existing language to use the "(a) to (h)" range. It seems clear from context, and this 

has been confirmed by the drafter of the bill, that this change was intended here as 

well but was inadvertently overlooked.