Racing (Integrity and Disciplinary Structures) Regulations 2019

The central concept is the appeal to the Victorian Racing Tribunal (VRT). The Regulations do not define the VRT itself, but they assume its existence as a body established under Part 5 of the Act. An appeal under the Regulations is a challenge to a decision of a racing controlling body: Greyhound Racing Victoria, Harness Racing Victoria, or Racing Victoria Limited. The appeal must be in the form prescribed in Schedule 1, and each form contains fields for appellant details, the decision being challenged, grounds of appeal, and representation. A second concept is the serious offence charge. Regulation 8 prescribes the details that must be given to the Registrar when a serious offence is charged under the Act. The term "serious offence" is not defined in the Regulations but is defined in section 50O of the Act. These details are not merely informational; they are mandatory. A third concept is the register. Regulation 9 prescribes the form of the register (electronic or documentary or a combination) and the particulars that must be recorded. The register is maintained by the VRT Registrar and contains two groupings: particulars in respect of appeals lodged, and particulars in respect of serious offences to be heard. Each grouping includes fields such as hearing number, dates, racing code, names, relevant rules, particulars of charge, and the determination. A fourth concept is the approved off-course premises. Form 2 in Schedule 1 is used to appeal decisions under sections 4C and 4D of the Act concerning applications for approval, cancellation, suspension, variation, or refusal to vary the conditions of such approval. This affects venues such as betting shops or other premises authorised to conduct off-course wagering. Finally, the Trainer User Agreement concept appears in Form 3. This agreement is not defined in the Regulations but is referenced in section 50C(f) of the Act. The form requires the parties to the agreement and the date to be provided. The appeal relates to a decision of a controlling body concerning such an agreement. All forms contain a prominent note that appeal notices must be lodged by 5 p.m. on the third day after the appellant receives notice of the decision, though an out-of-time appeal may be lodged with leave of the VRT. The concept of a stay of penalty is also present: appellants can indicate whether they intend to apply for a stay and provide grounds. The forms also note that engagements booked after the hearing date are made on the understanding that suspensions or disqualifications may take effect immediately if the appeal is unsuccessful. These concepts collectively form a procedural framework for challenging decisions and recording disciplinary outcomes in Victorian racing.

The Regulations directly affect several distinct groups within the Victorian racing industry. First and foremost, they affect racing participants such as trainers, jockeys, drivers, owners, and stablehands. Any individual who receives a penalty from a controlling body must use Form 1 to appeal to the VRT. That includes licence holders facing fines, suspensions, disqualifications, or warnings off. The form requires the appellant to provide personal details, the rule under which the penalty was imposed, the particulars of the charge, the penalty imposed, and the grounds of appeal. The time limit is tight: three days from receipt of the decision. This places a significant procedural burden on participants who may not be legally trained and who may need to quickly gather grounds and lodge a notice. Second, the Regulations affect holders of approvals for off-course premises. These are individuals or entities that operate betting venues or other premises approved under sections 4C and 4D of the Act. When a controlling body refuses, cancels, suspends, varies, or refuses to vary such an approval, the affected party must use Form 2 to appeal. The form requires the licence number and the address of the premises, linking the appeal to a specific location. Third, parties to Trainer User Agreements are affected. These agreements may relate to the use of training facilities or other arrangements, and appeals against decisions concerning them must be on Form 3. Fourth, the racing controlling bodies themselves are affected because they are the respondents to these appeals. The forms require the appellant to identify which body made the decision (Greyhound Racing Victoria, Harness Racing Victoria, or Racing Victoria Limited). The controlling bodies must be prepared to defend their decisions before the VRT and must ensure that their internal processes produce decisions and penalties that can withstand appeal. Fifth, the Victorian Racing Tribunal and its Registrar are directly affected. The Registrar must receive appeals, keep a register in the prescribed form (electronic or documentary), and record the specified particulars. The Registrar also administers the leave process for out-of-time appeals. Sixth, persons who lay serious offence charges (such as stewards or investigators) are affected by regulation 8. They must provide the nine prescribed details to the Registrar when a charge is laid, including their own signature, name, and authority. This formalises the charging process and creates an evidentiary record. Lastly, legal and professional representatives of appellants are affected. The forms require the name, address, telephone, email, and fax of any representative. The Regulations thus create compliance obligations for many participants, and failure to use the correct form or to include required details may jeopardise the ability to pursue an appeal.

The Regulations create several duties and a corresponding set of rights for participants in the racing integrity and disciplinary system. The primary duty is to use the prescribed form when lodging an appeal. Section 5 of the Regulations states that for the purposes of section 50K(2)(a) of the Act, the prescribed form of appeal is Form 1. Section 6 similarly prescribes Form 2 for off-course premises appeals, and section 7 states that a Trainer User Agreement appeal must be in Form 3. There is no discretion to use a different format unless the VRT grants leave for an out-of-time appeal, and even then the appellant must attach evidence of the leave grant. The duty extends to providing all required fields on the form, including grounds of appeal, which must be stated. The form also requires the appellant to indicate whether they intend to apply for a stay of the penalty. A second duty falls on the person who charges someone with a serious offence. Under regulation 8, that person must give the Registrar a set of nine prescribed details. These include the name of the charged person, the racing code, the charge number, the rule and particulars of the charge, the date of charging, and the signature, name, and authority of the person laying the charge. This duty ensures that the Registrar has a complete record before the matter is heard by the VRT. A third duty rests with the VRT Registrar to keep a register in the prescribed form. Regulation 9(1) permits the register to be kept wholly or partly in electronic or documentary form. The Registrar must record, for each appeal, nine particulars including hearing number, dates, code, appellant name, rules, charge particulars, penalty imposed, grounds of appeal, and the determination. For serious offence hearings, seven particulars must be recorded. These duties create an audit trail and a public record of tribunal outcomes.

The key rights are the right to appeal to the VRT against certain decisions. The Regulations do not create the right to appeal; that right is found in the Act. However, the Regulations operationalise that right by providing the procedural vehicle. The right to apply for a stay of penalty is referenced in the forms, though the substantive test for a stay is not in the Regulations. The right to be represented is also acknowledged: the forms allow the appellant to nominate a representative. The right to lodge an appeal out of time with leave of the VRT is noted on each form, though the criteria for granting leave are not specified. This means that an appellant who misses the three-day deadline is not automatically barred; they can seek an extension. However, the burden falls on them to seek leave and provide evidence. The forms also ensure that an appellant can choose to represent themselves, a right of self-representation. The three-day deadline for lodging is strict; the form says notices must be lodged by 5 p.m. on the third day after the day the appellant receives notice of the decision. This short period imposes a duty to act quickly, but it also protects the appellant from indefinite uncertainty. In summary, the Regulations impose procedural duties but also preserve the right to challenge decisions through a structured process.

The Racing (Integrity and Disciplinary Structures) Regulations 2019 do not themselves create any penalties or enforcement mechanisms. They are purely procedural subordinate legislation. No penalty is stipulated in any regulation for failing to use the prescribed form, for lodging an appeal late without leave, for providing incomplete details on a serious offence charge, or for failing to maintain the register correctly. This is consistent with the limited scope of the Regulations: they are made under sections 50ZL and 83OG of the Act, which confer regulation-making powers to prescribe forms, details, and the register. Penalties for substantive offences would be found elsewhere in the Act, such as in Part 5 or Part 8 of the Act, or in the rules of the controlling bodies. For example, a person who fails to comply with a direction or who provides false information might face penalties under the Act, but not under these Regulations. However, the practical consequence of non-compliance with the Regulations is that an appeal may be invalid or may not be accepted by the Tribunal Registrar. If a participant uses the wrong form or omits required information, the Registrar may reject the appeal notice, or the VRT may strike it out. This is a significant enforcement lever, even if it is not a pecuniary penalty. The time limit for lodging appeals is particularly important: an appeal lodged after 5 p.m. on the third day without leave will be out of time, and the VRT may refuse to hear it. The leave process provides an avenue for late appeals, but the appellant must satisfy the Tribunal that leave should be granted, and the criteria are not set out in the Regulations. The charging person who fails to provide the prescribed details under regulation 8 may face procedural challenges: the Registrar may not accept the charge, or the Tribunal may stay proceedings until the details are provided. The register keeping duty is on the Registrar, as a statutory officer. Failure to keep the register or to record the prescribed particulars may be a breach of duty, but again, no penalty is specified. The Regulations are enforced indirectly through the VRT's procedural rulings and through the Act's general enforcement provisions. There is no inspection regime or separate enforcement body for these regulations. The sunset provision in the Subordinate Legislation Act 1994 serves as a built-in review mechanism: the Regulations expire after ten years unless re-made. Overall, the enforcement of these Regulations relies on the coercive power of the VRT to control its own processes and the willingness of parties to comply with formal requirements.

The Regulations sit within a statutory framework dominated by the Racing Act 1958 (Vic), which is the principal Act. They are made under sections 50ZL and 83OG of that Act, and are expressly subordinate to it. The definition clause in regulation 4 states that "the Act" means the Racing Act 1958. Therefore, any term defined in the Act, such as "serious offence", "approved off-course premises", or "Trainer User Agreement", takes its meaning from the Act. A reader must consult the Act to understand the substantive rights and obligations that trigger the appeal process. For example, the grounds for refusing an off-course premises approval are set out in section 4C and 4D of the Act, not in the Regulations. The Regulations also interact with the Subordinate Legislation Act 1994 (Vic). The endnotes to the Regulations note that they will sunset 10 years after the day of making, i.e., 30 July 2029, under section 5 of that Act. This sunset clause means that the Regulations will automatically repeal unless the Governor in Council makes new regulations before that date. The Subordinate Legislation Act also governs the process for making and reviewing statutory rules, including public consultation and tabling in Parliament. The Interpretation of Legislation Act 1984 (Vic) applies to the Regulations. The endnotes provide detailed guidance on how that Act affects the interpretation of the Regulations, including that headings, examples, diagrams, notes, punctuation, and provision numbers form part of the Regulations. This is important for legal practitioners who need to know whether a note on a form has legal force. The note on the forms warning that engagements booked after the hearing date are made on the understanding that penalties may take effect immediately is a legislative note and thus part of the Regulations, which may have legal implications for contractual arrangements with trainers or owners. The Regulations also interact with the rules of the three racing controlling bodies: Greyhound Racing Victoria, Harness Racing Victoria, and Racing Victoria Limited. The appeal forms require the appellant to specify the rule under which the penalty was imposed, which means the VRT will interpret and apply those rules in determining appeals. The Regulations do not override those rules; they merely provide the procedural channel for challenging them. There is no interaction with Commonwealth laws in the source, but racing integrity may touch on the Australian Criminal Intelligence Commission or the National Sports Tribunal; however, the Regulations are silent on any cross-jurisdictional interactions. Finally, the Regulations may interact with the Victorian Civil and Administrative Tribunal (VCAT) or the Supreme Court of Victoria in judicial review of VRT decisions, but the Regulations themselves do not address this. They are confined to the VRT's procedure.

As at the version date of 1 August 2019, there have been no amendments made to the Racing (Integrity and Disciplinary Structures) Regulations 2019. The Table of Amendments in the endnotes confirms that no statutory rules, subordinate instruments, or Acts have amended these Regulations. Similarly, the section on Amendments Not in Operation states that there are none at the date of publication. This means that the Regulations have remained in their original form since they were made on 30 July 2019. The version is Version No. 001, which indicates no consolidating amendments have been necessary. This is unsurprising given the narrow subject matter and the relatively short period since commencement (the source is current to August 2019). However, it also means that any subsequent changes to the Act, such as amendments to sections 50K, 50M, 50O, or 83OF, may have created inconsistencies between the Regulations and the Act. Users should check the current version of the Act to ensure that the prescribed forms and particulars remain aligned with the Act. The lack of amendment history also means there is no guidance from amending instruments to interpret the Regulations' provisions; the original explanatory memorandum and the Act's second reading speech may provide context. The sunset date of 30 July 2029 implies that the Regulations will need to be reviewed and remade well before that date. If the policy environment changes or procedural deficiencies are identified, amendments could be made earlier. As of the version, there are none. This is a straightforward, stable procedural instrument.

The source does not reference any litigation concerning these Regulations. The Regulations are procedural and have only been in force since 1 August 2019. No court or tribunal decisions are cited in the instrument itself. However, that does not mean the Regulations have been wholly without judicial consideration. Appeals under the Regulations are heard by the Victorian Racing Tribunal, and the Tribunal's decisions may interpret the Regulations and the forms. Those decisions may be published but are not part of the Regulations and are not captured in the source. The Regulations themselves may also be subject to judicial review in the Supreme Court of Victoria on grounds such as unreasonableness, procedural unfairness, or ultra vires. But the source provides no such cases. It is possible that litigants have challenged the time limit for lodging appeals or the sufficiency of the prescribed forms, but the source does not record that. The absence of litigation history in the instrument is itself notable: it suggests that the Regulations have not yet been tested in court, at least at the level of reported decisions included in the official version. Legal practitioners should not assume that the Regulations are unchallengeable; they should be prepared to argue about the interpretation of the forms and the scope of the prescribed particulars if a dispute arises. The three-day appeal deadline is a potential source of litigation, particularly if an appellant claims they did not receive notice or if the deadline calculation is disputed. The leave process for out-of-time appeals may also generate case law about what constitutes sufficient grounds for leave. However, none of that is in the source. The Regulations are too new at the version date to have accumulated a litigation history. Users should check subsequent versions and tribunal databases for any decisions that interpret these Regulations.

Several provisions in these Regulations may catch practitioners off guard. First, the three-day appeal deadline is deceptively short. The forms state: "Appeal notices must be lodged by 5 p.m. on the third day after the day the appellant receives notice of the decision." This means the day of receipt is day zero, and the clock starts the next day. A participant who receives a decision on Friday must lodge by 5 p.m. on Wednesday (assuming no public holidays). Missing that deadline requires leave of the VRT, and the criteria for leave are not specified in the Regulations. The burden is on the appellant to seek leave and provide evidence. Second, the prescribed forms are mandatory. There is no provision for substantial compliance or electronic submission except via the contact details listed on the form (fax, phone, email). The form does not specify that online lodgment is accepted, though the contact details may allow email. Practitioners should confirm the exact method of lodgment with the Registrar. Third, the serious offence charge details in regulation 8 must include the signature, name and authority of the person that charged the person. If a steward or investigator fails to provide these details, the Registrar may not accept the charge, and the hearing may be delayed. The requirement for the "authority" of the charging person may require them to state their position (e.g., "Steward for Greyhound Racing Victoria") rather than just their name. Fourth, the register may be kept electronically, but there is no requirement that it be publicly accessible. The Regulations do not specify whether the register is open for inspection. Participants may need to request copies from the Registrar. Fifth, the forms require the appellant to indicate whether they intend to apply for a stay. If the appellant ticks "I intend to apply for a stay" but then fails to actually file a stay application, the appeal may still proceed, but the form requires the grounds for stay to be stated. This could lead to confusion if the stay is sought later. Sixth, the Trainer User Agreement form (Form 3) requires the date of the agreement and the address of the premises to which the decision relates, but it does not ask for the term of the agreement or the specific decision being appealed. This may be an oversight. The ground for appeal is left as a blank line, which may not capture all legal issues. Seventh, the Regulations sunset on 30 July 2029. Participants should not assume these forms will be forever available. If the Regulations are not remade, the prescribed forms would cease to have effect, and appeals might need to proceed under some other mechanism or under the default provisions of the Act. Eighth, the definition of "the Act" in regulation 4 means that any references to sections in the forms (e.g., "section 50K") are references to the Racing Act 1958. However, the Act has been heavily amended over its life, and section numbers may have changed. Users should verify they have the current version of the Act. Ninth, the form requires the appellant to tick the relevant racing code, which is simple enough, but if the code is not ticked, the appeal may be ambiguous. Tenth, the note on the form about engagements after the hearing date warning that penalties may take effect immediately is a legislative note forming part of the Regulation, and thus it may have legal force. This could affect contractual engagements booked after the appeal hearing date, even though no stay has been granted. Practitioners should advise clients to avoid booking engagements after the hearing date until the appeal is resolved.

Compliance with these Regulations is essentially a matter of procedural accuracy. For a person wishing to appeal a penalty imposed by a controlling body, the steps are straightforward but time-sensitive. First, the appellant must obtain a copy of the decision that they intend to appeal. Second, they must complete Form 1 exactly as prescribed in Schedule 1. The form requires the appellant's name, address, address for service, telephone, fax, and email. They must tick the relevant racing code (Greyhound Racing Victoria, Harness Racing Victoria, or Racing Victoria Limited). They must insert the date of the decision, the race number (if applicable), the racetrack or meeting, their name, the rule under which the penalty was imposed, the particulars of the charge, and the penalty imposed (fine, suspension/disqualification, or warning off), including the duration and dates. Third, they must state the grounds of appeal with sufficient particularity. Fourth, they must indicate whether they intend to apply for a stay and, if so, set out the grounds. Fifth, if the appeal is out of time, they must attach evidence that leave has been granted by the VRT. Sixth, they must indicate whether they will represent themselves or be represented, and provide representation details if applicable. Seventh, the appellant must sign and date the form. Eighth, the appeal notice must be lodged by 5 p.m. on the third day after the day the appellant receives notice of the decision. The form provides a fax, phone, and email for the Registrar; the appellant should confirm with the Registrar which method is acceptable and ensure the form is received by the deadline. A copy should be retained.

For appeals concerning approved off-course premises, the appellant must use Form 2. That form requires the licence number, the address of the premises, and a tick box indicating the type of decision being appealed (refusal, cancellation, suspension, variation, or refusal to vary). The appellant must also tick the controlling body and insert the date of the decision. The grounds of appeal must be stated, and the same procedural requirements as Form 1 regarding deadlines, stays, representation, and signature apply.

For appeals about Trainer User Agreements, Form 3 must be used. The appellant must attach a copy of the agreement, state the date of the agreement, and the address of the premises. The rest of the form mirrors Form 2.

For a person who lays a serious offence charge, compliance means providing the Registrar with all nine prescribed details under regulation 8. This includes the charged person's name, the racing code, a charge number (if multiple), the rule details, the charge particulars, the date of charging, and the signature, name, and authority of the charging person. This information should be provided promptly after the charge is laid, presumably in writing or electronically.

For the Registrar, compliance means maintaining a register in either electronic or documentary form (or a combination) and recording for each appeal the nine specified particulars and for each serious offence hearing the seven specified particulars. The register should be kept up to date as hearings proceed and determinations are made.

In all cases, users should refer to the most current version of the Regulations and the Act, as amendments may occur after the version date. The sunset date of 30 July 2029 means that compliance with the forms will become impossible after that date if the Regulations are not remade; planning for the transition to new regulations should begin well in advance.