Propertymark / NAEA Qualification (Level 3 Estate Agency) Professional Ethics, Standards and Conduct Syllabus

What is a 'buddy' or 'check-in' system in the context of negotiator safety?

An arrangement where a colleague knows a negotiator's appointments and expected return, and the negotiator calls in at set times so an alarm can be raised if they fail to make contact.

When showing a property alone, where should a negotiator position themselves relative to the viewer in each room?

Between the viewer and the exit/door, letting the viewer enter rooms first and keeping a clear escape route to avoid being trapped.

What is the full and correct title and year of the principal UK statute governing workplace health and safety?

The Health and Safety at Work etc. Act 1974 (note: the correct year is 1974, not 1979).

Under the Health and Safety at Work etc. Act 1974, what is the general duty of an employer to employees?

To ensure, so far as is reasonably practicable, the health, safety and welfare at work of all employees (e.g. safe systems of work, training, information and supervision).

Under the Health and Safety at Work etc. Act 1974, what duty do employees themselves have?

To take reasonable care for their own health and safety and that of others affected by their acts, and to cooperate with their employer on health and safety matters.

What does the phrase 'so far as is reasonably practicable' mean in health and safety law?

That the risk must be weighed against the time, cost and effort needed to control it; measures are required unless their burden is grossly disproportionate to the risk reduction achieved.

Which regulations require employers to carry out risk assessments, and from when?

The Management of Health and Safety at Work Regulations 1999, which require a 'suitable and sufficient' risk assessment of work activities.

What are the five steps of a typical risk assessment?

1) Identify the hazards; 2) Decide who might be harmed and how; 3) Evaluate the risks and decide on precautions; 4) Record findings and implement them; 5) Review and update the assessment.

Distinguish a 'hazard' from a 'risk' in a viewing risk assessment.

A hazard is anything with the potential to cause harm (e.g. a steep staircase, an unknown viewer). A risk is the likelihood that the hazard will cause harm combined with the severity of that harm.

Name three hazards a negotiator should assess before inspecting a vacant or derelict property.

Examples: structural instability/trip hazards, lack of lighting or electricity, gas/asbestos/damp risks, intruders or squatters, and lone-working/personal safety risks.

What is good practice for the safe handling and storage of property keys in an estate agency?

Keys should be coded (not labelled with the address), stored in a secure locked key cabinet, signed in and out via a key register/audit log, and never left in vehicles or given to unverified parties.

Why should keys be labelled with a code rather than the property address?

So that if keys are lost or stolen, they cannot be linked to a specific property, reducing the risk of unauthorised access, theft or break-in.

What is a 'key register' and what should it record?

A log/audit trail recording each key's code, who took it out, the date and time issued, the date and time returned, and the reason, ensuring keys are accounted for at all times.

What should an agent do regarding access when arranging a viewing at an occupied property?

Obtain the occupier's prior consent/notice, agree access arrangements, respect the occupier's right to quiet enjoyment, and never enter without authority or permit unaccompanied access by unverified parties.

What is the purpose of an in-house complaints procedure for an estate agency?

To provide consumers a clear, fair and timely route to raise and resolve complaints internally before escalation, and to comply with redress scheme requirements.

Membership of which type of scheme is legally required for estate agents, providing independent complaint resolution?

An approved redress scheme (e.g. The Property Ombudsman (TPO) or the Property Redress Scheme), required under the Consumers, Estate Agents and Redress Act 2007.

Under The Property Ombudsman scheme, what is the typical maximum timeframe for a firm to issue a final 'deadlock' letter on a complaint?

The firm must provide a written final viewpoint (deadlock letter) within 8 weeks of the complaint, after which the consumer may refer the matter to the Ombudsman.

After receiving a firm's final response, how long does a consumer generally have to refer a complaint to The Property Ombudsman?

Within 12 months of the date of the firm's final 'deadlock' letter.

What should a written in-house complaints procedure typically include?

Who to contact, the stages of escalation, acknowledgement and response timescales, the right to escalate to an independent redress scheme, and how the complaint and outcome are recorded.

Define 'Continuing Professional Development' (CPD).

The ongoing, structured maintenance and enhancement of professional knowledge, skills and competence throughout a member's career to keep their practice current and competent.

What is the minimum CPD requirement for Propertymark members per year?

Propertymark requires members to complete a minimum of 12 hours of CPD each calendar year, with records retained as evidence.

Why is CPD important from an ethical/consumer-protection standpoint?

It ensures agents maintain technical and legal currency so they give accurate, compliant advice, reducing the risk of consumer detriment and breaches of law or conduct rules.

What is an 'audit trail' in the context of estate agency record keeping?

A complete, chronological and verifiable record of actions, communications and documents relating to a transaction, allowing decisions and events to be traced and reconstructed.

Under the Money Laundering Regulations, how long must estate agents generally retain customer due diligence and transaction records?

For at least 5 years after the end of the business relationship or completion of the transaction.

Name three types of records an estate agency should keep for compliance and audit purposes.

Examples: customer due diligence/ID verification records, agency agreements and terms of business, viewing and offer records, complaints logs, key registers, and correspondence/file notes.

What does 'maintaining technical and legal currency' require of an estate agent?

Keeping up to date with changes in property law, regulations, codes of practice and market practice (e.g. via CPD, professional bodies and legal updates) so advice and conduct remain compliant.

What is the difference between 'harassment' and 'discrimination' under the Equality Act 2010?

Discrimination is less favourable treatment because of a protected characteristic; harassment is unwanted conduct related to a protected characteristic that violates dignity or creates an intimidating, hostile, degrading or offensive environment.

What is a 'conflict of interest' for an estate agent and how should it be managed?

A situation where the agent's personal interest, or duty to another party, conflicts with their duty to the client; it must be disclosed promptly in writing and, where appropriate, the agent should decline to act.

What should a negotiator do if they feel threatened or unsafe during a viewing?

Leave the property immediately if possible, avoid confrontation, use a personal alarm or pre-agreed 'duress' code word to alert the office, and contact the police if at risk; safety takes priority over completing the viewing.

How should an agent record an offer to maintain a proper audit trail and comply with the duty to act honestly?

Record all offers in writing promptly, communicate every offer to the seller as soon as practicable (as required by the Estate Agents Act 1979), and keep a dated log of the offer, amount and any conditions.