PDSM Example Assessment Instrument CPPDSM4080A Work in The Real Estate Industry 2

Construct
Property
Services
Industry
Council
ion and
Skills
ASSESSMENT INSTRUMENT
Resource for assessors covering the following unit of
competency from CPP07 Property Services Training
Package:
CPPDSM4080A Work in the real estate industry

© Commonwealth of Australia 2009
Developed by:
This resource was developed by the Construction and Property Services Industry Skills
Council.
Acknowledgement:
Thanks to BMA Consulting for their consultation and development work.
Version control:
Version 1  updated October 2009

Assessment instrument  CPPDSM4080A Work in the real estate industry
Contents
Introduction 1
Assessment cover sheet 2
Competency mapping 3
Assessment plan 5
Evidence review 7
Observation of work project: Research estate agency operations 8

Part A: Research and interpret legislative, licensing and ethical compliance
requirements 7
Part B: Research industry employment requirements 8
Part C: Present findings 9
Record of assessment of work project 11
Questions and key points 13

Develop knowledge of estate agency operations (Q1-Q6) 13
Interpret and comply with legislative and agency requirements (Q7-Q17)
14
Model ethical practice (Q18-Q22) 16
Identify industry employment requirements (Q23-Q28) 17
Third party evidence report 19
Record of assessment outcome 21
 Commonwealth of Australia 2009 i Prepared by

Introduction
This assessment instrument covers the required performance outcomes described by the
following unit of competency from the CPP07 Property Services Training Package:
CPPDSM4080A Work in the real estate industry.
The instrument provides assessors in the property development, sales and management
sector with tools and templates to conduct a formal assessment process and to develop
assessment records that meet Australian Quality Training Framework (AQTF) requirements
for valid, reliable, fair and flexible evidence.
Completion of the requirements detailed within the instrument will provide the learner
with a Statement of Attainment for the unit, which is a core requirement of the key real
estate qualification, CPP40307 Certificate IV in Property Services (Real Estate).
The diagram below summarises the content of this assessment instrument including the
information and templates contained and the purpose of each. These templates have
been designed to ensure quality and consistency in assessment outcomes for this unit of
competency. You should add your own questions and/or assessment activities to suit the
local needs of the learner and their workplace.
 Commonwealth of Australia 2009 1 Prepared by

Assessment cover sheet
Learner
Name:
Phone:
Contact:
Email:
Organisation:
Assessor
Name
Phone:
Contact:
Email:
Organisation /
RTO:
Assessment Location:
location and
date: Date:
Units of competency covered by this assessment instrument
2  Commonwealth of Australia 2009 Prepared by

Competency mapping
Delivery Assessment
guide instrument
Units of competency Delivery &
Work
assessment Questions &
project
strategy key points
(parts)
(competency area)
1. Develop knowledge of estate agency operations
1.1 Key features of the agency principal relationship are

identified and interpreted according to legislative 1, 2 1, 5, 9, 22 A
requirements and agency practice
1.2 Roles and responsibilities of key personnel involved in
estate agencies are identified in line with legislative 1, 2, 3 2, 9, 22 A
1.3 Information on key operations of estate agencies is
identified in the context of legislative and agency 1 5, 6, 9 A
requirements
1.4 Forms of business ownership, organisational structure
and services offered by estate agencies, including 2 3, 4, 9, 22 A
liabilities and responsibilities, are identified.
2. Interpret and comply with legislative and agency requirements
2.1 Approaches for sourcing and accessing legislation

2 7 A, B
relevant to agency operations are applied
2.2 Legislation and ethical and conduct standards relevant
to estate agency operations, including legislative 8, 9, 11, 17,
2, 3 A, B
limitations on agency practice, are identified to ensure 22
compliance with legislative and agency requirements
2.3 Licensing and eligibility requirements for licensed real
estate agents, real estate representatives and other
9, 11, 16,
employees, including offences and penalties, are 2
17, 22 A, B
identified to ensure compliance with legislative and
agency requirements
2.4 Key provisions of consumer protection and privacy 8, 9, 10, 11,
1, 2 A
legislation are identified in relation to agency practice 17, 22
2.5 Purpose of trust funds and the key legislative controls

on trust funds relevant to authorised employees are 8, 9, 11, 12,
1, 2 A
identified to ensure compliance with legislative and 13, 17, 22
agency requirements
2.6 Roles and responsibilities of government agencies and
12, 13, 14,
industry bodies are identified in relation to agency 1
15, 22 A
practice
2.7 Personal understanding of legislative requirements is A, B,
2, 3 21, 25
assessed and verified with relevant people C
2.8 Situations in which specialist advice is required are
A, B,
identified and sources of appropriate advice are 2, 3 21, 22, 25
determined in line with agency practice C

Competency mapping
Delivery Assessment
guide instrument
Units of competency Delivery &
Work
assessment Questions &
project
strategy key points
(parts)
(competency area)
3. Model ethical practice
3.1 Ethical and conduct standards, including penalties for

breaches, are identified and interpreted to ensure 9, 11, 17,
2, 3 A, B
compliance with legislative requirements and industry 18, 19, 22
and agency practice
3.2 Agent’s liability for breach of contract and negligence is
9, 11, 17,
identified in the context of legislative and agency 1, 2, 3
18, 20, 22 A
requirements
3.3 Personal understanding of ethics and conduct standards
required for good agency practice is verified with 18, 19, 21, A, B,
2, 3
relevant people to ensure compliance with legislative 25 C
requirements and industry and agency practice
3.4 Situations in which specialist advice is required are
identified and sources of appropriate advice are A, B,
2, 3 21, 22, 25
determined in line with legislative and agency C
requirements
4. Identify industry employment requirements
4.1 Industry employment requirements are identified and

interpreted to ensure compliance with legislative 2, 3 22, 23, 24 A, B
4.2 Employee and employer rights and responsibilities
regarding conditions of employment are identified and
2, 3 22, 23, 24 A, B
interpreted to ensure compliance with legislative
4.3 Effective communication strategies are employed to
establish rapport with clients, determine client needs,
3 25 B, C
and provide accurate advice and follow-up services in
line with agency practice
4.4 Personal presentation and professional image are
assessed for compliance with industry and agency 3 25 B, C
norms
4.5 Personal knowledge and skills in providing real estate
services are assessed against industry competency
3 25, 26, 27 B
standards and other relevant benchmarks to determine
continuing training needs and priorities
4.6 Opportunities for continuing training to maintain
currency of competence and develop specialist and
3 25, 26, 27 B
advanced skills and knowledge are identified, planned
and applied in line with agency practice

Assessment plan
Competency for assessment
Purpose and aims of the assessment
To provide learners with the opportunities to demonstrate skills and knowledge required
to:
 know and apply the ethical and conduct standards relevant to licensed real estate
agents, real estate representatives and support staff
 know and apply the key operations of estate agencies and the roles and
responsibilities of agency personnel
 know the legislative and regulatory framework relevant to real estate agency,
including the roles and functions of government regulatory agencies and industry
bodies
 know and apply the key principles of consumer protection and privacy legislation
 know the agency/principal relationship
 know and apply employment requirements for estate agents, including the rights
and responsibilities of employers and employees
 know and apply licensing and eligibility requirements for estate agents and other
employees, and penalties associated with related offences
Relevant benchmarks
Generic requirements:
 assessment must address the scope of the unit of competency and reflect all
components
 a range of assessment methods/evidence gathering techniques must be used to
determine competency
 evidence must be gathered with learners working in a real estate context
 where applicable, assessment should replicate workplace conditions as far as
possible.
Assessment methods and tools
Evidence gathering activities will include, but are not limited to:
 training room group activities (activities listed in the delivery guide, presentations,
role-play, simulations, and oral and written questioning)
 workplace application of skills and knowledge using a variety of evidence gathering
methods, including observation, third-party verification, questioning, workplace
documents etc
 personal activities – question and answer knowledge test (verbal and/or written).

Assessment plan (continued)
Materials and resources
Materials and resources include:

 learning and assessment materials and tools including the related Delivery Guide
 access to relevant workplace and relevant organisational policies/documentation
 resources (eg pens, notebook, diary etc) and equipment (eg communication,
business etc).
Organisational arrangements for conducting assessment
Initial advice to learners

Provision of initial advice to learners on pathways including recognition, assessment only,
and learning and assessment. Ensure learners are aware that assessment is a
negotiated process with a range of assessment methods available to demonstrate
competence.
Access to a workplace environment or simulated environment

Where applicable, assessment should replicate workplace conditions as a far as possible.
Competence should be demonstrated working individually or as part of a team in a real
estate context.
Learner name
Learner signature
Assessor name
Assessor signature
Date

Evidence review:
Evidence sources
(agreed in consultation with learner – insert  and/or comments)
Other evidence
Elements of
Observation of
Work related
documents
Third party
Questions
work task
competency
reports
1. Develop
knowledge of
estate agency
operations
2. Interpret and
comply with
legislative and
agency
requirements
3. Model ethical
practice
4. Identify
industry
employment
requirements
Learner name
Learner
signature
Assessor name
Assessor
signature
Date

Observation of work project:

Research estate agency operations
Implementation of the work project must be verified by the assessor through

observed demonstration. Indicate with  or  if the tasks listed below are observed.
PART A: Research and interpret legislative, licensing and ethical compliance

requirements
Tasks / Comment
1. Conduct research to confirm legislative and

licensing requirements for real estate work:
 identify and interpret applicable legislative
requirements for agency work (including consumer
protection, privacy, trade practices, fair trading, anti-
discrimination and equal employment opportunity,
employment and industrial relations, financial
services, OHS etc)
 identify and interpret licensing and eligibility
requirements for both employment, and to be a
licensed real estate agent
 identify and interpret ethical and conduct standards
relevant to estate agency operations (relating to
conflict of interest, duty of care, confidentiality, non-
discriminatory practices and privacy)
 identify and interpret the purpose of trust funds and
the key legislative controls for authorised personnel
 identify and interpret legislative limitations, offences
and penalties for breaches related to licensing,
contracts and negligence to ensure compliance is
met
 use a computer to summarise requirements,
limitations and compliance issues
 verify requirements with key personnel using
communication skills and interpersonal techniques

2. Conduct research to confirm main areas of

estate agency operations:
 identify and interpret key features of the
agency/principal relationship and contractual
requirements
 identify and interpret key operations of estate
agencies relating to property management and
property sales
 identify and interpret forms of business ownership
including corporation, partnership and sole trader
 identify and interpret forms of organisational
structure of business including franchise group,
independent agency, and marketing cooperative
 identify and interpret the range of services offered
by estate agencies including business broking,
buyers advocacy or agent, marketing, sale and
leasing of a range of property types, property
management, residential, commercial and industrial
real estate
 use a computer to summarise requirements
including liabilities and responsibilities


3. Conduct research to confirm roles and
responsibilities of key agencies and personnel:
 identify and interpret the main roles and
responsibilities of agency personnel including
licensed agents, real estate representatives and
support staff
 identify and interpret the roles and responsibilities of
government agencies (commonwealth and
state/territory) and industry bodies
 use a computer to summarise roles and
responsibilities in relation to agency practice
PART B: Research industry employment requirements

4. Conduct research to confirm employment
requirements:
 identify and interpret the responsibilities of
employers regarding conditions of employment
 identify and interpret the responsibilities of
employees regarding conditions of employment
 identify and interpret relevant parts of federal and
state employment agreements
 identify and interpret own conditions of employment
including requirements for personal presentation and
professionalism
5. Survey clients to gather information on their
real estate needs:
 prepare a mini survey for distribution to selected
clients
 include questions to ascertain client needs relating
to real estate advice and services
 collect and analyse results
 identify areas where client service could be improved
6. Conduct skills assessment to determine

requirements for own professional development:
 obtain copies of relevant competency standards or
other industry benchmarks, eg position description
for own role within the agency
 conduct an assessment of own skills and knowledge
against the standards/benchmarks
 identify any skills gaps, or areas for future skills
development
 plan professional development/training activities to
ensure competency is maintained or developed to
meet ongoing requirements of job/agency


PART C: Present findings
7. Document research outcomes:

 use a computer to summarise information gathered
and analysed during Parts A and B of this project
 discuss findings with relevant personnel to verify
contents and gather any additional information
 ensure information is prepared in a clear and concise
manner, and in a format suitable for hard copy
dissemination and electronic presentation
8. Present findings to relevant personnel:

 use effective communication strategies and
interpersonal techniques (such as active listening,
questioning, plain English etc) to present research
findings to relevant personnel (eg agency
colleagues/supervisors etc)
 use feedback to verify interpretations and identify
any errors or misunderstandings
 make any necessary changes to research findings
based on feedback received
Learner name
Assessor name
Assessor
signature
Date

Record of assessment of work project

Use the checklist below as a basis for judging whether the learner’s project
and supporting evidence meets the required competency
Work Project: Research estate agency operations
Questions /
 Were effective research skills used to gather a broad range of information relevant
to agency operations?
 Were applicable legislative requirements for agency work accurately identified and
interpreted?
 Were licensing and eligibility requirements for employment and to be a licensed real
estate agent, accurately identified and interpreted?
 Were ethical and conduct standards relevant to estate agency operations accurately
identified and interpreted?
 Was the purpose of trust funds and related legislative controls accurately identified
and interpreted?
 Were legislative limitations, offences and penalties for breaches related to licensing,
contracts and negligence, effectively identified and interpreted?
 Were key features of the agency/principal relationship and contractual requirements
effectively identified and interpreted?
 Were key operations of estate agencies relating to property management and
property sales effectively identified and interpreted?
 Were forms of business ownership including corporation, partnership and sole trader
 Were forms of organisational structure of business including franchise group,
independent agency, and marketing cooperative effectively identified and
interpreted?
 Was the range of services offered by estate agencies effectively identified and
interpreted?
 Were the main roles and responsibilities of agency personnel (including licensed
agents, real estate representatives and support staff) effectively identified and
interpreted?
 Were the roles and responsibilities of government agencies and industry bodies
 Were the employment responsibilities of employers regarding conditions of
employment correctly identified and interpreted?
 Were the employment responsibilities of employees regarding conditions of
employment correctly identified and interpreted?
 Were relevant parts of federal and state employment agreements correctly
identified and interpreted?
 Were own conditions of employment (including requirements for personal
presentation and professionalism) correctly identified and interpreted?
 Was a mini survey designed and distributed to clients, suitable to gather useful
information on client needs?
 Were survey results collected and analysed and areas for improving client service
identified?
 Was an assessment of own competency levels effectively conducted against
relevant competency standards or other industry benchmarks?
 Were relevant professional development/training activities planned to meet
identified skills gaps?

Record of assessment of work project (continued)

Questions /
 Was all researched information summarised using a computer in a format suitable

for verification by others?
 Was all information gathered verbally verified with key personnel using effective
communication skills and interpersonal techniques?
 Was a computer presentation conducted of research findings and feedback gathered
to verify interpretations?
Include your own questions here:
Supporting workplace documents/records (provided by the learner) /
Did the work project meet the required standard as expressed in the unit of
competency?
(please comment)
Feedback provided to the learner (please detail)
Learner name
Learner signature
Assessor name
Assessor signature
Date

Questions and key points

The learner’s response should evidence the key points for each question.
Indicate with  or  if key points are/are not addressed.
Develop knowledge of estate agency operations
Q1. How does the agency/principal relationship work?
/ Comment
Principal: person who instructs the estate agent and who

the estate agent represents
Key points
Agent: authorised to represent the principal

Contract of agency in real estate is the legal relationship
formed when the principal appoints the agent to arrange a
transaction on behalf of the principal (evidenced by written
authority).
Q2. List and describe the roles and responsibilities of the estate agent,
agent’s representative, branch manager, and support staff.
/ Comment
Estate agent: anyone who engages in the business of

undertaking:
 selling, buying, exchanging, letting or taking on lease
of or otherwise dealing with or disposing of any real
estate or business on behalf of another person
 negotiating real estate transactions on behalf of
another person
 collecting rents for any real estate or business on
behalf of another person
The estate agent is the officer in effective control and must
Key points
administer the day-to-day operations of the agency.

Agent’s representative: any person who performs for
that estate agent any of the functions of the estate agent
(ie buying, selling, leasing, negotiating, collecting rent for
property and business transactions)
Branch manager: licensed estate agent is the only person
who is permitted to manage the day-to-day operations of
an estate agency office (including a principal office and
branch office). Exemptions may relate to agent’s
representatives in certain circumstances.
Support staff: include real estate personnel, receptionist
etc who are supervised by, and report to the estate agent.
While they provide back-up office support, they cannot
legally perform real estate or office management functions.

Questions and key points (continued)
Develop knowledge of estate agency operations (continued)
Q3. List and describe the three forms of business ownership that estate
agencies can take.
/ Comment
Corporation: a corporation or company is a legal entity
that is separate from the members who form the company.
Corporations law includes the principal of limited liability to
enable shareholders to risk no more than their actual
investment.
Key points
Partnership: between 2 and 20 people join together to

own and operate a business. It is not a separate legal
entity – all partners are jointly liable to a third party for
debts and obligations incurred. Depending on the
jurisdiction, all partners may be required to be licensed
estate agents.
Sole trader: agency is owned and operated by a sole
estate agent who has unlimited liability for debts of the
agency. If it fails, the agent’s private assets may be
liquidated to pay debts of the business.
Q4. Describe the three organisational models that exist in the real estate
industry.
/ Comment
Franchise group: a number of estate agencies (called
franchisees) arrange with a franchisor to conduct business
under the franchisor’s name
Key points
Independent agency: has no formal arrangements with

any other agencies – they can enter into arrangements with
other agencies for particular properties, but their overall
operations are not linked with any other
agency/organisation
Marketing cooperative: non-profit organisation formed
by independent estate agencies to benefit from advertising,
marketing and purchasing as a group.
Q5. Describe the main roles of property owners and estate agents.
/ Comment
Property owners: can be individuals, groups or

companies. Are usually vendors (sale) or landlords (rental).
Key points
Owners reserve the right to sell or rent a property at will for

a negotiated price.
Agents: sells or rents property on behalf of another person
(ie has no interest in the ownership of the property). Must
hold an estate agent’s licence or be employed as an
agent’s representative.
Q6. What are the key services offered by estate agencies, and the liabilities
and responsibilities related to such services?
/ Comment
Business broking (selling businesses on behalf of vendors)
Buyers advocacy or agent (identifying and purchasing
properties on behalf of the buyer)
Key points
Marketing, sale and leasing of a range of property types

Property management across a range of property types
(collecting rent, arranging inspections, repairs and
maintenance, paying rates/insurances, communicating with
owner/tenant etc)
Residential, commercial and industrial real estate

Interpret and comply with legislative and agency requirements
Q7. How can information on legislative, licensing and regulatory

requirements and other aspects of agency operations be accessed?
/ Comment
Accessing web pages of industry bodies Discussion with key

Key points
people (employer, colleagues, industry representatives,

licensing bodies etc)
Obtaining hard copies from employer, industry
representatives, state/territory licensing bodies
Online research
Q8. What are the main areas of federal, state or territory legislation and
regulations covering real estate agency operations?
/ Comment
Anti-discrimination Crimes
Equal employment Real estate agents
Key points
opportunity Trade practices

Consumer protection Employment and industrial
Fair trading relations
Residential tenancies Financial services
Retail leases OHS and duty of care
Sale of land Privacy
Q9. What areas of agency practice and real estate services require
compliance with legislation?
/ Comment
Confidential and privacy
Duty of care
Ethical and conduct standards (eg non-discriminatory
practices, conflict of interest)
Forms of business ownership (eg corporation, partnership
Key points
or sole trader)
Organisational structure (eg franchise, independent
agency, marketing cooperative)
Property management operations
Property sales operations
Revenue arrangements (fees, salary, commissions etc and
how they are paid)
Roles and responsibilities of licensed estate agent, real
estate representatives and support staff
Q10. What are the key principles of consumer protection and fair trading?
/ Comment
Real estate operations are protected by consumer

protection principles (under the Trade Practices and Fair
Key points
Trading Acts). These are concerned with anti-competitive

practices and consumer protection.
Agent is bound by law and ethics to be fair to all parties to
a transaction including vendors, buyers and tenants. Never
offer an unconsidered opinion or knowingly mislead or
deceive a customer.

Interpret and comply with legislative and agency requirements (continued)
Q11. What are the main legislative limitations on agency practice?
/ Comment
Legislation is introduced to regulate the day-to-day
operations of the real estate industry. The laws ensure that
the public is protected against unfair practices and
dishonest dealings. Legislative limitations may relate to:
 commission sharing
 conflict of interest
 licence lending
 trust funds/money
 who may operate an estate agency
 status and activities of an agency’s employees
Key points
 way in which the business must be conducted

 functions and licensing of real estate personnel
 what a vendor must disclose to a purchaser
 holding of and release of deposits and money
 cooling off arrangements
 rights and duties of landlords and tenants
 providing for quick resolution of disputes
 administration of bonds
 ensuring privacy (vendors, landlords and tenants)
 ensuring consumer protection
 protecting against crime (eg an agent cannot receive
or solicit from a third person as an inducement or
reward to not act in the best interest of the principal)
Q12. What is the main purpose of a trust fund?
/ Comment
Trust funds refer to:
 all monies received or held by an estate agent or any
Key points
m ember of an estate agent’s staff on behalf of any

other person in the course of an estate agent’s
business
 deposits on sales, security deposits and residential
bonds paid in cash and bonds in respect of commercial
premises, rents and prepaid advertising
Q13. What are the main legislative controls on trust funds?
/ Comment
Principal estate agent (or officer in effective control) is
responsible for trust money
Agent’s representatives in receipt of trust money must pay
it immediately to the agent who, in turn, must pay it into
the trust account (eg within one business day)
Key points
Agents are required to notify the approved financial

institution in writing that it is a trust account
Agents are not permitted to withdraw funds from the
account unless the withdrawal or payment is made in the
form of a trust account cheque or EFT
Funds cannot be used for any other purpose
Funds can only be released to pay the person who is legally
entitled to the money


Q14. Outline the main responsibilities of key commonwealth and
state/territory government agencies that have a role relating to agency
practices.
/ Comment
Australian Competition and Consumer Commission:
monitors trade and commerce at the national level. It
enforces law to promote competition and fair trading in the
marketplace to benefit consumers, business and the
community
Australian Securities and Investment Commission:
administers the regulatory system of consumer protection
Equal Employment Opportunity Commission: helps to
resolve complaints of discrimination, sexual harassment,
Key points
and racial and religious vilification etc

Federal Privacy Commissioner: monitors and regulates
privacy of personal information held by agencies eg tax file
numbers, credit ratings etc
Australian Property Institute: represents the interests
of property experts – role to set and maintain standards of
professional practice, education, ethics and discipline for
members
Australian and state/territory Real Estate Institutes:
peak industry associations representing agents nationally
and across individual jurisdictions. Role to lead industry,
promote professional services and ensure integrity,
credibility and ethical standards. Also provide education
and training.
Q15. What are the main requirements of privacy legislation?
/ Comment
When collecting personal information, tell people what it
will be used for
Only collect personal information necessary for real estate
functions/activities
Use personal information only for the reason for which it
Key points
was collected (or in ways people would think reasonable

unless their consent is given)
pass on personal information only for the reason for which
it was collected (or in ways people would think reasonable
unless their consent is given)
Provide people with access to any information held that
concerns them
Keep personal information securely maintained to ensure
privacy.
Q16. What are the key licensing and eligibility requirements for estate
agents, real estate representatives and other employees?
/ Comment
Strict licensing and eligibility requirements apply to estate

agents to ensure competency and suitability of agents and
their representatives
Eligibility criteria depend on the jurisdiction, but relate for
Key points
example to:
 age (must be at least 18)
 completion of appropriate qualification(s)/course(s)
 registered/principal office(s) (defined under
state/territory legislation)
 good character (ie not bankrupt, insolvent,
disqualifying criminal record etc)
 previous disqualification


Q17. What are the main offences and penalties under the regulatory and
legislative framework for real estate agencies, eg for breach of contract,
negligence etc?
/ Comment
Fine imposed
Warning given
Key points
Accepting a written undertaking that the offence/conduct

will not occur again
Criminal/police action (eg for theft)
Cancellation or suspension of licence
Legal action/claims for loss/damage from members of the
public (eg negligence, compensation, reimbursement etc)
Model ethical practice
Q18. What do ethical and conduct standards relate to?
/ Comment
Compliance with legislation and licensing requirements

Conflict of interest
Duty of care
Key points
Honesty, trustworthiness, fairness, respect, integrity

Individual behaviour
Maintaining confidentiality/privacy
Non-discriminatory practices
Privacy
Professionalism
Q19. What might breaches of ethical and conduct standards relate to, and
what penalties apply?
/ Comment
Acting in a manner that is unfair to all parties to a
transaction
Key points
Offering an unconsidered opinion

Knowingly misleading or deceiving a customer
Penalties include: reprimand, licence cancellation, licence
suspension, imposing conditions/limitations, requirement to
perform (or not perform) certain tasks, fine imposed etc
Q20. What might breaches of contract and negligence relate to?
/ Comment
A breach of contract is a breach of a legal duty, ie failure on

Key points
the part of the agent (or their representative) to do

something that is required in a contract.
Agents are negligent if they breach duty of care by
committing a wrongful act or omission. Also, for making
verbal or written negligent misstatements when providing
information and giving advice.

Model ethical practice (continued)
Q21. From whom might specialist advice be sourced in relation to real estate
operations?
/ Comment
Architects
Bankers and financiers
Builders/subcontractors
Key points
Government officials
Industry practitioners and industry bodies
Investment consultants
Mentors, coaches, supervisors and colleagues
OHS representatives
Planners and valuers
Solicitors
Q22. Describe some of the main risks relating to real estate operations.
/ Comment
Breach of contractual requirements
Breach of duty of care
Breach of legislative and regulatory requirements relating
to forms of business ownership and organisational structure
for the agency
Key points
Breaching ethical and conduct standards

Failing to comply with industry and agency requirements
for professional image and personal presentation
Failing to maintain up-to-date knowledge of industry trends
and competence in providing real estate services
Negligence
Non-compliance with licensing, legislative and regulatory
requirements
Poor client service
Identify industry employment requirements
Q23. What are the employer’s responsibilities relating to industry/agency

practice and conditions of employment?
/ Comment
Pay employees a minimum weekly salary and deduct an

appropriate amount of income tax
Take all reasonable precautions to ensure employees are
Key points
not subject to unnecessary health and safety risks in the

course of their work
Provide employees with workers compensation insurance
Compensate employees for expenses occurred through
their work activities
Provide employees with the required notice of intention to
terminate employment

Identify industry employment requirements (continued)
Q24. What are the employee’s responsibilities relating to industry/agency

practice and conditions of employment?
/ Comment
To know and comply with the conditions of their
employment
To take reasonable care to protect themselves and others
Key points
that may be affected by their actions, from risks to health

and safety while at work
To obey lawful orders
To comply with requirements for privacy/confidentiality of
personal information held by the agency
To comply with codes and standards for ethical conduct and
professionalism
Q25. What are the two main types of employment agreements, and the
minimum provisions they must contain?
/ Comment
Individual Employment Agreement and Employee

Collective Agreement
Minimum provisions which may be negotiated as part of an
employment agreement include:
 guaranteed basic rate of pay and casual loadings
 provisions for superannuation
Key points
 maximum ordinary hours of work limited to 38 hours

per week (which can be averaged over a period of 12
months) and reasonable additional hours
 four weeks paid annual leave per year (except for
casual workers) – up to two weeks can be cashed out
at the employees’ written direction where workplace
agreement allows
 ten days paid personal/carer’s leave per year
 two days paid compassionate leave
 up to 52 weeks of unpaid parental leave.
Q26. What are examples of effective communication strategies?
/ Comment
Active listening
Being non-judgemental
Control of tone of voice
Exploring problems
Expressing an individual perspective
Key points
Providing sufficient time for questions and responses

Providing summarising and reflective responses in conflict
situations
Using appropriate words, behaviours and posture
Using clarifying and summarising questions
Using clear and concise language
Using culturally appropriate communication
Using plain English
Using appropriate verbal and non-verbal communication

Identify industry employment requirements (continued)
Q.27 What are some of the ways that ongoing training needs and priorities
can be determined?
/ Comment
Assessment of current skills and knowledge in providing

Key points
real estate services against industry competency standards

and other relevant benchmarks
Gathering feedback on performance from supervisor,
colleagues, clients
Performance appraisal
Q28. What are some of the opportunities available for continuing training to
maintain currency of competency and to develop specialist skills and
knowledge?
/ Comment
Attendance at industry conferences and seminars

On-the-job mentoring/coaching
Key points
Participating in formal training programs and short courses

Participating in industry networks/discussion forums
relating to good practice and latest trends in real estate
Personal study
Undertaking a performance appraisal
Learner name
Learner signature
Assessor name
Assessor signature
Date

Third party evidence report
Unit of
competency
Learner’s
name
This learner is being assessed against the unit of competency listed above. You have been
nominated as a person who can comment on the learner’s ability to perform the tasks and
functions covered by the unit in a real estate environment. Please do not complete this report if
you are either a close friend or relative or may have a conflict of interest. Please provide brief
contact details:
Name: ___________________________________________________________________
Relationship to learner: ____________________________________________________
Telephone: _______________________________________________________________
Can you confirm the following: /
 Is the learner able to explain the key features of the agency/principal relationship?
 Does the learner know the main roles and responsibilities of key estate agency
personnel (eg the licensed real estate agent, real estate representatives and support
staff)?
 Does the learner know the main forms of business ownership for a real estate
agency, and the liabilities and responsibilities related to these? (eg corporation,
partnership and sole trader)
 Does the learner know the main forms of organisational structure for a real estate
agency, and the liabilities and responsibilities related to these? (eg franchise group,
independent agency, or marketing cooperative)
 Does the learner know and understand the main features of good agency practice?
 Does the learner know and understand the key services offered by estate agencies
and the liabilities and responsibilities related to these? (eg business broking, buyers
advocacy, marketing, sale and leasing of property, and
residential/commercial/industrial real estate)
 Is the learner able to effectively access and interpret information on legislative,
licensing and regulatory requirements (or other aspects of agency operations)?
 Does the learner know and understand the main areas of federal, state/territory
legislation and regulations covering real estate agency operations (particularly in
the areas of fair trading and trade practices)?
 Does the learner know and understand the areas of agency practice and real estate
services that require legislative compliance (eg duty of care, conflict of interest etc)?
 Is the learner able to use effective communication skills to assess and verify their
personal understanding of legislative requirements with relevant people?
 Does the learner know and understand the key principles of consumer protection
and privacy legislation?
 Does the learner know and understand the main legislative limitations on agency
practice?
 Does the learner know and understand the purpose of trust funds, and the key
legislative controls on trust funds relevant to authorised employees?
 Does the learner know and understand the main responsibilities of key
commonwealth and state/territory government agencies that have a role relating to
agency practice?
 Does the learner know and understand the key licensing and eligibility requirements
for licensed estate agents, real estate representatives and other employees?
 Does the learner know and understand the main offences and penalties under the
legislative framework for real estate agencies?

 Does the learner demonstrate compliance with ethical and conduct standards?

Third party evidence report (continued)
Unit of
competency
Learner’s
name
Can you confirm the following: /
 Does the learner know and understand the penalties for breaches of ethical and
conduct standards?
 Does the learner know and understand the agent’s liability for breach of contract
and negligence?
 Is the learner able to identify situations where specialist advice is required, and
effectively source that advice?
 Does the learner know and understand the main risks relating to real estate
operations, and strategies to manage such risks?
 Does the learner know and understand the rights and responsibilities of both
employers and employees relating to industry/agency practice and conditions of
employment?
 Does the learner demonstrate use of a range of effective communication strategies
(including active listening, control of tone of voice, use of summarising and clarifying
questions, clear and concise language, plain English etc)?
 Does the learner know and understand methods to determine the need for ongoing
training/skills development?
 Is the learner able to identify opportunities for continuing training to maintain or
update skills and knowledge relevant to real estate operations?
Comments to support your responses:
Signed:
Date:

Record of assessment outcome

Summary of evidence sources:
Not yet
The learner was assessed against the unit of competency below: Competent
competent
The learner requires the following skill development before re-assessment:
Feedback to learner on overall performance during assessment:
The learner has been provided with Assessor name:

feedback and informed of the Assessor
assessment result and the reasons for signature:
the decision Date
I have been provided with feedback on Learner name:

the evidence if have provided. I have Learner
been informed of the assessment result signature:
and the reasons for the decision Date

PDSM Example Assessment Instrument CPPDSM4080A Work in The Real Estate Industry 2

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CPPDSM4080A Work in the real estate industry

Thanks to BMA Consulting for their consultation and development work.

Version 1  updated October 2009

Assessment cover sheet 2

Observation of work project: Research estate agency operations 8

Record of assessment of work project 11

Questions and key points 13

Third party evidence report 19

Record of assessment outcome 21

 Commonwealth of Australia 2009 i Prepared by

CPPDSM4080A Work in the real estate industry.

 Commonwealth of Australia 2009 1 Prepared by

Assessment cover sheet

Units of competency covered by this assessment instrument

CPPDSM4080A Work in the real estate industry

2  Commonwealth of Australia 2009 Prepared by

CPPDSM4080A Work in the real estate industry

1. Develop knowledge of estate agency operations

1.1 Key features of the agency principal relationship are

2. Interpret and comply with legislative and agency requirements

2.1 Approaches for sourcing and accessing legislation

2.5 Purpose of trust funds and the key legislative controls

 Commonwealth of Australia 2009 3 Prepared by

CPPDSM4080A Work in the real estate industry

3. Model ethical practice

3.1 Ethical and conduct standards, including penalties for

4. Identify industry employment requirements

4.1 Industry employment requirements are identified and

4  Commonwealth of Australia 2009 Prepared by

Competency for assessment

CPPDSM4080A Work in the real estate industry

Purpose and aims of the assessment

Assessment methods and tools

 Commonwealth of Australia 2009 5 Prepared by

Assessment plan (continued)

Materials and resources

Materials and resources include:

Organisational arrangements for conducting assessment

Initial advice to learners

Access to a workplace environment or simulated environment

6  Commonwealth of Australia 2009 Prepared by

 Commonwealth of Australia 2009 7 Prepared by

Observation of work project:

Implementation of the work project must be verified by the assessor through

PART A: Research and interpret legislative, licensing and ethical compliance

Tasks / Comment

1. Conduct research to confirm legislative and

8  Commonwealth of Australia 2009 Prepared by

2. Conduct research to confirm main areas of

 Commonwealth of Australia 2009 9 Prepared by

Observation of work project:

PART B: Research industry employment requirements

Tasks / Comment

6. Conduct skills assessment to determine

10  Commonwealth of Australia 2009 Prepared by

Observation of work project:

PART C: Present findings

Tasks / Comment

7. Document research outcomes:

8. Present findings to relevant personnel:

 Commonwealth of Australia 2009 11 Prepared by

Record of assessment of work project