Diploma Examination Syllabus and Regulations [UK] - Syllabus


Where relevant answer the questions as they apply to your home country

The optional papers in the Diploma Examination reflect the knowledge and skills that are required at a higher level of management whether it be in the Records Management area or Information Management. Candidates must select the paper which best suits their job requirements and reflects their personal development needs.

Records Management and the Information Lifecycle

This module covers both clinical/health and corporate/business records and information. Candidates are required to demonstrate an understanding of the following:

i. The Information Lifecycle to include creation, evaluation, archiving, destruction of records

ii. Legislation

iii. Service documents - Strategy, Policy, Procedure

iv. Registration of Record Collections

v. Record Closure (when records have ceased to be of active use other than for reference purposes and how this process is organised and managed, how the record is flagged as "closed", Storage of closed records awaiting disposal (environment, security and physical organisation); Establishment of a system for managing appraisal and for recording the disposal decisions; the 100 year rule)

vi. Retention Schedules (relates to the compilation of the retention schedules and legal requirements)

vii. Retention & Disposal of Records (this relates to actual process of retention and disposal – primary/secondary storage, confidential disposal/shredding, archiving, electronic media. Disposal must be legally sound but serving operational needs of the organisation and preserving an appropriate historical record.)

viii. Record types : person identifiable e.g. clinical, human resources records, occupational health and safety records; corporate: finance, health and safety, estates, quality and safety, executive group meetings

ix. Record Keeping (file plans, tracking, accessing)

x. Records Management Systems Audit

xi. Information Quality Assurance relevant to your Home Country

xii. Disclosure & Transfer of Records

xiii. Storage, Archiving & Scanning

xiv. Vital records and disaster planning

xv. Patient safety and risk management strategies – relevant to records and information management

xvi. Roles and Responsibilities for Records Management within an Organisation


Information Management

i. Calculation of common hospital statistics

ii. Understanding of mean, median, mode and standard deviation

iii. The alternative methods of presenting data

iv. Form design and data base design for effective data capture

v. A sound knowledge of the role of information in supporting clinical processes


Information Governance/Assurance

i Core elements of Information Governance/Assurance

  • The Data Protection Act 1998
  • The Freedom of Information Act 2000/Freedom of Information (Scotland) Act 2002
  • Access to Health Records Act 1990
  • Medical Reports Act 1988
  • Caldicott 1 & 2
  • The Information Security NHS Code of Practice and ISO 17799 standards for IT
  • The Confidentiality NHS Code of Practice
  • Data Quality Standards
  • IG Toolkit or other assessment tools
  • Records Management NHS Code of Practice applicable to your Home Country

ii Information Governance/Assurance Management

  • Confidentiality and Data Protection
  • Information Security
  • Secondary Uses
  • Mobile Technology
  • Information Audits

iii National Programme for eHealth in Candidates own Home Country

  • Development of electronic personal health records eg NHS Care Records Service (England), Emergency Care Summary, Palliative Care Summary, Key Information Summary (Scotland), Clinical and Patient Portal Technology, Informing Healthcare (Wales)

Resources Management

i. Teambuilding, leadership and management styles

ii. Understanding of motivational theories

iii. Understanding of change management and service improvement methodologies e.g. transforming paper-based systems to electronic working

iv. Understanding of workforce planning

v. Understanding of the principles of financial management, budgets, revenue, capital

Strategic IT Application and Development

i. The concept of computerised systems integration and the need for process management

ii. Basic understanding of e-Health strategies within your Home Country which culminate in the development of electronic records

iii. Business continuity

iv. Data Validation within e-Health systems

v. Data Storage

vi. Understanding of the principles for planning and implementing a new or replacement e-Health system including:

    • Process for drafting system specification/requirements
    • Procedures for selecting a system
    • System configuration/build
    • Review/Redesign of operational processes
    • User Acceptance Testing
    • Training
    • Post implementation review

vii. The range and purpose of IT systems in use in the NHS e.g. Patient Administration Systems, Patient Management Systems, Departmental Systems, Clinical Systems, Audit Systems, Order Communications and Results Reporting Systems. Decision Support Systems. PACS

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