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2.13 Adoption Case Records

SCOPE OF THIS CHAPTER

See Access to Birth Records and Adoption Case Records Procedure.

AMENDMENT

This chapter was significantly updated to include legal changes in January 2014 and should be read in its entirety.


Contents

  1. Opening an Adoption Case Record
  2. Contents
  3. Security and Retention of Records


1. Opening an Adoption Case Record

1.1 Children

An Adoption Case Record for a child should be opened as soon as there is an adoption plan for the child i.e. once adoption has been identified as the permanence plan for the child at his or her Looked After Review, which is referred to as the Care Planning Meeting in Northumberland, and was formerly known as the Decision Making Meeting. Where a child has been relinquished for adoption, an Adoption Case Record should be opened as soon as the parent's request for adoption has been made. The Adoption Case Record is separate from the child's existing case record/file.

The child’s Looked After case record should indicate that a separate Adoption Case Record exists and must not include information in relation to the new identity or address of the child or any information whereby the child’s pre and post-adoption identity could be linked. Such information should only be contained on the Adoption Case Record. This principle applies to information kept in whatever form - electronic, hard copy or microfilm

Where the plan relates to a group of siblings, there must be a separate Adoption Case Record for each child.

1.2 Applicants to Adopt

An Adoption Case Record should also be opened for every prospective adopter as soon as a formal application has been received. In the case of a couple, a single case record can be set up for them both. This also applies to foster carers wishing to be considered as adopters.


2. Contents

2.1 Children

The child’s Adoption Case Record should contain the following information and documents:

  1. The child’s original birth certificate;
  2. Birth details (time, weight, type of delivery etc) (in CPR);
  3. Description and details (including family tree) of the birth family and household set out in a Core Assessment or other relevant document;
  4. Photographs, certificates, other significant personal mementos and Life Story Book;
  5. Permanence Planning Meeting Minutes;
  6. Form IHA-C and Forms RHA-C (Children's medicals);
  7. The Child’s Permanence Report which includes photograph of the child and a genogram;
  8. The Prospective Adopter's Report and Adoption Placement Report;
  9. The Adoption Support Plan;
  10. The child’s profile, Matching Meeting minutes and any other documents prepared and presented for the matching decision;
  11. Record of social work with child about adoption, including recording of direct work. This should include the date of every contact, whether the child was seen, issued discussed, child's views, analysis and evaluation of the content of the report. This will provide a record to inform current actions and a record for the young person in later years;
  12. Record of social work with birth parents about adoption, including record of direct work. This should include the date of every contact, include their wishes and feelings about the plan, the child’s religious and cultural upbringing, and proposed contact;
  13. Details of siblings, together with any assessments and decisions to place brothers and sisters separately, including minutes of relevant meetings;
  14. All relevant minutes and the Agency Decision Maker (Adoption) decisions in relation to the child’s adoption plan and placement, including records of discussions held by the Agency Decision Maker. Copies of all notifications of agency decisions sent to birth parents and adopters;
  15. Looked After Review minutes and the child’s Care Plan from the point when adoption was identified as the plan;
  16. Assessments, correspondence and signed agreements relating to post-adoption contact;
  17. Any other key correspondence to and from members of the child’s birth family;
  18. Minutes from Placement Planning Meetings;
  19. Itemised List and copies of information supplied to child;
  20. Itemised List and copies of information supplied to adopters;
  21. Later Life letter/information from the birth parents to the child;
  22. Later Life letter from the social worker outlining the circumstances of the adoption plan;
  23. The Adoption Placement Plan and any amendments;
  24. Reports of visits to the child post-placement and records of any Adoption Review meetings. As previously stated, this should provide sufficient detail to inform current actions but also enable the young person in future years to make sense of his/her history;
  25. Court reports and other documents prepared for Placement Order applications (Annex B) (if applicable) and the adoption application (Annex A);
  26. Copies of Care Orders (including Interim Care Orders);
  27. Copy of any Parental Consent to Adoptive Placement and Parental Consent to the adoption and/or a copy of the Placement Order;
  28. Copy of Adoption Order;
  29. Any recording relating to requests for access to birth records by the adopted person or access to the Adoption Case Record by any person;
  30. Any Veto - absolute or qualified - registered by the adopted person;
  31. Minutes of any Disruption Meetings (if applicable).

It is essential that all case records reflect the supervisory process and comprehensive management overview.

2.2 Applicants to Adopt (Pre 23 September 2013)

  1. The prospective adopter's Adoption Case Record should contain all the information obtained about him or her in relation to the application for approval, including the Prospective Adopter's Report, photographs etc;
  2. All relevant checks;
  3. References;
  4. All relevant Panel minutes and the Agency Decision-Maker’s decisions in relation to the suitability of the adopters and the placement of the child with them;
  5. Assessments, correspondence and signed agreements relating to post-adoption contact;
  6. The Adoption Placement Plan;
  7. Itemised List and copies of information supplied to adopters;
  8. Any other key correspondence;
  9. Reports of visits to the adopters.

2.3 Applicants to Adopt (Post 23 September 2013)

A prospective adopter’s case record must be set up as soon as the registration of interest is accepted. It must contain:

  • The Prospective Adopter Stage One Plan;
  • The information and reports obtained by the agency;
  • The prospective adopter assessment plan;
  • The prospective adopter’s report and the prospective adopter’s observations on that report;
  • The written record of the proceedings of the adoption panel, its recommendation, the reasons for the recommendation and any advice given by the panel to the agency;
  • The record of the agency’s decision;
  • The recommendation of any independent review panel;
  • Where applicable, the prospective adopter’s review report and the prospective adopter’s observations on that report;
  • The prospective adopter matching plan; and
  • Any other documents or information obtained by the agency which it considers should be included in the case record.

Information which has been obtained from the Disclosure and Barring Service (DBS) should be retained on the Prospective Adopter’s Case Record for a limited time only. This information should be destroyed when the decision has been made as to whether the prospective adopter is suitable to adopt a child. It should be noted on the Prospective Adopter’s Case Record that the DBS information has been destroyed and that this information had led the agency to form a particular view, without citing the information itself.

Note: Where the Adoption Service places a child with an adopter or adopters approved by another adoption agency, an Adoption Case Record for the prospective adopters must still be set up and maintained in the Adoption Service.


3. Security and Retention of Records

Adoption Case Records must be stored in secure conditions. Paper records should be kept in locked cabinets. Electronic records should be password protected.

In cases where an Adoption Order is made, children’s Adoption Case Records will be retained for a minimum of 100 years after the Adoption Order is made. The Family Placement Service Manager will first ensure that the Adoption Case Record is complete, and especially contains the ‘Later Life’ letters and Post-Adoption Contact Agreements.

Where an Adoption Order is not made, children’s Adoption Case Records should be transferred back to the child’s Looked After record. Any duplicated information should be shredded.

Where an Adoption Order is not made, the approved adopter's Adoption Case Record should be retained for 50 years if they had a child placed or if they were assessed for a specific child. In other cases the record will be maintained for 5 years.

Whenever it is necessary to send any part of an Adoption Case Record by post, either within or outside the Council, the information should be placed in a sealed plain envelope and marked ‘PRIVATE AND CONFIDENTIAL’. When the external post is necessary, then consideration should be given to using recorded delivery. The Council’s policy on secure transfer of confidential records should be adhered to when using electronic transfer.

End