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Contents

1. Opening an Adoption Case Record
2. Contents
3. Security and Retention of Records
4. Access to 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. 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 who pursues an application for approval. 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 and birth details (time, weight, type of delivery etc);
2. Description and details (including family tree) of the birth family and household set out in a Core Assessment or other relevant document;
3. Photographs, certificates, other significant personal mementos and Life Story Book;
4. Completed Neo-natal and obstetric reports;
5. BAAF Form A (completed by birth parents);
6. BAAF Development Assessment Forms or equivalent;
7. The Child’s Permanence Report;
8. The Prospective Adopter's Report and Adoption Placement Report;
9. The Adoption Support Plan including all information relating to financial support to the placement and decision records;
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. Details of siblings, together with any assessments and decisions to place brothers and sisters separately, including minutes of relevant meetings;
13. All relevant minutes and the Agency Decision Maker's 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 will be sent to birth parents and adopters;
14. Looked After Review minutes and the child’s Care Plan from the point when adoption was identified as the plan;
15. Assessments, correspondence and signed agreements relating to post-adoption contact;
16. Any other key correspondence to and from members of the child’s birth family;
17. Minutes from Placement Planning Meetings;
18. Itemised list and copies of information supplied to child (these should be listed on the adoption placement plan);
19. Itemised list and copies of information supplied to adopters (these should be listed on the adoption placement plan);
20. Later Life letter/information from the birth parents to the child;
21. Later Life letter from the social worker outlining the circumstances of the adoption plan;
22. The Adoption Placement Plan and any amendments;
23. 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;
24. Court reports and other documents prepared for Placement Order applications (if applicable) and the adoption application;
25. Copies of Care Orders (including Interim Care Orders);
26. Copy of any Parental Consent to Adoptive Placement and Parental Consent to the adoption and/or a copy of the Placement Order;
27. Form or notice withdrawing consent under Section 19 or 20 under the Section;
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;
32. The minutes of the Adoption Panel, its recommendation and the reasons for its recommendation and any advice given by the panel to the agency.

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

2.2  Applicants to Adopt

For each application to adopt, where an assessment IS to commence, an adoption case file must be opened in the name of the adopters and an A number will be allocated by the support assistant.

Where foster carers wish to be considered as adopters, a separate adoption case file must be set up.

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. All information relating to financial support to the placement including decision records and annual reviews;
6. Assessments, correspondence and signed agreements relating to post-adoption contact; 
7. The Adoption Placement Plan;
8. Copies of information supplied to adopters;
9. Any other key correspondence;
10. Reports of visits to the adopters.

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 at all times. Paper records should be kept in locked cabinets. Electronic records should be password protected to prevent theft, damage, loss, destruction or unauthorised disclosure of content.

Information regarding CRB checks on adopters must only be kept on file until a final judgement has been made regarding suitability. The outcome of the CRB check (i.e. satisfactory or adverse) and the disclosure number must be clearly recorded on Form F and the actual report itself destroyed.

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 Social Work Team Manager must sign off and close the child’s adoption file and ensure that the adoption case record is complete, and especially contains the later life letters and post-adoption contact agreements.

Closure of the adoption case file requires that all information on the file is submitted, in the first instance, to the fostering and adoption section together with the adoption file closure sheet.

Note, however, that with the operation of the Local Adoption Contact Agreement, there is a requirement that the contact agreement form is fully completed and is up to date before it is submitted with the closure sheet and the case file.

Details of all closed case files are entered into the Adoption Register which records all adoptions that have been made in the Leeds courts by any agency and any non agency adoption. It is the primary reference source for all subsequent enquiries and referrals.

Where an Adoption Order is not made and the agency decides to close the child’s adoption case record, it should transfer the information from this record to the Looked After case record, provided it does not duplicate information already on the looked after case record. Regulation 50 of the Care Planning, Placement and Case Review (England) Regulations 2010 stipulates that records on looked after children should be retained for at least 75 years from the birth of the child or for 15 years after the child’s death (under the age of 18), whichever is the shorter period.  If the child has never been looked after, the agency should destroy the records when no further action is necessary. An example of when this may be appropriate is if the possibility of adoption of a baby was discussed before the child’s birth, but the baby remained with the birth parents.

In considering how long to retain prospective adopters’ case records the agency needs to be mindful that one of the principles of the Data Protection Act is that personal data should only be kept for as long as necessary. Prospective adopters can be asked if they want their case records retained – in case they may wish to reapply to the agency or another adoption agency to adopt again – and to give their consent to the storage of the case record for a period of two years after which the record will be securely destroyed.

Whenever it is necessary to send any part of an Adoption Case Record by post, either within or outside the city the information should be placed in a sealed plain envelope and marked 'PERSONAL AND CONFIDENTIAL'. When the external post is necessary, then arrangements must be made for copies of relevant documents to be sent by recorded delivery.

4. Access to Records

See Access to Birth Records and Adoption Case Records Procedure.

End