Adoption Case 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 their Looked After Review or, where a child has been relinquished for adoption, as soon as the parent's request for adoption has been made. The Adoption Case Record is separate from the child's existing electronic social care case record.

The child's electronic social care case record should indicate that a separate Adoption Case Record exists but 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 joint 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/genogram) of the birth family and household set out in a Single Assessment or other relevant document;
3. Photographs, certificates, other significant personal mementos and Life Story Book;
4. Completed Neo-natal and obstetric reports (CoramBAAF Form MB);
5. The Child's Permanence Report;
6. The Prospective Adopter's Report and Adoption Placement Report;
7. The Adoption Support Plan, including financial support and records of decision making;
8. The child's profile, details of family finding and any other documents prepared and presented for the matching decision;
9. Record of work with child about adoption, including recording of direct work. This should include the date of every contact, whether the child was seen, issues 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;
10. Details of siblings, together with any assessments and decisions to place brothers and sisters separately, including minutes of relevant meetings;
11. 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;
12. Looked After Review minutes and the child's Care Plan from the point when adoption was identified as the plan for permanence;
13. Assessments, correspondence and signed agreements relating to post-adoption contact;
14. Any other key correspondence to and from members of the child's birth family;
15. Minutes from Placement Planning Meetings;
16. Itemised list and copies of information supplied to child (Identified within the Adoption Placement Plan);
17. Itemised list and copies of information supplied to adopters (Identified within the Adoption Placement Plan);
18. Later Life letter/information from the birth parents to the child;
19. Later Life letter from the social worker outlining the circumstances of the adoption plan;
20. The Adoption Placement Plan and any amendments;
21. 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 their history;
22. Court reports and other documents prepared for Placement Order applications (if applicable) and the adoption application;
23. Copies of Care Orders (including Interim Care Orders);
24. Copy of any Parental Consent to Adoptive Placement and Parental Consent to the adoption and/or a copy of the Placement Order;
25. Copy of Adoption Order;
26. Any recording relating to requests for access to birth records by the adopted person or access to the Adoption Case Record by any person;
27. Any Veto - absolute or qualified - registered by the adopted person;
28. Minutes of any Disruption Meetings;
29. 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

1. The prospective adopter's Adoption Case Record should contain all the information obtained about them 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 (Identified in the Adoption Placement Plan);
8. All information relating to financial support to the placement including decision making and arrangements for reviews;
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, Retention and Sharing 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.

Information regarding DBS checks of prospective adopters must only be kept on file until a final judgement has been made regarding their suitability to adopt.

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 Adoption 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, an adoption agency must keep the child's case record and the prospective adopter's case record for such period as it considers appropriate.

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, in which case, see Looked After Children. 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.

Where an Adoption Order is not made 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 whatever period is agreed, 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 Council, the information should be placed in a sealed plain envelope and marked 'PERSONAL AND CONFIDENTIAL'. When the external post is necessary, then arrangements should be made for copies of relevant documents to be sent by recorded delivery.

An adoption agency may disclose an adoption case record to another adoption agency as it thinks fit for purposes related to its functions or the receiving agency's functions as an adoption agency (s.2 The Adoption and Care Planning (Miscellaneous Amendments) Regulations 2018, amending 8(2) of the Disclosure of Adoption Information (Post-Commencement Adoptions) Regulations 2005).

4. Access to Records

See: Access to Birth Records and Adoption Case Records (One Adoption).