View LCP Procedures View LCP Procedures

3.11.10 Case Records

AMENDMENTS

This chapter was updated in February 2012 to clarify the circumstances in which an adoption file should be opened and to clarify agency/professional rights of access.


Contents

  1. Opening an Adoption Case Record  
  2. Contents 
  3. Retention of Records  
  4. Access to Records  


1. Opening an Adoption Case Record

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 or, where a child has been relinquished for adoption, as soon as the parent’s request for adoption has been made. Where the plan relates to a group of siblings, there must be a separate Adoption Case Record for each child. 

The intention of the Adoption Case Record is to provide the adopted person with as much information as possible about his or her personal and social history and the reasons for the adoption.

The Lotus electronic record for each child must be separated into a confidential adoption section when the plan for adoption is made for the child. A copy of the basic information sheet will also be transferred at this point. The plan for adoption is likely to be made at the second or a later Review.

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

Children

The Adoption Case Record in relation to a child should contain the following information and documents:

1. Front sheet with key biographical information and record of key actions taken resulting in the Adoption Order;
2. Child’s original birth certificate and birth details (time, place, weight, type of delivery etc);
3. Description and details (including family tree) of the birth family and household;
4. Photographs, certificates and other significant personal mementos;
5. Paediatric record including completed Neo-natal and obstetric reports and BAAF Forms C or D;
6. Detailed chronology of early history/assessment reports of early developmental and social history, (contained in Child’s Permanence Report);
7. Details of any substitute carers prior to adoption placement (contained in Child’s Permanence Report);
8. Child’s Permanence Report and other documents prepared and presented to the Adoption and Permanency Panel for a recommendation that the child should be placed for adoption;
9. Child’s profile, checklist of needs, Adoption Placement Report, Adoption Support Plan and other documents prepared and presented to the Adoption and Permanency Panel for a recommendation that the child should be placed with particular prospective adopters;
10. Record of social work with child about adoption, including recording of direct work;
11. Details of siblings and any decisions to place brothers and sisters separately, including minutes of relevant meetings;
12. All relevant Adoption and Permanency Panel minutes and Agency Decision Maker’s decisions in relation to the child’s adoption;
13. Looked After Review minutes from the point when adoption was identified as the plan;
14. Assessments, correspondence and signed agreements relating to post-adoption contact;
15. Any other key correspondence to and from members of the child’s birth family;
16. BAAF Form H or minutes from Placement Planning Meetings;
17. List and copies of information supplied to child;
18. List and copies of information supplied to adopters;
19. Later Life letter/information from the birth parents to the child;
20. Later Life letter from the social worker outlining the circumstances of the adoption plan;
21. Adoption Placement Plan;
22. Reports of visits to the child post-placement;
23. Court Reports prepared for Placement Order application (if applicable) and adoption application;
24. Statements of Facts prepared for Placement Order application (if applicable) and adoption application;
25. Copy of Care Order (including Interim Care Orders);
26. Copy of Freeing Order (if applicable);
27. Copy of Placement Order (if applicable);
28. Copy of Parental Consent to Adoptive Placement and/or Adoption if applicable;
29. Copy of Adoption Order;
30. Any recording relating to birth records counselling of the adopted person;
31.

The following information must also be kept:

  1. Any information supplied by a birth parent or relative or other significant person in the adopted person’s life, with the intention that the adopted person may, should he/she wish to, be given that information;
  2. Any information supplied by the adoptive parents or others which is relevant following the making of the adoption order;
  3. Any information which the adopted person has requested should be kept;
  4. Any information given by the Registrar General in respect of the adopted person;
  5. Any information from the Adoption Contact Register;
  6. Any Veto - absolute or qualified - registered by the adopted person.

Applicants to Adopt

  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.

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. Retention of Records

Adoption case records must be kept in secure conditions at all times. Case records will be retained for a minimum of 100 years after the adoption order is made. All adoption case records must be sent to the Records Management Centre Archives at Kensington Town Hall for safe storage after the Adoption Order has been made.


4. Access to Records

(Please see Access to Birth Records Procedure and Case Records Procedurefor further information).

Access to closed electronic adoption case records will be restricted to the adoption service.

Any request for access to adoption case records must be referred to the Manager of the adoption service.

The person making the request will be asked to sign a form of declaration relating to confidentiality before access can be agreed.

Access to information contained in Adoption Case Records is normally limited to:

  1. Social workers and other professional/administrative staff directly concerned with the case;
  2. Legal and Medical Advisers;
  3. Other adoption agencies taking part in the adoption;
  4. The Secretary of State for Health or persons authorised on his/her behalf;
  5. The Regulatory Authority;
  6. The Ombudsman;
  7. Any  person undertaking a Statutory Inquiry under section 81 of the Children Act 1989 (mandatory);
  8. Children’s Guardians and CAFCASS Officers;
  9. The Court and officers of the Court;
  10. Any person appointed to deal with a complaint or representation in respect of which access to the adoption case record is required in order to carry out the responsibilities of his or her appointment;
  11. An Independent Review Panel convened to consider a Qualifying Determination of an adoption agency, e.g. where an adoptive applicant has exercised his or her right to challenge a decision of the adoption agency as to their suitability to adopt or where a decision has been made in relation to the disclosure of protected information (mandatory);
  12. Any person undertaking a Serious Case Review in relation to a child (discretionary).

The following requirements relating to disclosure should be adhered to:

A written record of any disclosure made must include:

  1. A description of the information disclosed;
  2. Date on which the information is disclosed;
  3. The person to whom the information is disclosed;
  4. The reason for disclosure.

For all other procedures relating to disclosure of information from Adoption Case Records and Access to Adoption Case Records, see Disclosure of Information and Intermediary Services (Pre December 2005) Procedure and Disclosure of Adoption Information (Post December 2005).

An agreement should be drawn up between RBKC and the following people regarding the disclosure of protected information held about them:

  1. Adopted person, who should be over 18 at the time the agreement is made as to the disclosure of protected information about him/her;
  2. The adoptive parent/s;
  3. Each birth parent who had Parental Responsibility prior to the making of the adoption order.

The agreement must include:

  1. The full names and signature of the persons who are parties;
  2. The date on which it was made;
  3. The reasons for making it;
  4. The information that may be disclosed in accordance with the agreement;
  5. An agreed restriction on the circumstances in which the information may be disclosed.

On receipt of an application for the disclosure of protected information, reasonable steps must be taken to confirm:

  1. The identity of the applicant or any person acting on their behalf; and
  2. That person is authorised to do so.

Any views obtained, must be recorded in writing.

If a decision is taken not to proceed with an application for the disclosure of protected information, the local authority must give written notification of :

  1. The reasons for the decision; and
  2. Advise the person that he/she may apply to the Secretary of State within 40 working days, beginning with the date on which the notification was sent, for a review by an independent review panel of the decision made.

Once contacted by the Secretary of State informing the local authority that a review by an independent review panel has been applied by for, the agency must send to the Secretary of State within 10 working days:

  1. A  copy of the application for disclosure of information;
  2. A copy of the written notification;
  3. The record of any views obtained by the agency;
  4. Any additional information requested by the panel.

The local authority must take account of any recommendation made by the independent review panel in deciding whether to proceed with its original decision.

Counselling

The local authority must provide written information about the availability of counselling and the fees that may be charged to any person:

  1. Who is seeking information;
  2. Whose views have been sought as to the disclosure of information about him/her;
  3. Who enters into, or is considering entering into, an agreement with the agency.

Where any of the above requests counselling, this may be provided in-house or arrangements can be made with another adoption agency, or a registered adoption support agency, such as After Adoption, to provide this service.

Disclosure of information for the purpose of counselling

Information may be disclosed (including protected information) which is required for the purposes of providing counselling to any person with whom an arrangements has been made to provide counselling. Written records of any disclosure must be made.

Seeking information from the Registrar General

Where a young person reaches the age of 18 years and requests information in order to obtain a certified copy of their birth certificate and where the Borough does not have this information, this information should be sought from the Registrar General.

The Registrar General must be provided with the following information:

  1. The name, date of birth and country of birth of the adopted person;
  2. The names of that person’s adoptive father and mother;
  3. The date of the adoption order.

The Registrar General must:

  1. Disclose any information that the person requires to assist him to make contact with the appropriate adoption agency; and
  2. Disclose any information about any entry relating to the adopted person on the Adoption Contact Register.

A fee must be paid to the Registrar General. The level of the fees is obtainable from the Business Support Officer in the Adoption Team and the Post Adoption Worker.

Offence

If the Borough discloses any restricted information, the agency is guilty of an offence and is liable on conviction to a fine.

Fees which can be charged by the agency

A fee,which is deemed reasonable, may be charged for the following:

  1. In respect of the disclosure of information under Section 61 or 62 of the Act;
  2. For providing counselling in connection with the disclosure of information; or
  3. For making arrangements to secure counselling.

A fee will not be charged to an adopted person in respect of any information disclosed to him/her with regard to any relative of his or for counselling provided to him/her in connection with any such disclosure.

The local authority must, before providing a service to any person for which it may charge a fee, give the person information about the fees to be charged.

An adopted person may apply for access to his or her own adoption case record. See also Access to Birth Records Procedure.

End