Adoption Case Records

Please also read in conjunction with PGN entitled Retention of documents for Adopters for guidance on accuracy of records and to remind staff of the data protection and retention practice requirements.


See: Access to Birth Records and Adoption Case Records Procedure.


In March 2023, this chapter was amended in line with the changes made to the CoramBAAF forms.

1. Opening an Adoption Case Record

1.1 Children

The Adoption Case Record for a child should be opened on LCS 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 a separate area within the child's existing case record on LCS. Additionally a Memory Box should be started for a child, with original signed hard copies of some items.

The child's Looked After case record should indicate that an 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 all information retained. Particular vigilance is required where an adopted child has siblings who are looked after, but not adopted, as the cross over of identity may occur in error.

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

Care may be required to anonymise material and, in particular, exclude confidential information about third parties or provide separate sections so that information is provided 'in confidence and not for wider dissemination'.

1.2 Applicants to Adopt

An individual case record should be opened for every prospective adopter and the adopter enquiry / application process started as soon as a formal application has been received. In the case of a couple, their case records should be linked. This also applies to foster carers wishing to be considered as adopters.

2. Contents

2.1 Children

The child's Adoption Case Record on LCS should contain the following information and if necessary hard copies of documents scanned and uploaded to the relevant section of the child's adoption folder on:

  1. Checklist for key biographical information and record of key actions taken resulting in an Adoption;
  2. The child's original birth certificate and birth details (time, place, term, weight, type of delivery etc) with supporting evidence if available;
  3. Description and details (including family tree/genogram) of the birth family and household set out in a Child or Family Assessment or other relevant document;
  4. Photographs, certificates, other significant personal mementos and Life Story Book;
  5. Completed Neo-natal and obstetric reports;
  6. The Child's Permanence Report;
  7. The Adoption Support Plan;
  8. The child's profile, the Matching Meeting / Adoption Placement Report and any other documents prepared and presented for the matching decision, including Matching Agreement;
  9. 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, 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 (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 will be sent to birth parents and adopters;
  12. Details of contact between the prospective adopter(s) and birth family or carer(s) prior to Adoption order;
  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;
  17. Itemised list and copies of information supplied to adopters;
  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. Any judgement;
  24. Copies of Care Orders (including Interim Care Orders);
  25. Copy of any Parental Consent to Adoptive Placement and Parental Consent to the adoption and/or a copy of the Placement Order;
  26. Copy of Adoption Order;
  27. Any Veto - absolute or qualified - registered by the adopted person;
  28. Minutes of any Disruption Meetings;
  29. Family Finding planning meeting minutes should be uploaded to Livelink by the Family Finding Social Worker.

    See also LiveLink file guide for guidance on which folders to upload above documents.

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

2.2 Memory Box

It is the responsibility of the child's social worker to ensure that the memory box is collated and passed to the adoptive parent(s) at point of placement. The social worker may pass it to the foster carer prior to this but remains responsible for the handover and completion.

This list is not exhaustive and if it is felt an original hard copy would be of benefit to the child, in future years, it should be kept for him or her.

  1. Key correspondence to and from members of the child's birth family to the child;
  2. Original letters from parents;
  3. CoramBAAF Obstetrics From M/B;
  4. Correspondence between the agency and birth family about the emerging plans for the adoption of the child;
  5. Later Life Letter;
  6. Original photographs, certificates, personal mementoes of early years;
  7. Photographs, cards, open letters provided by birth family for the child specifically;
  8. Original copy of Adoption Order, Birth Certificate, Passport, Final Court Orders, Trust documents.

2.3 Post Adoption Order

The child's social worker should close the LCS record in the child's pre-adoption name, making sure that there is not current identifying information e.g. the surname of the adopter remaining on the record.

Once an Adoption Order is granted and authorised on LCS, a new Record in the child's adoptive name is created by the system and the Adoption Social Worker should open a PAS (Post Adoption Support) record for the child. If the If the Adoption Support Service provide a service at any time, this should be recorded within the PAS record. then a new LCS record must be opened in the child's new name. This record should include details of any adoption financial support

The social worker should send Post Adoption Agreement pack (see Post Adoption Agreements Procedure).

Requests for access to birth records by the adopted person or access to the Adoption Case Record by any person should be recorded in the PAS record.

2.4 Applicants to Adopt

  1. The prospective adopter's Adoption Case Record should contain all the information obtained about them in relation to their 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, a personal record for each adopter should be created and then an Adoption Carer Record set up. These records should be maintained on LCS by the relevant Family Finder Social Worker.

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 are restricted and where necessary authorisation for access can be given on request via ICT User Support.

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' and peer checked before being sent out. Please refer to your business support team for peer checking procedure. Emails should be sent via HertsFX (apart from safe recipients - see list on Intranet).

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).