The Local Authority Adoption Service (Wales) Regulations 2007 No. 1357 (W.128)

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STATUTORY INSTRUMENTS

2007 No. 1357 (W.128)
SOCIAL CARE, WALES
CHILDREN AND YOUNG PERSONS, WALES
The Local Authority Adoption Service (Wales) Regulations 2007

	Made	27 March 2007
	Coming into force	2 April2007

ARRANGEMENT OF REGULATIONS

PART 1
GENERAL

1.	Title, commencement and application

2.	Interpretation

3.	Statement of purpose

4.	Children's guide

5.	Review of statement of purpose and children's guide

6.	Requirement to open a child's case record

7.	Natural Parents

8.	Prospective adopters and approved adopters

9.	Adoption Panels

PART 2
MANAGERS

10.	Appointment of manager

11.	Fitness of manager

12.	General requirements

13.	Notification of offences

PART 3
CONDUCT OF LOCAL AUTHORITY ADOPTION SERVICE

14.	Arrangements for the protection of children

15.

Staffing

16.	Fitness of workers

17.	Employment of staff

18.	Staff disciplinary procedure

19.	Arrangements for the absence of manager

20.	Records with respect to staff

21.	Fitness of premises

22.	Review of quality of service

23.	Assessment of service

24.	Compliance notification

25.	Complaints

26.	Notifiable events

PART 4
MISCELLANEOUS

27.	Revocation of regulations

SCHEDULE 1

INFORMATION TO BE INCLUDED IN THE STATEMENT OF PURPOSE

SCHEDULE 2

INFORMATION TO BE INCLUDED IN THE CHILDREN'S GUIDE

SCHEDULE 3

INFORMATION REQUIRED IN RESPECT OF PERSONS SEEKING TO MANAGE OR WORK FOR THE PURPOSES OF THE ADOPTION SERVICE

SCHEDULE 4

RECORDS TO BE KEPT IN RELATION TO EACH PERSON WORKING FOR THE PURPOSES OF THE ADOPTION SERVICE

SCHEDULE 5

NOTIFIABLE EVENTS

The National Assembly for Wales in exercise of the powers conferred upon it by sections 9(1) and (3), 10 and 140(1) of the Adoption and Children Act 2002[1] and sections 50 and 118(1) and (5) to (7) of the Care Standards Act 2000[2] hereby makes the following Regulations:—

PART 1
GENERAL
Title, commencement and application
     1. —(1) The title of these Regulations is the Local Authority Adoption Service (Wales) Regulations 2007 and they come into force on 2 April 2007.

    (2) These Regulations apply in relation to Wales.

Interpretation
     2. —(1) In these Regulations—

asiantaeth fabwysiadu

"adoption panel" ("panel mabwysiadu") means a panel established in accordance with regulation 3 of the Adoption Agencies (Wales) Regulations 2005[

gwasanaeth mabwysiadu

cynghorydd gwasanaethau cymorth mabwsyiadu

swyddfa briodol

cofnod achos plentyn

arweiniad plant

gwarcheidwad

"Local Safeguarding Children Board" means the board established under s31 of the Children Act 2004;

rheolwr

Cynulliad Cenedlaethol

gweithiwr cymdeithasol

datganiad o ddiben

Deddf 2000

Deddf 2002

Rheoliadau Asiantaethau Mabwysiadu 2005

dyddiau gwaith

(2) In these Regulations, a reference—

(3) in these Regulations, unless the contrary intention appears, references to employing a person include—

and references to an employee or to a person being employed are to be construed accordingly.

Statement of purpose
3. —(1) Each local authority must compile in relation to the adoption service a written statement (in these Regulations referred to as "the statement of purpose") which must consist of a statement as to the matters listed in Schedule 1.

(2) The authority must supply a copy of the statement of purpose to the National Assembly and must make a copy of it available, upon request, for inspection by—

(a) children who may be adopted, their parents and guardians;

(b) persons wishing to adopt a child;

(c) adopted persons, their parents, natural parents and former guardians;

(d) persons who are seeking an assessment of their needs for the provision of adoption support services by the authority;

(e) every person working for the purposes of the adoption service.

    (3) Subject to paragraph (4), the authority must ensure that their adoption service is at all times conducted in a manner which is consistent with its statement of purpose.

    (4) Nothing in paragraph (3) requires or authorises the authority to contravene, or not to comply with any other provision of these Regulations.

Children's guide
     4. —(1) Each local authority must produce a written guide to the adoption service (in these Regulations referred to as "the children's guide") which must consist of a statement as to the matters listed in Schedule 2.

    (2) The authority must provide a copy of the children's guide to—

(a) the National Assembly;

(b) every prospective adopter with whom the authority has placed a child for adoption; and

(c) every child (subject to the age and understanding of that child), who may be or has been placed for adoption by the authority.

Review of statement of purpose and children's guide
5. —(1) Each local authority must—

(a) keep under review and, where appropriate, revise the statement of purpose and children's guide; and

(b) notify the National Assembly of any such revision within 28 days.

Requirement to open a child's case record
6. —(1) Each local authority must set up a case record ("the child's case record") in respect of each child and place on it —

(a) any information and reports obtained by the local authority in respect of the child;

(b) the child's permanence report;

(c) any written record of any proceedings of an adoption panel under regulation 18 of the 2005 Adoption Agencies Regulations, its recommendation as to whether or not a child should be placed for adoption and the reasons for its recommendation and any advice given by the panel to an adoption agency;

(d) any record of an adoption agency's decision and any notification of that decision under regulation 19 of the 2005 Adoption Agencies Regulations;

(e) details of any consent by a parent or guardian of a child to placement for adoption under section 19 of the 2002 Act (placing children with parental consent);

(f) details of any consent by a parent or guardian of a child to the making of a future adoption order under section 20 of the 2002 Act (advance consent to adoption);

(g) any form or notice withdrawing consent under section 19 or 20 of the 2002 Act or notice given under section 20(4)(a) or (b) of the 2002 Act;

(h) a copy of any placement order in respect of the child; and

(i) any other documents or information obtained by the local authority which it considers should be included in the case record.

Natural Parents
7. —(1) Each local authority where it considers that adoption is the preferred option for a child, or where a child is relinquished, must provide natural parents with:—

(a) a counselling service;

(b) as much information in relation to the child as the natural parents may reasonably require, and which the local authority is able to give;

(c) an explanation and written information in respect of the following matters:—

(2) Each local authority where it considers that adoption is the preferred option for a child, or where a child is relinquished, must ascertain the wishes and feelings of the natural parents and guardian of the child and of any other significant person the local authority considers relevant in relation to—

(a) the matters set out in section 1(4)(f)(ii) and (iii) of the 2002 Act (matters the agency must have regard to);

(b) the placement of the child for adoption and their adoption, including any wishes and feelings about the child's religious and cultural upbringing; and

(c) contact with the child if the agency is authorised to place the child for adoption or the child is adopted.

(3) This paragraph applies where the father of a child does not have parental responsibility for the child, and the father's identity is known to the local authority.

(4) Where paragraph (3) applies and the local authority is satisfied it is appropriate to do so the local authority must ascertain so far as possible whether the father—

(i) wishes to acquire parental responsibility for the child under section 4 of the Children Act 1989; or

(ii) intends to apply for a residence order or contact order with respect to the child under section 8 of the Children Act 1989, or where the child is subject to a care order, an order under section 34 of the Children Act 1989 (parental contact with children in care).

Prospective and approved Adopters
8. Each local authority must—

(a) have written plans on its strategy to recruit sufficient numbers of adopters,

(b) have comprehensive plans for preparation and approval processes for adopters contained within its policies and procedures,

(c) provide prospective adopters with written information about the adoption process including information about:—

(d) provide assistance where disruption of a placement has occurred or is in danger of occurring, including mediation and organising and holding meetings to discuss disruptions in adoption placements.

Adoption Panels
9. —(1) Each local authority must—

(a) establish an adoption panel in accordance with regulations 3 and 5 of the 2005 Adoption Agencies Regulations;

(b) have in place written policies that ensure that the panel is organised effectively and operates efficiently;

(c) ensure that adoption panels are properly advised by an appropriately qualified person in relation to adoptions with a foreign element if such a case is being considered;

(d) where it considers that adoption is the preferred method for permanence of the child, prepare a written report for the adoption panel which must include:—

(e) the local authority must send the written report as soon as reasonably practicable as well as other relevant information which might be requested by the adoption panel and send that information to the adoption panel;

(f) the local authority must obtain, so far as is practicable, any other relevant information which might be requested by the adoption panel and send that information to the adoption panel.

(2) Where the local authority, after having followed the procedures referred to in regulations 23 and 25 of the 2005 Adoption Agencies Regulations , considers a prospective adopter may be suitable to be an adoptive parent, it must carry out an assessment in accordance with the 2005 Adoption Agencies Regulations;

(a) The local authority must obtain such particulars about the prospective adopter as are referred to in Part 1 of Schedule 4 of the 2005 Adoption Agencies Regulations;

(b) The local authority must also obtain:—

(d) In a case where section 83 of the 2002 Act applies, the report must include —

(e) The local authority must notify the prospective adopter if the application is to be referred to the adoption panel and at the same time send the prospective adopter a copy of the local authority's report referred to in paragraph (c) above, and invite any observations on the report to be sent in writing to the local authority within 10 working days, beginning with the date on which the notification was sent.

(f) At the end of the period of 10 working days referred to in paragraph (e) above (or earlier if any observations made by the prospective adopter are received before the 10 working days have expired) the local authority must send —

(h) the local authority must obtain, so far as is reasonably practicable, any other relevant information which may be required by the adoption panel and send that information to the panel.

(i) Where the local authority considers that the proposed placement should proceed, the local authority must—

PART 2
MANAGERS
Appointment of manager
10. —(1) Each local authority must appoint one of its officers to manage the adoption service and must forthwith notify the National Assembly of—

(2) The officer appointed by the local authority to manage the adoption service must—

(c) have at least two years' experience of working in a child care setting , which may include managing a voluntary adoption agency or a local authority adoption service within the past five years.

    (3) The authority must forthwith notify the National Assembly if the person appointed under paragraph (1) ceases to manage the adoption service.

Fitness of manager
     11. —(1) Only a person who is fit to do so may manage an adoption service.

    (2) A person is not fit to manage an adoption service unless that person—

(a) is of integrity and good character;

(b) having regard to the size of the authority and its statement of purpose—

(c ) full and satisfactory information is available in relation to that person in respect of each of the matters specified in Schedule 3.

General requirements
12. —(1) The manager must, having regard to—

(a) the size of the local authority and its statement of purpose; and

(b) the need to safeguard and promote the welfare of children who may be, or have been, placed for adoption by the authority,

manage the adoption service with sufficient care, competence and skill.

(2) The manager must from time to time undertake such training as is appropriate to ensure that he or she has the experience and skills necessary to manage the adoption service.

Notification of offences
13. A manager who is convicted of any criminal offence, whether in Wales or elsewhere, must give immediate notice in writing to the National Assembly of—

(i) the date and place of the conviction;

(ii) the offence; and

(iii) the penalty imposed in respect of the offence.

PART 3
CONDUCT OF LOCAL AUTHORITY ADOPTION SERVICE
Arrangements for the protection of children
14. Each local authority must prepare and implement a written policy which—

Staffing
15. Each local authority must ensure that, having regard to—

(a) the size of the authority and its statement of purpose; and

(b) the need to safeguard and promote the health and welfare of children who may be, or have been, placed for adoption by or who may receive or are receiving adoption support services from the authority,

there is a sufficient number of suitably qualified, competent and experienced persons working for the purposes of the adoption service, and that the local authority has a clear written recruitment policy for recruiting its staff.

Fitness of workers
16. —(1) A local authority must not—

(a) employ a person to work for the purposes of their adoption service unless that person is fit to work for the purposes of an adoption service; or

(b) allow a person to whom paragraph (2) applies, to work for the purposes of the adoption service unless that person is fit to work for the purposes of an adoption service.

(2) This paragraph applies to any person employed, other than by the authority in a position in which that person may in the course of that person's duties have regular contact with children who may be, or have been placed for adoption by the authority or who may receive or are receiving adoption support services from the authority.

(3) For the purposes of paragraph (1), a person is not fit to work for the purposes of an authority's adoption service unless that person—

(a) is of integrity and good character;

(b) has the qualifications, skills and experience necessary for the work which that person is to perform;

(c) is physically and mentally fit for the work which that person is to perform; and unless

(d) full and satisfactory information is available in relation to that person in respect of each of the matters specified in Schedule 3.

(e) has an up to date CRB certificate of the appropriate level, such CRB certificate to be renewed every 3 years.

(4) The authority must take reasonable steps to ensure that any persons working for the purposes of the adoption service who are not employed by the authority and to whom paragraph (2) does not apply are appropriately supervised while carrying out their duties.

Employment of staff
17. —(1) Each local authority must—

(a) ensure that all permanent appointments made by the authority for the purposes of the adoption service are subject to the satisfactory completion of a period of probation; and

(b) provide all employees employed by the authority for the purposes of their adoption service with a job description outlining their responsibilities.

(2) The authority must ensure that all persons employed by the authority for the purposes of the adoption service—

(a) receive appropriate training, supervision and appraisal; and

(b) are enabled from time to time to obtain further qualifications appropriate to the work they perform.

Staff disciplinary procedure
18. —(1) Each local authority must operate a disciplinary procedure which, in particular—

(a) provides for the suspension of an employee where necessary in the interests of the safety or welfare of children who may be or have been placed for adoption by the authority or who may receive or are receiving adoption support services from the authority;

(b) provides that the failure on the part of an employee to report to an appropriate person an incident of abuse, or suspected abuse of a child who has been or may be placed for adoption by the authority or who may receive or is receiving adoption support services from the authority is a ground on which disciplinary proceedings may be instituted.

(2) For the purposes of paragraph (1)(b), an appropriate person is—

(a) the manager of the adoption service;

(b) an officer of the National Assembly;

(c) a police officer;

(d) an officer of the National Society for the Prevention of Cruelty to Children;

(e) an officer of the local authority in whose area the child is placed for adoption where this is a different authority.

Arrangements for the absence of manager
     19. Each local authority must establish a system to ensure that where the manager proposes to be or is absent from the local authority for a continuous period of 20 working days or more an identified person is responsible for the management of the adoption service until such time as the manager returns to the adoption service or (as the case may be) a new manager is appointed by the authority.

Records with respect to staff
     20. —(1) Each local authority must maintain and keep up to date the records specified in Schedule 4.

    (2) The records specified in paragraph (1) must be retained for at least 15 years from the date of the last entry.

Fitness of premises
     21. —(1) The local authority must use premises for the purposes of their adoption service which are suitable for the purpose of achieving the aims and objectives set out in the statement of purpose.

    (2) The authority must ensure—

(a) that there are adequate security arrangements at the premises, and in particular, that there are secure facilities for the storage of records; and

(b) that any records which are, for any reason, not on the authority's premises are kept in conditions of appropriate security; and

(c) case records set up under regulations 12 and 22 of the Adoption Agencies Wales Regulations 2005[

Review of Quality of Service
22. —(1) The local authority must make suitable arrangements to establish and maintain a system for monitoring, reviewing and improving the quality of adoption services provided by the local authority.

(2) The system established under paragraph (1) must make provision by the local authority for —

(a) the quality of service to be reviewed at least annually; and

(b) the local authority to obtain the views of—

on the quality of care provided, as part of any review undertaken.

(3) Following a review of the quality of care, the local authority must within 28 working days prepare a report of that review and make a copy of the available report in an appropriate format when requested by —

(a) the National Assembly;

(b) service users;

(c) representatives of service users;

(d) staff employed by the local authority.

Assessment of Service
     23. —(1) The National Assembly can at any time request the local authority to undertake an assessment of the service provided to service users using its adoption services.

    (2) Within 28 days of receiving a request under paragraph (1) the local authority must supply to the appropriate office of the National Assembly the assessment in the form required by the National Assembly.

    (3) The local authority must take reasonable steps to ensure that the assessment is not misleading nor inaccurate.

Compliance Notification
     24. —(1) The National Assembly can at any time notify the local authority of the action that in the National Assembly's view the local authority must take to ensure compliance with the 2000 Act and any regulations made under it.

    (2) The National Assembly can specify the timescale within which the local authority must take the action required under paragraph (1).

    (3) The local authority must advise the appropriate office of the National Assembly of the completion of any action required under paragraph (1).

Complaints
     25. Each local authority must—

(a) ensure that a written record is made of any complaint, including details of the investigation made, the outcome and any action taken in consequence, and that the record is retained for at least 3 years from the date it is made; and

(b) supply to the National Assembly at its request a statement containing a summary of any complaints made in respect of their adoption service during the preceding 12 months and the action (if any) taken as a result of the outcome of the investigation; and

(c) supply to the National Assembly a summary of any allegations of abuse against children in the last 12 months and outcomes of investigations and action taken

Notifiable events
26. —(1) If, in relation to a local authority, any of the events listed in the table in Schedule 5 occur, the local authority must without delay notify the persons listed in the columns of the table in respect of the event.

(2) Any notification made in respect of this order orally, must also be put in writing.

PART 4
MISCELLANEOUS
Revocation of regulations
     27. The Local Authority Adoption Service (Wales) Regulations 2005[10] are revoked.

Signed on behalf of the National Assembly for Wales under section 66(1) of the Government of Wales Act 1998[11].

D. Elis-Thomas
The Presiding Officer of the National Assembly

28 March 2007

SCHEDULE 1Regulation 3(1)

INFORMATION TO BE INCLUDED IN THE STATEMENT OF PURPOSE

     1. The aims and objectives of the local authority in relation to the adoption service, including cases involving intercountry adoption.

     2. The arrangements that the local authority has put in place to assess and make provision for adoption support services.

     3. The name and address of the manager.

     4. The relevant qualifications and experience of the manager.

     5. The number, relevant qualifications and experience of the staff employed by the authority for the purposes of the authority's adoption service.

     6. The organisational structure of the adoption service.

     7. The system in place to monitor and evaluate the provision of services to ensure that the services provided by the authority are effective and the quality of the adoption service is of an appropriate standard.

     8. The procedures for recruiting, preparing, assessing, approving and supporting prospective adoptive parents.

     9. Details of the adoption support service advisor and the procedures for the assessment for and provision of adoption support services.

     10. A summary of the complaints procedures established in accordance with the Representations Procedure (Children) (Wales) Regulations 2005 [12], the Social Services Complaints Procedure (Wales) Regulations 2005 [13] and section 114 of the Health and Social Care (Community Health and Standards) Act 2003[14].

     11. The address and telephone number of the appropriate office of the National Assembly.

SCHEDULE 2Regulation 4(1)

INFORMATION TO BE INCLUDED IN THE CHILDREN'S GUIDE

     1. A summary of the statement of purpose

     2. A summary of the procedures where adoption is identified as the appropriate plan for the child.

     3. Information about the role of the adoption support services advisor and a summary of the procedures for seeking an assessment for the provision of adoption support services.

     4. A summary of the complaints procedures established in accordance with section 26 of the Children Act 1989, the Local Authority Social Services (Complaints Procedure) Order 1990 and section 114 of the Health and Social Care (Community Health and Standards) Act 2003.

     5. Details of how a child may have access to the services of an advocate who is independent of the authority to assist the child in bringing a complaint or making a representation under the complaints procedures referred to in paragraph 4.

     6. The address and telephone number of the appropriate office of the National Assembly.

     7. The name, address and telephone number of the Children's Commissioner for Wales.

SCHEDULE 3Regulation 11(2)(c)

INFORMATION REQUIRED IN RESPECT OF PERSONS SEEKING TO MANAGE OR WORK FOR THE PURPOSES OF THE ADOPTION SERVICE

     1. Proof of identity including a recent photograph.

     2. Either—

     3. A minimum of two written references, including a reference from the person's most recent employer, if any.

     4. Where a person has previously worked in a position whose duties included work with children or vulnerable adults, so far as reasonably practicable verification of the reason why the employment or position ended.

     5. Documentary evidence of any relevant qualification.

     6. A full employment history, together with a satisfactory written explanation of any gaps in employment.

SCHEDULE 4Regulation 20(1)

RECORDS TO BE KEPT IN RELATION TO EACH PERSON WORKING FOR THE PURPOSES OF THE ADOPTION SERVICE

A record including in respect of each persons working for the local authority—

     1. Full name.

     2. Sex.

     3. Date of birth.

     4. Home address.

     5. Criminal Records Bureau checks (where appropriate), to be updated every three years and satisfactory.

     6. Written references and confirmation of them having been checked by phone.

     7. A full employment history, together with a satisfactory written explanation of any gaps in employment,

     8. Qualifications relevant to, and experience of work involving children.

     9. The dates on which he or she commences and ceases to be so employed.

     10. Whether he or she is employed by the local authority under a contract of service or a contract for services, or is employed by someone other than the authority.

     11. His or her job description and whether he or she works full-time or part-time and the number of hours for which he or she is employed by or contracted to work for, the authority's adoption service each week.

     12. Training undertaken by him or her, supervision, appraisal, disciplinary action (if any) taken against him or her and the outcome of that action, records of complaints (if any) made against or concerning him or her and the outcome of that complaint and any other records in relation to his or her employment.

SCHEDULE 5regulation 26(1)

NOTIFIABLE EVENTS

Column 1	Column 2
Event:	To be notified to:
	Appropriate office of the National Assembly	Local authority for the area in which the child is placed for adoption
Death of a child placed with prospective adopters where an adoption order has yet to be made	Yes	Yes
Referral to the Secretary of State pursuant to section 2(1)(a) of the Protection of Children Act 1999 of an individual working for a adoption service	Yes

EXPLANATORY NOTE

(This note is not part of the Regulations)

These Regulations are made under the Adoption and Children Act 2002 ("the 2002 Act") and the Care Standards Act 2000 ("the 2000 Act") and apply to Welsh local authorities. They replace the Local Authority Adoption Service (Wales) Regulations 2005. They provide a regulatory framework for local authority adoption services. Chapter 6 of the Health and Social Care (Community Health and Standards) Act 2003 provides for the inspection of local authority services by the National Assembly for Wales ("the National Assembly").

Regulations 3 and 4 require that each local authority providing an adoption service must have a statement of purpose setting out the aims and objectives of the service and a children's guide. The service must be carried on in a manner which is consistent with the statement of purpose.

Part 2 makes provision about the persons managing the service, and requires satisfactory information to be available in relation to the matters prescribed in Schedule 3.

Part 3 makes provision about the conduct of the service, staffing and fitness of workers, the suitability of the premises, complaints and record keeping, and for reviewing the quality of service.

Notes:

[1] 2002 c.38 back

[2] 2000 c.14 back

[3] S.I. 2005/1313 (W.95)back

[4] S.I. 2005/1512 (W.116)back

[5] 2000c.14 back

[6] 2002 c.38 back

[7] O.S. 2005/1512 (Cy.116)back

[8] 1971 c.80 back

[9] 2005/3115 (W.235)back

[10] 2005/1514 (W.118).back

[11] 1998 c.38.back

[12] S.I. 2005/ 3365 (W. 262).back

[13] S.I.2005/ 3366 (W.263).back

[14] 2003 (c.43).back

Cymraeg (Welsh)

ISBN 978 0 11 091582 1

Prepared 22 May 2007

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URL: http://www.bailii.org/wales/legis/num_reg/2007/20071357e.html

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	Statutory Instruments made by the National Assembly for Wales
You are here: BAILII >> Databases >> Statutory Instruments made by the National Assembly for Wales >> The Local Authority Adoption Service (Wales) Regulations 2007 No. 1357 (W.128) URL: http://www.bailii.org/wales/legis/num_reg/2007/20071357e.html