R501-7-11. Administrative Documentation

  (1) Provisions of this section do not apply to the Division of Child and Family Services as they governed by their own rules, statutes, and documentation requirements that are more restrictive and extensive than those outlined here, including 78A-6-306 Shelter Hearing, 307 Placement, 310 Adjudication hearing, 312 Reunification services, 314 Permanency hearing and 316 Termination of parental rights.

  (2) Adoptive Parent(s) Files shall cross-reference all related files and shall contain:

  (a) signed and dated application for service including agency disclosure of religion and marital status polices on the application;

  (b) signed and dated adoptive parent(s) adoptive orientation form as required and provided by DHS Office of Licensing;

  (c) proof that the content of the pre-existing parent(s) adoption orientation form was provided to adoptive parent(s);

  (d) proof of compliance with 62A-4a-607 regarding the availability of children in state custody for adoption;

  (e) itemized written fee disclosure statement as described in Section R501-7-6 signed and dated by prospective adoptive parent(s) and agency representative prior to entering any agreements as outlined in;

  (f) proof of identification or documented due diligence to determine identity;

  (g) copies of marriage certificates, divorce papers, custody and visitation orders, proof of US citizenship;

  (h) proof that all allowable child/pre-existing parent(s) information was shared with adoptive parent(s);

  (i) voluntary consent agreement acknowledging conflict of interests per R501-7-4 (A);

  (j) documentation and itemization of all reasonable and actual adoption-related expenses that exceed $25.00 charged to the adoptive parent(s) as outlined in R501-7-6 to include:

  (i) written agreement and justification for any expenses charged to the prospective adoptive parent(s) outside the fee disclosure statement;

  (ii) affidavit signed by adoptive parent(s) and agency representative outlining itemized actual expenditures made on behalf of the pre-existing parent(s) as outlined in fees disclosures section R501-7-6;

  (k) record of all payments received and disbursements made;

  (l) home study/pre placement evaluation as outlined in R501-7-9 and 78B-6-128;

  (i) and including a child abuse registry report obtained from all applicable child welfare agencies per R501-7-9(3)(c)(i);

  (m) case notes describing all services provided;

  (n) physician report for each prospective adoptive parent;

  (o) background clearances for prospective adoptive parent(s) and all adults over age 18 residing in the home;

  (p) proof of ability to provide health care for an adopted child;

  (q) 4 letters of reference;

  (r) documentation of all requests for information or sharing of information to include:

  (i) post adopt information exchange with pre-existing parent(s); and

  (ii) post adopt contact terms with pre-existing parent(s);

  (s) transition plan for child transition to adoptive placement;

  (t) written consent to legal risk placement if applicable;

  (u) documentation of the initial agency contact with the adoptive family within 2 weeks of placement;

  (v) documentation of one in-home face-to-face supervisory visit prior to finalization post two week visit;

  (w) original or certified copy of the order of adoption;

  (x) referral to Mutual Consent Registry;

  (y) signed declaration of each potential birth father to be filed with the court per 78B-6-110.5; and

  (z) any other documentation required in order to show compliance with this Rule.

  (3) Pre-existing parent(s) files shall cross reference all related files and shall contain:

  (a) signed and dated application for service to include declaration of birth mother's husband or any alleged father's relationship to the child in accordance with 78B-6-110.5;

  (b) proof of identification or documented due diligence to determine identity;

  (c) signed and dated pre-existing parent(s) adoptive orientation form as required and provided by DHS Office of Licensing;

  (d) declaration, certificate or written statement of putative registry search and disclosure of search results from each state identified by the birth mother in compliance with 78B-6-110.5 Sections 1 and 2; and any communications with potential birth fathers;

  (e) documentation of any requests for information or sharing of information;

  (f) genetic and social history, and health history;

  (g) case notes describing services provided including pre relinquishment counseling;

  (h) original or certified copies of relinquishment transfer or decree of termination of birth mother and birth father rights per 78B-6-125 (or the state governing relinquishment);

  (i) proof that non-identifying information was provided re: the adoptive parent(s);

  (j) proof of compliance with 78B-6-143 and 78B-6-144;

  (k) copies of marriage certificates, divorce papers, custody and visitation orders, if any;

  (l) certified copies of death certificates, if any, of pre-existing parent(s);

  (m) pre-existing parent(s) written agreements or refusals of:

  (i) waiver of confidentiality;

  (ii) authorization of release of information;

  (iii) future third party searcher;

  (iv) post adopt information exchange with adoptive parent(s);

  (v) post adopt contact terms;

  (n) verification that all itemized goods and services billed to the adoptive parent(s) were actually provided to and signed upon receipt to the pre-existing parent(s);

  (o) documentation of other alternative payment sources, including public assistance;

  (p) referral to Mutual Consent Registry; and

  (q) any other documentation required in order to show compliance with this rule.

  (4) Child Files shall cross reference all related files and shall contain:

  (a) needs assessments, evaluations, family background study of current and historical physical, psychological, genetic and developmental health information as required in R501-7-8 A and B;

  (b) individualized assessment determining which adoptive family was selected and why as a means to meet all of the identified wishes and needs of all involved;

  (c) case notes describing all services provided and referred;

  (d) copies of any DHS licenses for children placed in outside agency foster care;

  (e) transition plan for child to adoptive placement; and

  (f) any other documentation required in order to show compliance with this rule.

  (5) File maintenance.

  (a) In the event that any records required in this Rule are not obtained, the child placing adoption agency shall provide documentation of its efforts to obtain those records.

  (b) All case files shall be retained for a minimum of 100 years from the date the case is closed.

  (c) If not continuing to operate and incapable of maintaining their own files for 100 years, the agency shall notify the Office of Licensing and post publicly where the records shall be stored;

  (i) it is permissible for a closed child placing adoption agency to transfer closed adoptive files to another licensed child placing for maintenance as long as the chain of control is clear and transparent to the Office and prior clients and there is good reason to believe that the files will be maintained according to law.

  (ii) the agency has a written plan involving a secondary entity for contact and file maintenance in the event that the agency changes ownership or ceases to provide child placement adoption services, and notify the Office of Licensing and each client where the records shall be stored; and

  (iii) enable record retrieval by individuals with a right to access them.

  (d) All adoption records shall be confidential and shall be maintained in a secure location when not in active use;

  (i) adoption records shall be accessible only by authorized agency employees or agents;

  (ii) no information shall be shared with any person without the appropriate consent forms, except as required by law.

  (e) Records regarding the adoptive parents, with the exception of reference letters, are not sealed and information in adoption files can be provided to adoptive parent(s) upon request.

  (f) A child placing adoption agency shall maintain and provide accurate annual statistics describing the number of applications received the number of children, pre-existing parent(s), and adoptive parent(s) served, and the number of adoptions and disruptions, and the number of children in agency custody.