2005 No. 3115 (W.235)
SOCIAL CARE, WALES
CHILDREN AND YOUNG PERSONS, WALES
The Local Authority Adoption Service (Wales) Regulations 2005
Made 8 November 2005
Coming into force 30 December 2005

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 and sections 50 and 118(1) and (5) to (7) of the Care Standards Act 2000 hereby makes the following Regulations:—
2002 c. 38.
2000 c. 14.

PART 1 GENERAL

1 Title, commencement and application
1 The title of these Regulations is the Local Authority Adoption Service (Wales) Regulations 2005 and they come into force on 30 December 2005.
2 These Regulations apply in relation to Wales.

2 Interpretation
1 In these Regulations—
“adoption service” (“gwasanaeth mabwysiadu”) means the discharge by a local authority of relevant adoption functions within the meaning of section 43(3)(a) of the Care Standards Act 2000;
“adoption support services advisor” (“cynghorydd gwasanaethau cymorth mabwsyiadu”) means the person appointed pursuant to regulation 6 of the Adoption Support Services (Local Authorities) (Wales) Regulations 2005.
“appropriate office” (“swyddfa briodol”) means in relation to a local authority adoption service—
(a) if an office controlled by the National Assembly has been specified by it as the appropriate office in relation to that local authority, that office;
(b) in any other case, any office of the National Assembly;
“children’s guide” (“arweiniad plant”) means the written guide produced in accordance with regulation 4;
“guardian” (“gwarcheidwad”) has the meaning given to it in section 5 of the Children Act 1989;
“manager” (“rheolwr”) is to be construed in accordance with regulation 6;
“National Assembly” (“Cynulliad Cenedlaethol”) means the National Assembly for Wales;
“statement of purpose” (“datganiad o ddiben”) means the written statement compiled in accordance with regulation 3(1).
S.I. 2005/1512 (W.116).
2 In these Regulations, a reference—
(a) to a numbered regulation or Schedule is to the regulation in, or Schedule to, these Regulations bearing that number;
(b) in a regulation or Schedule to a numbered paragraph, is to the paragraph in that regulation or Schedule bearing that number;
(c) in a paragraph to a lettered or numbered sub-paragraph is to the sub-paragraph in that paragraph bearing that letter or number.
3 In these Regulations, unless the contrary intention appears, references to employing a person include—
(a) employing a person whether or not for payment;
(b) employing a person under a contract of service or a contract for services; and
(c) allowing a person to work as a volunteer;
and references to an employee or to a person being employed are to be construed accordingly.

3 Statement of purpose
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.

4 Children’s guide
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.

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

PART 2 MANAGERS

6 Appointment of manager
1 Each local authority must appoint one of its officers to manage the adoption service and must forthwith notify the National Assembly of—
(a) the name of the person appointed in accordance with this regulation; and
(b) the date on which the appointment is to take effect.
2 The authority must forthwith notify the National Assembly if the person appointed under paragraph (1) ceases to manage the adoption service.

7 Fitness of manager
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—
(i) has the qualifications, skills and experience necessary for managing the adoption service; and
(ii) is physically and mentally fit to manage the adoption service; and
(c) full and satisfactory information is available in relation to that person in respect of each of the matters specified in Schedule 3.

8 General requirements
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,
(c) 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 the manager has the experience and skills necessary to manage the adoption service.

9 Notification of offences
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—
(a) the date and place of the conviction;
(b) the offence; and
(c) the penalty imposed in respect of the offence.

PART 3 CONDUCT OF LOCAL AUTHORITY ADOPTION SERVICE

10 Arrangements for the protection of children
Each local authority must prepare and implement a written policy which—
(a) is intended to safeguard from abuse or neglect every child placed for adoption by or who may receive or is receiving adoption support services from the authority; and
(b) sets out the procedure to be followed in the event of any allegation of abuse or neglect.

11 Staffing
Each local authority must ensure that there is, 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,
a sufficient number of suitably qualified, competent and experienced persons working for the purposes of the adoption service.

12 Fitness of workers
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 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.
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.

13 Employment of staff
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.

14 Staff disciplinary procedure
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 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 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.

15 Arrangements for the absence of manager
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 28 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.

16 Records with respect to staff
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.

17 Fitness of premises
1 The local authority must not use premises for the purposes of their adoption service unless the premises 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.

18 Complaints
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.

PART 4 MISCELLANEOUS

19 Revocation of regulations
1 Subject to paragraph (2), the Local Authority Adoption Service and Miscellaneous Amendments (Wales) Regulations 2003 (“the 2003 Regulations”) are revoked.
S.I. 2003/710.
2 Paragraph (1) does not affect the amendments made to the Registration of Social Care and Independent Health Care (Wales) Regulations 2002 and to the Registration of Social Care and Independent Healthcare (Fees) (Wales) Regulations 2002 by regulations 19 and 20 of the 2003 Regulations, respectively.
S.I. 2002/919 (W.107).
S.I. 2002/921 (W.109).
Signed on behalf of the National Assembly for Wales under section 66(1) of the Government of Wales Act 1998.
1998 c. 38.
D. Elis-Thomas The Presiding Officer of the National Assembly 8 November 2005

SCHEDULE 1 INFORMATION TO BE INCLUDED IN THE STATEMENT OF PURPOSE
Regulation 3(1)
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 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.
1989 c. 41.
S.I.1990/2244.
2003(c. 43).
11 The address and telephone number of the appropriate office of the National Assembly.

SCHEDULE 2 INFORMATION TO BE INCLUDED IN THE CHILDREN'S GUIDE
Regulation 4(1)
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 him or her 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 3 INFORMATION REQUIRED IN RESPECT OF PERSONS SEEKING TO MANAGE OR WORK FOR THE PURPOSES OF THE ADOPTION SERVICE
Regulations 7(2)(c) and 12(3)(d)
1 Proof of identity including a recent photograph.
2 Either—
(a) where the position falls within section 115(3) of the Police Act 1997, an enhanced certificate issued under section 115 of that Act in respect of which less than three years have elapsed since it was issued; or
1997 c.
(b) in any other case, a criminal record certificate issued under section 113 of the Police Act 1997 in respect of which less than three years have elapsed since it was issued, including, to the extent permitted under the Police Act 1997, the matters specified in section 113(3A) or 115(6A) of that Act.
3 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 4 RECORDS TO BE KEPT IN RELATION TO EACH PERSON WORKING FOR THE PURPOSES OF THE ADOPTION SERVICE
Regulation 16(1)
A record including in respect of each person working for the local authority—
1 Full name.
2 Sex.
3 Date of birth.
4 Home address.
5 Qualifications relevant to, and experience of work involving children.
6 The dates on which he or she commences and ceases to be so employed.
7 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.
8 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.
9 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.

(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 and Miscellaneous Amendments (Wales) Regulations 2003. They provide a regulatory framework for local authority adoption services. Part III of the 2000 Act provides for the inspection of local authority services by the National Assembly.
Regulations 3 and 4 provide that each local authority who provides 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 and about complaints and record keeping.