4325. Electronic Legally-Free Case Files and Pre-Adoption Disclosure (PAD) Folders

Original Date: September 30, 2017

Revised Date:  July 1, 2023

Sunset Review Date: July 31, 2027

Approved by:  Frank Ordway, Chief of Staff

Purpose

The purpose of this policy is to provide direction on:

  • Creating and managing legally-free case files in FamLink.
  • Transferring legally-free cases.
  • Creating pre-adoption disclosure (PAD) folders.
  • Adoption pre-finalization checks.

Scope

This policy applies to Department of Children, Youth, and Families employees.

Laws

RCW 13.34.200  Order terminating parent and child relationship-Rights of parties when granted

RCW 13.34.210  Order terminating parent and child relationship-Custody where no one has parental rights

Chapter 26.33 RCW  Adoption

Chapter 70.02 RCW  Medical records health care information access and disclosure

Policy

  1. Supervisors or designees must deactivate children’s or youth’s cases from their FamLink family case within seven calendar days of becoming legally-free.
  2. Electronic file specialists (EFSs) must create PAD folders for each legally-free child or youth within 30 calendar days of the complete file being imaged to FamLink.
  3. Child and Family Welfare Services (CFWS) caseworkers must use the date the relinquishment or termination of parental rights (TPR) orders are entered in court to create children’s or youth’s legally-free case in FamLink.
  4. Adoption caseworkers must:
    1. Follow the Pre-Adoption Services and Adoption Finalization policy when:
      1. Adding new PAD records into the PAD folder until the children or youth are adopted.
      2. Providing newly redacted information to the prospective adoptive parents.
      3. Archiving adoption records.
    2. Complete the adoption pre-finalization check.

Procedures

  1. Creating FamLink Legally-Free Case Files and PAD Folder
    1. CFWS caseworkers must complete or verify the following has been completed within seven calendar days of relinquishment or TPR hearings:
      1. Set aside hard-file copies of the child’s or youth’s:
        1. Birth certificate, per the Pre-Adoption Services and Adoption Finalization policy.
        2. Original photos and keepsakes.
        3. Social security card, if available, per the Pre-Adoption Services and Adoption Finalization policy.
        4. Passport, if available.
        5. Other important hard-file records.
      2. Rubber-band all family case file volumes and number each volume in chronological order.
      3. Send family case file volumes, including all records related to the child or youth becoming legally-free and their parents, to the Records Imaging Unit (RIU).
      4. For family cases that will remain open after relinquishments or TPR hearings, create a new volume using the hearing date as the new volume start date, per the DCYF Administrative 13.06 Records Management and Retention policy.
      5. Document in the family case File Location tab in FamLink the:
        1. Number of volumes.
        2. Date the family case file volumes were sent to the ASD RIU.
        3. New volume number and date created for family cases remaining open after the relinquishment or TPR.
      6. Verify legally-free cases have been created in FamLink.
      7. Participate in case transfer staffings with supervisor, newly assigned adoption caseworker, and adoption supervisor, if applicable, and provide the hard-file copies identified in Procedure Section 1.a.i. to the adoption caseworker.
    2. Adoption supervisors or designees must email the following within seven calendar days of relinquishments or TPR hearings:
      1. Deactivate the child or youth from their parent’s case to launch the legally-free case using the Create Legally-Free Case Quick Help Guide document.
      2. Email the following to the ASD PDU to initiate PAD folders:
        1. Title subject line as “New Legally-Free Case”.
        2. Parent’s or guardian’s:
          1. Name.
          2. Case number.
        3. Child’s or youth’s:
          1. Name.
          2. Legally-free case number.
          3. Date they became legally-free.
          4. Region where they became legally-free.
        4. Whether the child or youth is in their identified permanent placement.
        5. Date of the next review hearing.
        6. Adoption caseworker’s name and official duty station.
    3. The PDU must complete the following after receiving the PAD folder information from adoption supervisors or designees:
      1. Document the information received in the appropriate DCYF electronic database.
      2. Assign EFS supervisor to the case.
    4. The EFS supervisor must assign the case to an ASD EFS.
    5. EFSs must complete the following after receiving case assignments and PAD folder information:  
      1. Track case volumes arriving to the EFS Unit.
      2. Add the required information to the FamLink legally-free case file by uploading the:
        1. Information identified on the Legally-Free File, Pre-Adoption Disclosure and Redaction document.
        2. Files related to the child or youth in the parent FamLink file upload, that did not copy or batch to the FamLink legally-free case file. This includes all hard-file volumes scanned by the RIU that contain information from the point DCYF became involved with the child or youth and family.
      3. Create:
        1. A clean copy of the Family Genetic and Medical History DCYF 13-041 form for the child or youth that includes any information that was not included on any prior Family Genetic and Medical History DCYF 13-041 forms completed by prior caseworkers.
        2. The PAD folder by:
          1. Copying the identified information on the Legally-Free File, Pre-Adoption Disclosure and Redaction document for each legally-free child or youth from the FamLink legally-free case.
          2. Including additional information that is not required for disclosure, but that is useful for adoption caseworkers, e.g., paternity orders, law enforcement reports, licensing investigations, or parent volumes with information for child’s or youth’s siblings.
      4. Save PAD folders in the CA Redaction share drive folder, per the DCYF Administrative 13.06 Records Management and Retention policy.
      5. Email adoption caseworkers immediately to notify them:
        1. The FamLink legally-free case files and PAD folders are completed.
        2. Of any missing information from the FamLink legally-free case file or PAD folder, e.g., birth records, educational or medical records, or court orders.
        3. Of additional information that was added to the PAD folder that is not required for disclosure by following the Legally-Free File, Pre-Adoption Disclosure and Redaction document.  
    6. Adoption caseworkers must complete the following when they receive an email from the EFS notifying them PAD folders are complete:
      1. Verify the following documents are included in the FamLink legally-free case and the PAD folder:
        1. The child’s or youth’s social security number (SSN), when available. SSNs are not required to complete an adoption.
        2. Relative search and ICW inquiries, if applicable. If the relative search or ICW inquiries were not completed email the Relative Search Unit.
        3. All birth parents’ or guardians’ assessments and evaluations.
        4. The completed Family Genetic and Medical History DCYF 13-041 form that includes:
          1. Inheritable medical or psychological conditions of the birth family and siblings.
          2. Youth’s signature when they are 13 years or older.
      2. Make reasonable efforts, that include at least two attempts, to locate records not already in the child’s or youth’s FamLink legally-free case file:
        1. For all known:
          1. Education.
          2. Family and social background history of the child or youth and birth family.
          3. Medical, e.g., contacting Coordinated Care or Fostering Well-Being Unit.
          4. Mental health.
        2. Reasonable efforts may include the following when applicable:
          1. Conducting interviews with children or youth, birth parents or guardians, and other known relatives.
          2. Contacting physicians, treatment agencies, schools, and other sources from whom the child or youth and birth parents or guardians received professional examinations, evaluations, or treatment.
          3. Contacting tribal representatives if ICWA applies.
      3. Document reasonable efforts, that includes at least two attempts, to locate missing records in a FamLink case note, if applicable. 
      4. Upload any newly located records to the FamLink legally-free case file.
      5. Redact identifying information in PAD folders, per the Adoption Disclosure Redaction Instructions using the Adoption Redaction Request DCYF 15-425 form.
    7. Adoption caseworkers must follow the Pre-Adoption Services and Adoption Finalization policy when releasing the information in PAD folders to the prospective adoptive families.
  2. Adoption Pre-Finalization Process
    1. Adoption caseworkers must begin working from the FamLink legally-free case file within 14 calendar days of the date the relinquishment or TPR orders are entered into court and complete the following:
      1. Follow the procedures in the Electronic File Guide for Workers.
      2. Copy additional required information into the legally-free PAD folder.
      3. Email the EFS supervisor to request the creation of a PAD folder for legally-free cases created prior to electronic files.
      4. Maintain the adoption redaction records in the CA Redaction share drive with the information that must be either:
        1. Uploaded or scanned to FamLink legally-free case files.
        2. Copied to the PAD folders.
      5. Send hard-file records that were not part of the original records sent in Procedures Section 1. d. to the RIU using ApplicationXtender (AX) Adoptive Case File Barcode Sheet or upload the information to the FamLink legally-free case file combining similar records in the appropriate categories, including, but not limited to:
        1. Correspondence
        2. Educational records
        3. Intake records
        4. Legal records
        5. Medical records
        6. Mental health records
      6. Email the adoption support packet to the adoption support program consultants with the EFS supervisor in “cc” to initiate the pre-finalization check, per the Pre-Adoption Services and Adoption Finalization policy.
    2. The EFS supervisor must:
      1. Review requests from the adoption caseworkers for the pre-finalization check.
      2. Assign requests to an EFS.
    3. EFSs must complete the following for the pre-finalization check when assigned by:
      1. Identifying new information or intakes involving the legally-free child or youth that have been uploaded to the parent file since the creation of the FamLink legally-free case file, per the EFS Guide.
      2. Uploading new information that pertains to the legally-free child or youth in the FamLink legally-free case file.
      3. Notifying adoption caseworkers of any new uploaded information to the FamLink legally-free case file and attaching those records to the email.
    4. Adoption caseworkers must:
      1. Review the pre-finalization check emails from the EFS Unit when received to determine if the uploaded information needs to be copied to the PAD folder.
      2. Verify all documents have been disclosed using the Legally-Free File, Pre-Adoption Disclosure and Redaction document to the prospective adoptive family. If there are documents that need to be disclosed, follow the Pre-Adoption Services and Adoption Finalization policy each time that new redacted information is provided to the prospective adoptive family.
      3. Delete the records after the adoption has been finalized from the temporary child or youth specific PAD after confirming the information has been uploaded and copied into the child’s or youth’s FamLink legally-free file.

Forms

Adoption Redaction Request DCYF 15-425

Family Genetic and Medical History DCYF 13-041

Post Placement Report DCYF 09-107 (located in the Forms repository on the DCYF intranet)

Resources

AX Barcode Sheets (located on the Adoption SharePoint)

Case Transfer policy

Create Legally-Free Case Quick Help Guide document (located on the CA intranet, Computer Help, FamLink Knowledge Web, Training, and Supervisory Quick Help Guides)

DCYF Administrative 13.06 Records Management and Retention policy

EFS Guide (located on the Adoptions SharePoint, under EFS Help Documents in the EFS Folder)

Electronic File Guide for Workers (located on the Adoption SharePoint, under EFS Help Documents, under Field Staff)

Extended Foster Care (EFC) Program policy

Legally-Free File, Pre-Adoption Disclosure and Redaction document (located on the Intranet, under CFWS, under Permanency)

LF Document Tracking List Spreadsheet (located on the Adoptions SharePoint)

Pre-Adoption Services and Adoption Finalization

Termination of Parental Rights (TPR) policy