sample case study for adoption

Fostering and Adoption

Case Studies

Toby Sereta, Tia and Paulo Dillon Rosie

Use with topics: 2 – 16

Toby is a three-year-old boy of dual heritage who was recently made subject of a placement order and care plan for adoption. When she gave birth to him, his mother Leann was 14 years old and accommodated. Leann was supported by mother and baby foster carers Ted and Bev. Toby’s paternity is not known (two DNA tests of potential fathers did not reveal an ID).

Leann walked out of the placement after two years and abandoned Toby. This prompted the care proceedings, which Leann contested. Toby remained with Ted and Bev and contact continued in placement once a week without incident or distress for Toby. Ted and Bev support adoption and have moved other children on to adoptive families. Prospective adopters – a same-sex couple called Will and Tom, who reflect Toby’s cultural heritage – have been matched at Panel.

Discussion points

How will the child’s social worker, the adoption social worker and the supervising social worker work together to support everyone in achieving the best transition for Toby?

Considering the following in your discussions:

• preparing Toby
• any meeting between Leann, Will and Tom
• the last direct contact between Leann and Toby
• supporting Ted and Bev, who have looked after Toby since birth (Bev was present at the birth)
• supporting Will and Tom
• managing introduction planning, review and placement for adoption
• contact after placement for adoption.

NB Leann has her own social worker from the leaving care service

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Sereta, Tia and Paulo

Sereta is seven years old and Tia and Paulo are eight-year-old twins. They are black Caribbean from Netherlands Antilles who came to the UK from Netherlands, Europe, where they were born. The children moved to the UK five years ago to join maternal family.

They speak English fluently and understand Dutch as a second language.

They also have an older sister who is still in the Netherlands and three cousins in long-term foster care following proceedings several years ago. The cousins are in a placement together in the same locality to Sereta, Tia and Paulo. Sereta, Tia and Paulo came into care following chronic neglect and a trigger incident involving the police who found them late one evening in the family home with their mother, aunt, uncle and others, when all the adults were drunk and brawling. Care orders and plans for long-term fostering have been decided following care proceedings in the Family Drug and Alcohol Court. The guardian supported this plan based on the children remaining in their current foster placement, where they receive a high standard of care and the carers have developed a strong bond. The children were placed with relatively new foster carers, Tim and Annie (white carers) who wish to keep the children long term, although formal matching has not taken place.

The carers have a supportive attitude to contact, although this stops short of facilitating contact at the placement or being directly involved in any supervision. The children remain in the locality of the family home and attend the same school. The children wish to stay in their current placement as they cannot return to their mother, which was their first choice. All the children were  developmentally delayed but have responded positively to routines and boundaries. Tia’s behaviour is sexualised – rubbing her genitals in public and two incidents of touching the male carer on the buttocks. She also makes comments about seeing her aunt have sex. She sleeps poorly and present most worries for the carers.

• How can the children’s social worker and supervising social worker work together to achieve long-term stability for these children? Bear in mind that their mother is developing major health issues due to alcoholism.
• To what extent, and how, will the children’s cultural heritage be promoted?
• How can the children’s sense of belonging and connection with their birth relatives be considered and promoted where appropriate?
• Where might professionals differ in their opinions – and how can these differences of opinion be explored constructively? How can the support needs of Tim and Annie be explored and met?

Rosie is a 13-year-old girl of white British heritage recently accommodated under s.20 from her maternal grandmother, Lena, with whom she has lived since she was a baby and who has a residence order. Rosie is placed with Andrea, a single parent foster carer. Rosie has three older maternal half-siblings who live with paternal grandparents (with minimal contact) and an 18-month-old baby half-brother remaining with Lena and also placed in her care.

Rosie’s behaviour has recently become out of control. She has been running away and has been picked up by the police in the early hours of the morning. Rosie has been making contact with unknown males on the internet and her text messaging suggests she is vulnerable to sexual exploitation. Lena and the wider family are worried she is heading in the same direction as her mother, who has a history of sex working and substance misuse and has apparently been going to Rosie’s school and having contact without agreement.

The care plan is to offer family therapy with a view to rehabilitation. Lena is very upset by these recent events and is attending all meetings and wants to work with professionals.

How can the child’s social worker and supervising social worker work together – and with Lena – to support Andrea in keeping Rosie safe and setting and maintaining boundaries around contact and behaviour generally? What specific emotional support needs might Lena have? How can these be explored sensitively?

Dillon is a nine-year-old black child of Caribbean Jamaican heritage. He is on a care order and placed and matched in long-term foster care, since the original care plan of adoption could not be achieved with no family identified and the placement order discharged.

Dillon has a range of disabilities including global developmental delay, a shunt in his head to prevent fluid on the brain building up, and other medical complications following burns from a house fire. Dillon remains with long-term foster carers Brian and Jennifer where he was initially placed five years earlier. They are a white couple in their 60s who are committed to him but do not want to adopt or seek a special guardianship order.

Dillon’s mother Natasha disappeared after the care proceedings but has recently been located by Dillon’s new social worker. She lives in a neighbouring borough with her two-year-old daughter. Natasha was surprised to hear that Dillon was not adopted and pleased he was with the same foster carers. Dillon remembers his mother and would like to see her. Brian and Jennifer are very worried that this will upset and disturb Dillon.

How can the social worker and supervising social worker work together to facilitate positive reunion contact? What specific support needs might Brian and Jennifer have? How can these be met?

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A case of a four-year-old child adopted at eight months with unusual mood patterns and significant polypharmacy

• Magdalena Romanowicz   ORCID: orcid.org/0000-0002-4916-0625 1 ,
• Alastair J. McKean 1 &
• Jennifer Vande Voort 1  

BMC Psychiatry volume  17 , Article number:  330 ( 2017 ) Cite this article

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Long-term effects of neglect in early life are still widely unknown. Diversity of outcomes can be explained by differences in genetic risk, epigenetics, prenatal factors, exposure to stress and/or substances, and parent-child interactions. Very common sub-threshold presentations of children with history of early trauma are challenging not only to diagnose but also in treatment.

Case presentation

A Caucasian 4-year-old, adopted at 8 months, male patient with early history of neglect presented to pediatrician with symptoms of behavioral dyscontrol, emotional dysregulation, anxiety, hyperactivity and inattention, obsessions with food, and attachment issues. He was subsequently seen by two different child psychiatrists. Pharmacotherapy treatment attempted included guanfacine, fluoxetine and amphetamine salts as well as quetiapine, aripiprazole and thioridazine without much improvement. Risperidone initiated by primary care seemed to help with his symptoms of dyscontrol initially but later the dose had to be escalated to 6 mg total for the same result. After an episode of significant aggression, the patient was admitted to inpatient child psychiatric unit for stabilization and taper of the medicine.

Conclusions

The case illustrates difficulties in management of children with early history of neglect. A particular danger in this patient population is polypharmacy, which is often used to manage transdiagnostic symptoms that significantly impacts functioning with long term consequences.

Peer Review reports

There is a paucity of studies that address long-term effects of deprivation, trauma and neglect in early life, with what little data is available coming from institutionalized children [ 1 ]. Rutter [ 2 ], who studied formerly-institutionalized Romanian children adopted into UK families, found that this group exhibited prominent attachment disturbances, attention-deficit/hyperactivity disorder (ADHD), quasi-autistic features and cognitive delays. Interestingly, no other increases in psychopathology were noted [ 2 ].

Even more challenging to properly diagnose and treat are so called sub-threshold presentations of children with histories of early trauma [ 3 ]. Pincus, McQueen, & Elinson [ 4 ] described a group of children who presented with a combination of co-morbid symptoms of various diagnoses such as conduct disorder, ADHD, post-traumatic stress disorder (PTSD), depression and anxiety. As per Shankman et al. [ 5 ], these patients may escalate to fulfill the criteria for these disorders. The lack of proper diagnosis imposes significant challenges in terms of management [ 3 ].

J is a 4-year-old adopted Caucasian male who at the age of 2 years and 4 months was brought by his adoptive mother to primary care with symptoms of behavioral dyscontrol, emotional dysregulation, anxiety, hyperactivity and inattention, obsessions with food, and attachment issues. J was given diagnoses of reactive attachment disorder (RAD) and ADHD. No medications were recommended at that time and a referral was made for behavioral therapy.

She subsequently took him to two different child psychiatrists who diagnosed disruptive mood dysregulation disorder (DMDD), PTSD, anxiety and a mood disorder. To help with mood and inattention symptoms, guanfacine, fluoxetine, methylphenidate and amphetamine salts were all prescribed without significant improvement. Later quetiapine, aripiprazole and thioridazine were tried consecutively without behavioral improvement (please see Table  1 for details).

No significant drug/substance interactions were noted (Table 1 ). There were no concerns regarding adherence and serum drug concentrations were not ordered. On review of patient’s history of medication trials guanfacine and methylphenidate seemed to have no effect on J’s hyperactive and impulsive behavior as well as his lack of focus. Amphetamine salts that were initiated during hospitalization were stopped by the patient’s mother due to significant increase in aggressive behaviors and irritability. Aripiprazole was tried for a brief period of time and seemed to have no effect. Quetiapine was initially helpful at 150 mg (50 mg three times a day), unfortunately its effects wore off quickly and increase in dose to 300 mg (100 mg three times a day) did not seem to make a difference. Fluoxetine that was tried for anxiety did not seem to improve the behaviors and was stopped after less than a month on mother’s request.

J’s condition continued to deteriorate and his primary care provider started risperidone. While initially helpful, escalating doses were required until he was on 6 mg daily. In spite of this treatment, J attempted to stab a girl at preschool with scissors necessitating emergent evaluation, whereupon he was admitted to inpatient care for safety and observation. Risperidone was discontinued and J was referred to outpatient psychiatry for continuing medical monitoring and therapy.

Little is known about J’s early history. There is suspicion that his mother was neglectful with feeding and frequently left him crying, unattended or with strangers. He was taken away from his mother’s care at 7 months due to neglect and placed with his aunt. After 1 month, his aunt declined to collect him from daycare, deciding she was unable to manage him. The owner of the daycare called Child Services and offered to care for J, eventually becoming his present adoptive parent.

J was a very needy baby who would wake screaming and was hard to console. More recently he wakes in the mornings anxious and agitated. He is often indiscriminate and inappropriate interpersonally, unable to play with other children. When in significant distress he regresses, and behaves as a cat, meowing and scratching the floor. Though J bonded with his adoptive mother well and was able to express affection towards her, his affection is frequently indiscriminate and he rarely shows any signs of separation anxiety.

At the age of 2 years and 8 months there was a suspicion for speech delay and J was evaluated by a speech pathologist who concluded that J was exhibiting speech and language skills that were solidly in the average range for age, with developmental speech errors that should be monitored over time. They did not think that issues with communication contributed significantly to his behavioral difficulties. Assessment of intellectual functioning was performed at the age of 2 years and 5 months by a special education teacher. Based on Bailey Infant and Toddler Development Scale, fine and gross motor, cognitive and social communication were all within normal range.

J’s adoptive mother and in-home therapist expressed significant concerns in regards to his appetite. She reports that J’s biological father would come and visit him infrequently, but always with food and sweets. J often eats to the point of throwing up and there have been occasions where he has eaten his own vomit and dog feces. Mother noticed there is an association between his mood and eating behaviors. J’s episodes of insatiable and indiscriminate hunger frequently co-occur with increased energy, diminished need for sleep, and increased speech. This typically lasts a few days to a week and is followed by a period of reduced appetite, low energy, hypersomnia, tearfulness, sadness, rocking behavior and slurred speech. Those episodes last for one to 3 days. Additionally, there are times when his symptomatology seems to be more manageable with fewer outbursts and less difficulty regarding food behaviors.

J’s family history is poorly understood, with his biological mother having a personality disorder and ADHD, and a biological father with substance abuse. Both maternally and paternally there is concern for bipolar disorder.

J has a clear history of disrupted attachment. He is somewhat indiscriminate in his relationship to strangers and struggles with impulsivity, aggression, sleep and feeding issues. In addition to early life neglect and possible trauma, J has a strong family history of psychiatric illness. His mood, anxiety and sleep issues might suggest underlying PTSD. His prominent hyperactivity could be due to trauma or related to ADHD. With his history of neglect, indiscrimination towards strangers, mood liability, attention difficulties, and heightened emotional state, the possibility of Disinhibited Social Engagement Disorder (DSED) is likely. J’s prominent mood lability, irritability and family history of bipolar disorder, are concerning for what future mood diagnosis this portends.

As evidenced above, J presents as a diagnostic conundrum suffering from a combination of transdiagnostic symptoms that broadly impact his functioning. Unfortunately, although various diagnoses such as ADHD, PTSD, Depression, DMDD or DSED may be entertained, the patient does not fall neatly into any of the categories.

This is a case report that describes a diagnostic conundrum in a young boy with prominent early life deprivation who presented with multidimensional symptoms managed with polypharmacy.

A sub-threshold presentation in this patient partially explains difficulties with diagnosis. There is no doubt that negative effects of early childhood deprivation had significant impact on developmental outcomes in this patient, but the mechanisms that could explain the associations are still widely unknown. Significant family history of mental illness also predisposes him to early challenges. The clinical picture is further complicated by the potential dynamic factors that could explain some of the patient’s behaviors. Careful examination of J’s early life history would suggest such a pattern of being able to engage with his biological caregivers, being given food, being tended to; followed by periods of neglect where he would withdraw, regress and engage in rocking as a self-soothing behavior. His adoptive mother observed that visitations with his biological father were accompanied by being given a lot of food. It is also possible that when he was under the care of his biological mother, he was either attended to with access to food or neglected, left hungry and screaming for hours.

The current healthcare model, being centered on obtaining accurate diagnosis, poses difficulties for treatment in these patients. Given the complicated transdiagnostic symptomatology, clear guidelines surrounding treatment are unavailable. To date, there have been no psychopharmacological intervention trials for attachment issues. In patients with disordered attachment, pharmacologic treatment is typically focused on co-morbid disorders, even with sub-threshold presentations, with the goal of symptom reduction [ 6 ]. A study by dosReis [ 7 ] found that psychotropic usage in community foster care patients ranged from 14% to 30%, going to 67% in therapeutic foster care and as high as 77% in group homes. Another study by Breland-Noble [ 8 ] showed that many children receive more than one psychotropic medication, with 22% using two medications from the same class.

It is important to note that our patient received four different neuroleptic medications (quetiapine, aripiprazole, risperidone and thioridazine) for disruptive behaviors and impulsivity at a very young age. Olfson et al. [ 9 ] noted that between 1999 and 2007 there has been a significant increase in the use of neuroleptics for very young children who present with difficult behaviors. A preliminary study by Ercan et al. [ 10 ] showed promising results with the use of risperidone in preschool children with behavioral dyscontrol. Review by Memarzia et al. [ 11 ] suggested that risperidone decreased behavioral problems and improved cognitive-motor functions in preschoolers. The study also raised concerns in regards to side effects from neuroleptic medications in such a vulnerable patient population. Younger children seemed to be much more susceptible to side effects in comparison to older children and adults with weight gain being the most common. Weight gain associated with risperidone was most pronounced in pre-adolescents (Safer) [ 12 ]. Quetiapine and aripiprazole were also associated with higher rates of weight gain (Correll et al.) [ 13 ].

Pharmacokinetics of medications is difficult to assess in very young children with ongoing development of the liver and the kidneys. It has been observed that psychotropic medications in children have shorter half-lives (Kearns et al.) [ 14 ], which would require use of higher doses for body weight in comparison to adults for same plasma level. Unfortunately, that in turn significantly increases the likelihood and severity of potential side effects.

There is also a question on effects of early exposure to antipsychotics on neurodevelopment. In particular in the first 3 years of life there are many changes in developing brains, such as increase in synaptic density, pruning and increase in neuronal myelination to list just a few [ 11 ]. Unfortunately at this point in time there is a significant paucity of data that would allow drawing any conclusions.

Our case report presents a preschool patient with history of adoption, early life abuse and neglect who exhibited significant behavioral challenges and was treated with various psychotropic medications with limited results. It is important to emphasize that subthreshold presentation and poor diagnostic clarity leads to dangerous and excessive medication regimens that, as evidenced above is fairly common in this patient population.

Neglect and/or abuse experienced early in life is a risk factor for mental health problems even after adoption. Differences in genetic risk, epigenetics, prenatal factors (e.g., malnutrition or poor nutrition), exposure to stress and/or substances, and parent-child interactions may explain the diversity of outcomes among these individuals, both in terms of mood and behavioral patterns [ 15 , 16 , 17 ]. Considering that these children often present with significant functional impairment and a wide variety of symptoms, further studies are needed regarding diagnosis and treatment.

Abbreviations

Attention-Deficit/Hyperactivity Disorder

Disruptive Mood Dysregulation Disorder

Disinhibited Social Engagement Disorder

Post-Traumatic Stress Disorder

Reactive Attachment disorder

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We are also grateful to patient’s legal guardian for their support in writing this manuscript.

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MR, AJM, JVV conceptualized and followed up the patient. MR, AJM, JVV did literature survey and wrote the report and took part in the scientific discussion and in finalizing the manuscript. All the authors read and approved the final document.

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Correspondence to Magdalena Romanowicz .

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Romanowicz, M., McKean, A.J. & Vande Voort, J. A case of a four-year-old child adopted at eight months with unusual mood patterns and significant polypharmacy. BMC Psychiatry 17 , 330 (2017). https://doi.org/10.1186/s12888-017-1492-y

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A Comprehensive Guide to Adoption Home Studies

As you begin your adoption journey, one of your first steps will be completing a home study. This blog post is a guide to the different types of adoption home studies. The different types are domestic infant, international, and adoption from foster care. While each type has its unique aspects, certain elements remain consistent.  

The Basics: What is a Home Study?  

All home studies prioritize the well-being and best interests of the child, ensuring they are placed in a loving and stable environment. The home study encompasses both the assessment process that prospective adoptive parents must undergo in order to be approved for adoption, as well as the resulting written report. Families will be required to participate in multiple interviews, with at least one in-home visit and safety inspection.  

The length of the finalized home study report typically ranges from 7 to 15 pages and concludes with a recommendation section. Families are given the opportunity to review the report prior to finalization. Placing agencies will also be provided a draft to ensure all requirements are met. 

The overall duration of the home study process typically spans between 3 to 6 months. The timeline is influenced by factors such as the prompt submission of required paperwork and the completion of necessary training by prospective adoptive parents.  

Paperwork:  

It is not uncommon for families to feel apprehensive about the paperwork involved in the home study process. While it may seem like a daunting task, these documents are an integral part of the home study. This includes criminal background checks, medical examinations, financial assessments, and references from both relatives and close friends. These essential documents and information are carefully compiled and incorporated into the comprehensive home study report.  

Training:  

Training plays a vital role in preparing prospective adoptive parents for the journey ahead. It equips them with the knowledge, skills, and understanding necessary to navigate the complexities of adoption and meet the needs of their future child. 

Trainings cover a wide range of topics, including attachment and bonding, trauma-informed parenting, transracial adoption, relationships with birth parents, and parenting strategies specific to adopted children. Requirements will vary depending on the program. All prospective adoptive parents can expect to take a minimum of ten hours. Training requirements must be met before the home study visit. 

Requirements and procedures that are unique to each program. 

• Domestic Infant Adoption: The training component of domestic infant adoption will focus on relationships with birth family, prenatal substance exposure, transracial adoption, talking with children about adoption, and basic childcare. The home study will include the prospective adoptive parents’ openness to various factors in adoption, including age, gender, race/ethnicity, family health history, and prenatal substance exposure.  
• Families can begin working on their profile books during this process, as well as registering with other placing agencies, if applicable. 
• International Home Study : Training for international adoption will focus on medical, emotional, and developmental issues common to children adopted internationally, grief and loss, transracial/cultural considerations, and attachment.  
• Every country has specific requirements for the content and criteria that must be included in the home study. ACI works closely with placing agencies to ensure the home study fulfills the standards of the country of adoption and USCIS. 
• Foster Care: Families seeking to adopt from the foster care system must complete PRIDE training through the Illinois Department of Children and Family Services in addition to ACI training requirements. While completing the home study process, families will also be working towards obtaining a Foster Family Home License.  

The adoption home study is a crucial step in the adoption process. Home Studies are designed to assess the readiness and suitability of prospective adoptive parents to provide a safe and loving home for a child. By better understanding the home study purpose and process, you can prepare to take this crucial first step in making adoption a reality.  

If you’re ready to start the home study process, you can read more about our services and start your application on our domestic home study programs page .

Additional Resources: 

ACI Blog: How to Prepare for an Adoption Home Study  

Teresa Bernu serves as the Associate Director at ACI, bringing with her over 13 years of experience in the child welfare field. Throughout her career, she has dealt with a wide range of cases, including domestic infant adoption, foster care, and guardianship. Prior to her current role, Teresa worked as the DCFS Post Adoption & Guardianship Liaison at the Cook County Juvenile Court, where she handled legal matters involving families who adopted through the foster care system. As supervisor of the Home Study Workers at ACI, she enjoys collaborating on cases and working with the ACI team to help bring families together through adoption.

Vivian Lawry

Case studies in adoption.

Note: Unless otherwise specified, the photographs below are for illustration purposes only and are not connected to the case studies provided. Examples and links to specific adoption agencies are provided for reference and not as an endorsement or condemnation of any particular agency.

The concept of adoption has a generally positive aura. Indeed, it’s easy to find articles like Why Adopt? 23 Reasons to Adopt a Child ( amerianadoptions.com ). But frankly my experience of adoptions via family and friends is a mixed bag. 

The good news for writers: good, bad, or unclear outcome, adoptions are fertile ground for characters and plots.

Case 1: Desire to Adopt a Stepchild

When my husband and I married, he was a widower with a three-year-old daughter. I (foolishly) thought that by that marriage, I became his daughter’s mother. Wrong! To be her legal parent, I had to adopt her. We lived in Upstate New York, and at the time a child with a living biological parent could be adopted only if the biological parent gave up his/her parental rights.  The upshot was that my hubs signed away his parental rights and then we both adopted her!

This was an incredibly successful adoption. I told my parents, my husband’s parents, AND our daughter’s maternal grandmother that any and all of our children had to be treated equally. We subsequently had two more daughters. Words like step-mother, half-sister, etc., never crossed anyone’s lips—and I don’t think crossed anyone’s mind. When her elementary school class made family trees, hers had three branches: her biological mother, her father, and me. 

Writers note: consider such a case that did not go so well.

Case 2 A, B & C: Desire to Help a Friend or Family Member Who Isn’t in a Position to Raise a Child

2A – the biological mother of two children was murdered, and neither of the fathers was known. The maternal grandmother and her husband adopted the grandchildren. Although a financial burden, no one seemed to regret the decision.

2B – the biological parents of the child were drug addicts. The paternal grandmother went to court to get custody and eventually adopted the grandson, who grew up to be an admirable and ambitious young man.

2C – the biological parents were unmarried teenagers, not financially viable, and not psychologically well balanced enough to care for a special needs child. The paternal grandmother first won custody and then adopted her. The adopted daughter struggled through special education classes, therapy, and at age eighteen, vocational training for a sheltered work environment. The child/young adult was a constant and severe stress on the paternal grandmother and her husband’s marriage.

Writers note: consider that a biological father came forward in A ; consider how the relationship between the biological parent and the grandparent might evolve in cases B & C .

Case 3 A & B: Desire to Give a Child Born in Another Country a Chance to Thrive

3A – the adoptive father had been a U.S. soldier who served in Viet Nam. He and his wife had three children (sons) but wanted to adopt a Vietnamese orphan. In the event, the Vietnamese orphans were so weak and sickly that the international agencies weren’t placing them. They suggested adopting a Korean orphan, and that is what they did. As adults, the children have good relationships. Although differing in political perspectives, the adoptive parents and daughter are emotionally close.

3B – the parents decided to adopt a child from a country where the majority of the population is of a different race, practices a different religion, and speaks a different language. The boy was four years old when he was adopted. The relationship between the parents and the child never settled into a comfortable family pattern. When he turned eighteen, the adopted child returned to the country of his birth and changed his name back to the one he’d had in the orphanage. The parents have not seen him since and have only occasional online contact.

Case 4 A & B: Desire to Choose the Child’s Gender

4A – a Caucasian couple had two sons. Wishing for a daughter, they conceived several times over the years but all of those pregnancies ended in miscarriages. They chose to adopt a mixed race (Irish and African American) baby daughter. The adoption was simply a part of the family structure. The child and her biological mother saw each other occasionally. The birth mother being known, there was quite a bit of info available about health issues, for example. The adoptive parents made a conscious effort to expose their daughter to African American culture and experiences.

Writers note: count the ways this might go awry as the adopted daughter goes through teenage rebellion, or is the only non-white face at family gatherings. What if one or both sons marry women who are more or less racist?

4B – a couple had two daughters. After eight years of repeated pregnancies and miscarriages, the wife had a medically necessary hysterectomy. The husband wanted a son “to carry on the family name.” They didn’t want to wait two years to adopt an infant and so applied to adopt a ten-year-old boy. A month younger than the elder daughter, he was in the same class in school as the younger daughter because his biological parents had never enrolled him in school. There was a “trial year” before the adoption could be finalized. It quickly became apparent that the boy shared no interests with the husband, nor his need for achievement. The wife resented the burden of a third child while her health was so fragile, and was fearful that the boy would replace the daughters in her husband’s affection.  The daughters acted to protect the boy from their mother. The boy’s attitude was “hunker down and get by,” because the home he’d been adopted into was much better than his previous situation. At the end of the year, both the couple and the boy agreed to finalize the adoption. In the meantime, the boy had been in school for a year under his birth name. When the husband asked whether the boy wanted to change his name, the boy said he didn’t care, that he wouldn’t be any more a member of the family one way than the other. His name wasn’t changed.

Writers note: what are the long-term implications???

Case 5 A & B: Due to Infertility or Other Reasons, a Parent Cannot Have a Biological Child

5A – After several years of marriage and extensive fertility treatments, a couple was unable to conceive. They decided to adopt.  The adoption wasn’t easy because of the adoptive parents’ ages. They decided to adopt a brother and a sister together, although they’d been told that the children were developmentally behind their ages. The adoptive mother was a psychologist and attributed that developmental lag to their early lives. As the children grew, the boy appeared to be average or a little below in intelligence. The girl suffered  microcephaly . The marriage failed. The children remained with the adoptive mother. As the boy developed, she couldn’t handle him and ended up paying a lot of money to enroll him in a military school. As the girl grew, she became ever more aggressive and defiant and was expelled from school. The mother tried therapy, including residential therapy. The girl was living in a residential facility and was on her way to see a psychiatrist (as she had requested), when she said she didn’t want to go to  that  hospital, jumped from the back of the van, broke her neck and died immediately. The boy married and had a child and had a relationship better than ever with the adoptive mother.

5B – the adoptive mother was a single woman who wanted a child but had no desire to give birth or to involve an unnecessary man. She adopted an infant from South America and raised the girl to be Catholic, fluent in Spanish, and knowledgeable of her native country’s history and culture, in accordance with the biological mother’s wishes. The girl grew up surrounded and supported by her adopted mother’s parents and siblings. She did well at home and in school until about halfway through high school. Then, she got involved with drugs, was in and out of abusive relationships, had three children by unknown fathers, and is now serving time while her adoptive mother has custody of the children.

Writers note: where/how might these events have developed differently?

Case 6 A & B: The Couple “Just Wants To”

These two will be treated together because they are related. The women are sisters, the twelfth and thirteenth children in the family. They were exceptionally close growing up. For unknown reasons, neither had a child and they and their husbands each adopted a son. The older sister’s adoption was a great success. The son thrived, both academically and professionally, married and had a daughter they named after his adoptive mother. The younger sister’s adopted son was a ne’er-do-well. He was sporadically employed, had many brushes with the law, driver’s license revoked, time in jail, drank heavily, tapped his mother for financial support, and in the view of the extended family, exploited her financially to her detriment. She never rejected him. And  that  was a source of tension and distance between the formerly close sisters.

Writers note: fertile ground here! Throw in Parkinson’s or some equally debilitating disease? Why not have children of their own, when all their older sisters had done so?

Adoption Process

The actual process of adoption varies widely among agencies and countries. However, there are some fairly consistent requirements:

• The adoptive parent(s) must demonstrate financial stability, a permanent home, psychological maturity, etc.
• If the adopting parents are married, there is usually a minimum amount of time they must have been married before being allowed to adopt.
• Many adoption agencies recommend not adopting a child who is older than the oldest biological child so that birth order is not disrupted.
• The youngest child in the home is often required to be at least two or three years old before the adopted child will be placed.
• Parent(s) must be at least eighteen years older than the adopted child.
• Most adoption agencies perform home visits and individual interviews with each member of the family. Some require character references from friends or employers.
• Because of the different needs of adopted children, especially older adopted children, many agencies require prospective adoptive families to attend training seminars.
• Bonding and Attachment After Adoption – Advice & Personal Stories
• Mental Health Issues with Adopted Kids
• Adopted Children and Behavioral Problems
• Child and Parent Post-Adoption Services

Summary : in my experience, adoption typically isn’t about helping a mother who (for whatever reason) must give up a child. Nor is it about giving a loving home to a child (stranger) who needs it. As a writer, consider the motives of the the adult(s) seeking to adopt. And consider all the ways those motives might be frustrated.

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Around the O

Adoption study links child behavior issues with mother’s trauma.

Mothers’ childhood experiences of trauma can predict their children’s behavior problems, even when the mothers did not raise their children, who were placed for adoption as newborns, a new University of Oregon study shows.

The research team, led by Leslie Leve , a professor in the UO College of Education and scientist with the Prevention Science Institute , found a link between birth mothers who had experienced stressful childhood events, such as abuse, neglect, violence or poverty, and their children’s behavior problems. This was true even though the children were raised by their adoptive parents and were never directly exposed to the stresses their birth mothers had experienced.

If a child’s adoptive mother also experienced stressful events as a child, then the child’s behavior issues were even more pronounced, the researchers found.      

The paper in the journal Development and Psychopathology was recently published online.

This research underscores the importance of efforts to prevent child neglect, poverty, and sexual and physical abuse, and to intervene with help and support when children experience them.

“We can’t always prevent bad things from happening to young children,” Leve said. “But we can provide behavioral health supports to individuals who have been exposed to childhood trauma or neglect to help them develop coping skills and support networks, so that difficult childhood experiences are less likely to negatively impact them — or the next generation.”

Leve is the Lorry Lokey Chair in Education and head of the counseling psychology and human services department. 

In the only study of its kind, Leve and other researchers have followed 561 adopted children, their birth parents and adoptive parents for more than a decade. Participants were recruited through 45 adoption agencies in 15 states nationwide. The researchers collected data from the birth parents when children in the study were infants and from the adoptive parents when the children were age 6-7 and again at age 11.

The researchers found when birth mothers reported more adverse childhood experiences and other life stress when they were young, their children showed less “effortful control” at age 7. Examples of “effortful control” include the child being able to wait before initiating new activities when asked and being able to easily stop an activity when told “No.”

At age 11, the children of these same mothers showed more “externalizing behavior,” such as rule-breaking and aggressive behavior.

The study also points the way for additional inquiry. For example, exactly how does stress in one generation become associated with behavior in the next generation? 

“We know from nonhuman animal studies that stress can change the expression of genes by essentially changing which genes are turned “on” or “off” when passed on to the next generation,” Leve said. “That could be a plausible pathway.”

Further, what is the effect of the environment in which the child was raised?

“Can we find something positive in the rearing environment, perhaps parents’ warmth or sensitivity, that can help offset the child’s genetic or biologic risk for impulsive or externalizing behavior?” Leve asked. That is the next question the research team is asking.

Along with Leve, the study’s authors include Veronica Oro and David DeGarmo with the UO’s Prevention Science Institute; Misaki Natsuaki with University of California, Riverside; Gordon Harold, University of Cambridge; Jenae Neiderhiser, The Pennsylvania State University; Jody Ganiban, George Washington University; and Daniel Shaw, University of Pittsburgh.

— By Sherri Buri McDonald, University Communications

This research was supported by grants from the Eunice Kennedy Shriver National Institute of Child Health & Human Development; the National Institute on Drug Abuse; National Institutes of Health Office of Behavioral and Social Sciences Research; National Institute of Mental Health; National Institute of Diabetes and Digestive and Kidney Disease; National Institute of Health’s Office of the Director; and the Andrew and Virginia Rudd Family Foundation.

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Lifelong Families Adoption Case Study

Wanda had been in foster care for seven years before coming to Casey Family Services at age 14. She had experienced a number of placements, including a residential treatment program to no avail, and needed a new approach in order to find permanency.

Enter: the Lifelong Families approach. Casey moved Wanda from a group home into a Casey foster home. The Casey social worker met with Wanda and her resource parents, the Martins, to explain her role in getting Wanda out of foster care and into a family.

Wanda, through Casey, was able to identify and bring together the important people in her life to determine the best possible outcome. This brief case study gives an overview of Wanda’s experience. Wanda's case study also reinforces the values, principle components and benefits of the model. The Lifelong Families model is intended to serve as a method of improving foster care practice within private child welfare agencies and advancing permanency outcomes for older youth with high levels of need.

Key Takeaway

A permanency team helped create a permanency plan for wanda.

Wanda’s behavior and experiences through the process brought about concerns from her foster family about adoption. Working with the permanency team, Wanda received the treatment and support she needed while the Martins were prepared to meet Wanda’s specific needs. The family still receives support to ensure the family is happy and the adoption is successful for everyone.

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Adoption Case in Philippines

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The movement of abandoned, neglected or surplus children from one family or group to another that has a perceived shortage is a phenomenon widely documented from many different historical periods and cultures. What is relatively new is the way children now cross international borders. Surplus children might be created by, for instance, a culture that does not permit unmarried women to bring up their “illegitimate” babies, as with the movement in the 1950s of children from Catholic Quebec in Canada to Jewish couples in the United States. The Korean War in the early 1950s gave rise to a generation of Korean American babies, many thousands of whom were placed for adoption overseas. A similar process followed the Vietnam War in the 1970s. China’s one-child policy has produced a “surplus” of girls, many thousands of whom have been adopted by North American, European, and Australian families. International adoption is controversial, because underlying the humanitarian motivation to give disadvantaged children a better life there are issues of international politics, commercialization, and commoditization. Adoption can be a profitable business, and there is an underworld of kidnapping and child trafficking. As adoptees reach adulthood there is also reflection on the psychological challenge of growing up in a new culture, often with an unknown personal history. Similar issues are often faced by transracial adoptees, and a section on transracial adoption has therefore been included. Internationally recognized and local legal frameworks, in particular The Hague Convention on Protection of Children and Co-operation in Respect of Intercountry Adoption (1993), represent attempts to mitigate the worst excesses of unregulated international adoptions and to ensure that the interests of the children concerned remain paramount. Such frameworks are, however, predicated on a Western notion of the individual and of the nuclear family. They do not sit well with cultural practices in which child rearing is often shared, temporary, flexible, and pragmatic. Whether due to poverty, indigenous kinship norms, or attempts to maximize a child’s opportunities, in many parts of Africa, South America, and Asia, children are frequently reared for some or all of their childhood by people other than their biological parents. When these practices are mistaken for abandonment, or when an informal foster situation is translated into permanent adoption, there is an often painful clash of cultures. Anthropological accounts have therefore been included that enable social policy research to be seen within a broader cultural context.

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1-800-HOMESTUDY

Sample domestic adoption home study report.

NAME: Smith, Jr., Anthony "Tony" Joe and Marisa Joan (Maiden Name: Johnson)

ADDRESS: 10029 Pleasant Street, Anywhere, Kansas 66210

COUNTY: Douglas

PHONE: 913-383-9804 (home)

913-492-2229 (Work, husband) San Marcus High School

913-492-2229 (Work, wife) Tandy Elementary

DATE OF MARRIAGE: April 12, 1983 (Confirmed via marriage license #345)

CHILDREN IN HOME: Trey Smith, Born: February 14, 2001

REASON FOR HOME STUDY: Mr. and Mrs. Smith contacted The Agency for the purpose of a domestic adoption of a newborn Caucasian infant.

REFERRAL INFORMATION: They were referred to our agency by the yellow pages. They had been considering adoption for several years. They tried twice through a lawyer, but both times the birth parents chose to parent the infant rather than place for adoption.

DATES OF CONTACT:

October 9, 1996 - Telephone contact

October 12, 1996 - Couple interview in their home with Tony, Marisa, and Trey present. Home Inspection Tour completed.

October 24, 1996 - Couple interview in their home and individual interviews with Tony, Marisa, and Trey.

GENERAL INTRODUCTION

Marisa and Tony requested this adoption home study to facilitate their approval to become adoptive parents. The Smiths are adopting with the assistance of The Agency. Marisa and Tony wish to adopt a child from the United States. They would prefer newborn or infant and are not gender specific. They are interested in adopting as healthy a child as possible. The Smiths understand that there are no guarantees regarding the health of the child and they are willing to take that risk. (Use the exact wording regarding describing a healthy child, do not simply list that the family wants a "healthy child" No agency can guarantee a perfectly healthy child . The initial interview for this home study was completed in the Smith home with Marisa, Tony and their son Trey present. Individual interview of children school age required. If there are children in the home of this age please write a sentence here stating that individual interviews were done with these children. The Smiths report that they have never been denied approval as an adoptive home in the past. If the family reports that they have been denied approval in the past, we need to explore and document why.

BACKGROUND INFORMATION OF ANTHONY "TONY" JOE SMITH, JR.

Anthony "Tony" Joe Smith, Jr. was born on February 12, 1960, in Fort Worth, Texas (confirmed with birth certificate). He was the first of three children for Tony Sr. and Sue Mae Smith. His father, age 65, was a successful banker, now retired. His father's success allowed his mother, age 63, to stay home and raise their children full time. He has a sister Sheila and a brother Ronnie, 29 and 25 respectively. Sheila lives with her spouse Danny Jones and their two children, Lou Ann and Andy, in Arlington, Kansas. Sheila is an employee at Bank of America. Ronnie is obtaining a degree in Music from Texas Christian University and is currently single. They are all in excellent mental and physical health.

Tony grew up in a very family oriented environment. They all regularly attended The First Baptist Church of Fort Worth, where they were actively involved in both church and community functions. Being a close knit group the entire family would attend any activity involving another member. They also took vacations together, whether it was a long weekend to go camping or a few weeks during the summer to see some part of the country. One of his favorite trips was to the Grand Canyon. As a young man he was encouraged to be involved with school clubs and sports, as a result he had many friends. All his friends were always welcome in their home to participate in the family's festivities.

Tony states that his father was the main disciplinarian in the Smith household. Discipline methods were time-outs and restriction of privileges. Tony states that his parents always made him feel secure. Tony plans on raising his children in a similar manner. He does not believe in spanking and will not use that form of discipline with his children.

As a child singing in the church choir, Tony, first realized his love for music and has gone on to have several songs published. In addition to writing music he enjoys reading and landscaping their yard. He has planted several trees and flowerbeds while maintaining a flourishing garden. He still enjoys playing sports and is involved along with Marisa in church volleyball and softball leagues. Occasionally he will play racquetball or basketball at the community center.

Tony says he grew up in a wonderful and loving environment and hopes to provide the same for his children. He is still very close to his family and they normally get together every couple of weeks to have a barbecue. He describes himself as an out-going, musically inclined, faithful, and caring man, who believes family is the most important thing in life.

EDUCATION OF TONY JOE SMITH, JR.

Tony is a graduate of Texas Christian University in Fort Worth, Texas with a degree in Music Education in 1983. He graduated with honors.

EMPLOYMENT OF TONY JOE SMITH, JR.

Tony is a music teacher for a San Marcus high school in San Marcus, Kansas. (Confirmed) He has been with this school since his college graduation in 1983. In the summer, he works as a part time salesman for Sears.

BACKGROUND OF MARISA JANE JOHNSON SMITH

Marisa Jane Smith was born Marisa Jane Johnson on May 30, 1961, in Kalamazoo, Michigan. She is 31 years old and the middle child of Lloyd and Marcia "Tillie" Coates. After 40 years as a manufacturer's representative for several machine tool companies, her 64-year-old father plans to retire next year. Besides high blood pressure that is thought to be a result of being overweight, her father is in good health. Marisa's mother is 62 years of age and also in good health. She is employed as a part time occupational therapist that plans to retire at the same time as Lloyd. Regarding siblings, Marisa has a brother and a sister, named Curtis and Cathy. Curtis is thirty-five and married to Fray. Curtis works as a computer consultant. Fray is a stay at home mother. They have three lovely daughters. JoAnn is 10. Cindy is eight. Marci is four. They live in Anywhere, Kansas. Cathy is 29 and is married to John Logan. John works as a pharmaceutical sales representative and Cathy is currently a stay-at-home mother. They have one son Benjamin who is three. They live in Long Beach, California.

While she was growing up, Marisa always felt special to her parents. Often typical to the middle child, Marisa never felt overlooked or unloved. Religion was important but not a dominant force in her upbringing. It was common for her father to frequently travel because of his job. Despite his time away, her father always seemed to find the time to take the family on an annual two-week vacation. He also arranged for them to go on numerous business trips with him over the summer. Even though Lloyd traveled and was often away from home, Marisa still felt he greatly influenced her life. Marisa's mother always made the best out of the worst situation. It was not uncommon for her mother to make Marisa and Cathy's clothes.

Marisa was involved with numerous school activities while growing up. She was active in a group called "Rainbow" girls, which put on theatrical productions in the summer. Marisa loved theater and auditioned for all school theatrical productions. It was normal for Marisa to acquire the lead roles in most productions. Beyond theater, she enjoyed singing, sewing, knitting, watching TV, and playing softball. Marisa was a very good athlete and has found sporting activities to be one where she and Tony connect.

Discipline in Marisa's home was handled in a very loving and gentle manner. Marisa states that she does recall ever being spanked. Her parents would talk to her about her behavior and together they would come up with a suitable method of discipline. Marisa feels that her parents did an excellent job of raising her and she hopes to be a similar type parent. Marisa does not believe in spanking and plans to use similar discipline techniques to what she experienced as a child.

Marisa's family was then and still is very close. She has fond memories of her childhood. Marisa does not see her brother as much as she would like, but understands his life and that three children and a career create a very busy life. Marisa is generally closer now with her sister Cathy. They usually talk at least every two weeks.

EDUCATION OF MARISA SMITH

Marisa graduated in 1984 with her bachelor's degree in elementary education from Texas Christian University in Fort Worth, Texas.

EMPLOYMENT OF MARISA SMITH

After graduating with her education degree, Marisa taught at two different elementary schools in the area. The school system moved her around, but Marisa has been employed since 1984 as a third-grade elementary teacher at Tandy Elementary in Arlington, Kansas. (Confirmed) She plans on leaving her job upon placement of a child. She plans to resume teaching once her child is old enough to start school.

MARRIAGE OF THE SMITHS

Reverend Fred Swank married the Smiths April 12, 1983, at Sagamore Hills Baptist Church, in Anywhere, Kansas. (Confirmed by marriage certificate)

Tony and Marisa met while attending Texas Christian University. After only a few dates, they decided to date exclusively. Marisa states it was "love at first sight". For Tony, the love grew greater with the passing of each day. Tony wanted his feelings for Marisa to grow, but he did not want to lose sight of completing school. After graduation, he made plans to marry Marisa, although he did not let her know.

Tony began saving money and buying furniture, so when he asked for her hand in marriage he would have a future to offer her. Tony asked Marisa to help him pick out all the furniture. At the time, Marisa wondered why Tony was so concerned about her opinion.

When he did ask Marisa to marry him, they originally decided to wait for Marisa to graduate from college. Marisa's grandfather however was terminally ill and Tony and Marisa decided to marry so he could attend their wedding. Sharing their wedding with Marisa's grandfather meant a lot to both Marisa and Tony, as they loved him dearly.

Marisa and Tony family backgrounds were very similar. Tony and Marisa share similar hobbies. When either is involved in separate activities the other is very supportive. Marisa and Tony both feel that they can discuss anything and naturally share their most intimate feelings. They feel they are "best friends".

Neither of the Smiths have previous marriages. Tony and Marisa are committed to their marriage.

MOTIVATION AND ATTITUDES TOWARD ADOPTION

Tony and Marisa have known from the beginning of their marriage that they may not be able to have biological children. Marisa suffers from fibroid tumors (benign), which prevents many women from becoming pregnant. While she was able to conceive one biological child, Trey, their doctor referred to their pregnancy as a once in a lifetime birth "miracle". Through numerous discussions, they feel certain that an adopted child would receive equal opportunities and love as their biological child. Pursuing infertility with all the physically and emotionally draining tests is not an appealing option when contrasted to that of adoption. They have attended Resolve meetings and feel they have a positive attitude of acceptance about their infertility. Their choice of adoption to expand their family has been carefully thought out and embraced by both Marisa and Tony.

Tony and Marisa would like to adopt a child from the United States They would prefer newborn or infant and are not gender specific. They are interested in adopting as healthy a child(ren) as possible. They have been communicating their personal feelings about adoption and have read books, researched on the internet, and attended lectures and workshops on adoption to help them in their decision-making.

Throughout the interviewing process Marisa and Tony spoke with enthusiasm and joy in their efforts to begin the adoption process. They are respectful of birth parents and feel they will be open in communication about adoption with their child. Family and friends are supportive of their adoption decision. They understand that adoption is a lifelong choice, and that as the years progress, they will need to continue to learn and grow with in their understanding of adoption, along with their adopted child.

ADOPTION READINESS

The Smiths have the desire to be parents. They have openly shared their interest in closing the chapter with their fertility treatments and moving toward embracing adoption. They feel they would be blessed with the most precious gift in the world if a birth mother would select them to be the new parents. They do expect there will be an exchange of emotions between themselves and the birth parents as they interact with one another. They have both stated they will actively be a part of any type of search and reunion in the years to come. Both Tony and Marisa have related to this worker the honor and respect they already carry for their future birth parent(s) and would feel more than comfortable with sharing their views on how they will tell the child he/she was adopted and what type of relationship they shared with his/her biological parents.

CHILD REARING PATTERNS/ FAMILY SUPPORT/ DISCIPLINE PLAN/ ADOPTION ISSUES

Marisa and Tony do not believe in hitting or screaming at children. Marisa and Tony feel strongly that time out, consequences and positive reinforcements as behavior modification techniques work for changing unacceptable behaviors. They would discipline an older child by implementing consequences, withdrawing privileges, and setting firm yet fair limits, appropriate to the child's age and situation. They believe in disciplining without harming self-esteem. They believe in discipline without anger. They jointly share in childrearing and discipline, and provide a united parental unit. Marisa and Tony will teach their child through example, and open and honest communication. Marisa and Tony have both signed the Agency's Discipline Statement, and agree with the intent of the policy. Their signed statement will be maintained as part of their permanent file.

HOME AND COMMUNITY

Tony, Marisa, and Trey are the only members of their household. Their home is tucked away on a quiet residential street located in the town of Anywhere, Kansas. They describe neighborhood as pleasantly supported with good neighbors and children of all ages. Their church and school are both within walking distance of their home. Their home is located within a reasonable distance to medical facilities, schools, and fire and police departments. There is a community pool and museum in the town.

Their home is two stories. The first floor contains a living room, dining room, kitchen, laundry room and half bath, and a small room that can be used as a playroom. The second floor contains three bedrooms with walk in closets and a full bath. The home is tastefully furnished and housekeeping standards are good. The Smith's home is well maintained both inside and outside and provides a safe environment for children. There are smoke detectors in all major rooms and a carbon monoxide detector on both floors of the home. The Smiths have a fire extinguisher in the kitchen. There are no firearms in the home. There is plenty of room for a growing family to flourish in this home. This worker has conducted a physical review of the home, and the checklist has been retained in their permanent file.

The Smiths own their home. They have lived at this address for the past three years. Information about their mortgage and house bills can be found in the financial section of this report.

FAMILY LIFE/EXTENDED FAMILY/OTHER SOCIAL RELATIONSHIPS

Tony and Marisa have a large extended family and a strong network of close friends. Marisa's family is very close. Marisa has three close friends from college who provide her support. They try to have a "girl's night" for dinner together at least once a month. They were a great support to her during her infertility treatments. Two of these friends also have children and their families look forward to more times when they can socialize together.

Tony is very close with his family. He states much of his stress relief comes from his love of music. He has developed a few friends at the school where he works, and also enjoys playing on the school teacher's summer league softball team with them. When he is not playing music, gardening or participating in a sporting event, Tony enjoys playing with Trey. He has become good friends with the husbands of Marisa's college friends, and they enjoy having family BBQs all together.

Tony and Marisa also have a network of close friends through their church. They attend Sagamore Hill Baptist Church as a family and will continue this practice with any children that may be added to their family. On Sundays, Tony and Marisa sing in the church choir. Marisa is very active in the Church Missions Group. Trey has a play group he attends which is organized through the church.

On weekends it is typical for Tony to make pancakes for breakfast every Sunday before church. Marisa and Tony enjoy spending time with Trey on the weekends, and Tony likes to involve Trey with the gardening projects when possible. They feel it is important to take Trey on vacations and look forward to sharing the same experiences with their new child. They often have a family movie night on Saturday nights, and that is when Trey is allowed the treat of a Disney movie at home or at the theater.

HEALTH OF THE SMITHS

Tony was examined on August 8, 2004 by Dr. David Dugger of Anywhere, KS. He was found to be in good mental and physical health and free of communicable diseases. Marisa was examined by her physician, Dr. Mary Cango of Anywhere, KS, on August 12, 2004. She was found to be in good mental and physical health and free of communicable diseases. The doctors support the Smiths application for adoption.

The Smiths have a gross combined annual income of $64,000. (Verified by 2005 IRS statements) Tony has an annual gross income of $32,000. Marisa has an annual gross income of $32,000 as well.

They have $201, 863 in assets. This consists of $9,000 in cash savings and checking accounts, $1,358 in life insurance cash value, $5,500 in stocks and bonds, $2,369 in a tax escrow fund, and $86,605 vested in a retirement plan through both of their employers. Their home is valued at $58,0000 and they have a thirty-year mortgage. The Smiths have $10,000 in equity in their home. They pay $383 a month on the mortgage and that includes insurance. Together with car payment, house payment, utilities, food, insurance, etc. they pay out approximately $895 per month. They have enough left over that they can well afford a child into their family.

HEALTH: They are covered with Blue Cross Blue Shield Major Medical through Tony's employer. (Verified) It covers the baby from time of placement. They must wait twelve months for pre-exiting conditions. A copy of their insurance information has been retained in their permanent file.

RELIGION/ ETHNIC BACKGROUND

The Smiths are active members with a strong commitment to their church, Sagamore Hill Baptist Church. Tony's family has some religious traditions, which he wishes to continue, such as the German foods his mother prepares at Christmas time. Marisa's family celebrates some Cherokee traditions, which she states are more "spiritual" than religious. When her children are older, she looks forward to sharing these Cherokee history and stories with them.

OTHER CHILDREN

The Smiths have a son, Anthony "Trey" Joe Smith, III who was born on February 14, 1989 after a very difficult pregnancy and an emergency c-section delivery. Anthony the III goes by the nick name Trey. Tony and Marisa liked the nickname, so they put it on his birth certificate so Trey could legally use that name. Trey has brown hair, brown eyes, and a small frame. He is in excellent health besides having numerous ear infections as a baby.

This worker found Trey's captivating personality coupled with his remarkable intelligence to make for a wonderful young man. The Smiths state that he listens and obeys his parents very well. He enjoys playing with his toy trucks and watching Sesame Street. He knows about his parents' adoption plan and understands it to the best of his developmental ability. The Smiths state that he is excited to welcome a baby brother or sister into the family.

This worker spent some time talking with Trey. Trey came across as a very intelligent and thoughtful child. He had good eye contact and appeared comfortable answering all questions. Trey states that he is very excited about his parents' plans to adopt a child. He is looking forward to being a big brother. Trey states that he thinks his parents are wonderful and they will be good parents to another child.

CHILD CARE PLAN

Two days a week, the Smiths send Trey to a day care called Little Hands. The other three days a week he stays with a licensed home based day care provider while the Smiths are teaching. During the summer, Trey stays at home with his mother. Once Marisa returns to teaching after taking leave from her job, they intend to continue with the same for future children.

GUARDIANSHIP PLAN

In case of untimely deaths, the Smiths select Tony's sister and brother-in-law, Sheila (29 years old) and Danny (32 years old) Jones of Arlington, Kansas to be the legal guardians of their children. They feel Sheila and Danny would be wonderful parents because they currently have two lovely children. They additionally are financially secure as Danny has a career as an attorney. Sheila and Danny are both in excellent health and have spent a great deal of time with Trey. Because of their interactions with Trey, Marisa and Tony feel that the Jones' will be great parents to their children. The Smiths understand the importance of creating a legal will and are currently in the process of making one.

INFERTILITY

The Smiths have successfully handled the infertility issue of Marisa's fibroid tumors. They endured several tests and surgical techniques in their efforts to try and correct the tumors. After unsuccessful surgeries and tests, they began visiting their local Resolve group and have remained active to date. They decided against further medical intervention as they feel their primary purpose is to parent. They feel the pursuit of further infertility testing is a waste of their time and energy. The Smiths have shared their infertility and adoption plans openly with immediate family and a few close friends.

RECORDS CHECK

According to Tony and Marisa's self report, they have no history of abuse or violence, alcoholism, drug addiction, substance abuse, domestic violence, sexual abuse, child abuse, or criminal record. These (above) questions should be asked during the individual interviews with the applicants. If there is anyone else living in the home, 18 years of age or older, they must be asked the same questions regarding criminal history etc., as the adoptive parents and they must be written into the report using the same wording as above. Different states have different ages at which the child must start being included in the clearances. A current report on file received for the Kansas Social and Rehabilitation Services on August 10, 2002 indicates "No Probable Cause or Reason to Suspect Child Abuse/Neglect Findings" on Tony or Marisa Smith. Another current report on file from the Kansas Bureau of Investigations date August 12, 2002 also indicates "No Criminal Record" for Tony and Marisa Smith. A report from the Federal Bureau of Investigation on August 15, 2002 indicated "no record" for Tony and Marisa Smith. A review of all available records show no information that would cause Tony or Marisa to be denied approval for adoption, and indicates that Tony and Marisa are citizens in good standing within their community.

No child abuse records or criminal records through State or Federal investigations have been found. The clearance dates of each applicant are as follows:

Marisa and Tony stated that they have never been denied an application for a domestic or foreign adoption due to an unfavorable home study or for any other reason nor have they been rejected as prospective adoptive parents. This is Tony and Marisa's first home study.

If Marisa and Tony are arrested or convicted of any crime after the date of this report, Marisa and Tony have agreed to notify The Agency of such reports. Marisa and Tony also understand such arrests and convictions must be reviewed by The Agency and then submitted to the court handling the adoption. Marisa and Tony understand any arrests or convictions must be explained and such actions might delay or prevent their ability to adopt. Per the date of this signed and completed home study and what is listed above, The Agency has not received any additional correspondence regarding either Marisa or Tony Smith's criminal or child abuse records.

All references have been very good and supportive of the Smiths' plans to adopt. One reference said, "I fully support Marisa and Tony's desire to become parents again through adoption". Letters were obtained from four friends and their minister. They were Ed Smith of Lubbock, Kansas; Mrs. John (Brenda) Bettinger, Arlington, Kansas; Mr. and Mrs. Gary Carver, Ft. Worth, Kansas; Mrs. Jim (Sheila) Pedigo, Fort Worth, Kansas and Rev. Sammy Jones, Fort Worth, Kansas. There were no concerns whatsoever expressed in the reference letters and all letters are in agreement that the Smiths would be excellent adoptive parents. These letters have been retained as part of our permanent file. If any of the references are contacted directly, please state that "This worker personally contacted each reference person to verify the authenticity of their reference letter".

POST PLACEMENT SERVICES

"Agency" agrees to carry out the post-placement procedures as required by the state(s) involved in the adoption. Marisa and Tony understand there are additional fees to provide post-placement services. The Smiths are aware of the importance of post-placement visits and are committed to completing the post-placement visits required by the state(s) involved in the adoption.

UNDERSTANDING ADOPTION

The Agency informs its families interested in domestic adoption about risks, delays and unknowns in domestic adoptions. Information is provided through discussion, provision of a parent preparation manual and bibliography, referral to community support groups, and information on adoption websites. Through this information, the Smiths have an understanding of general adoption issues and are aware of and accept the risks associated with domestic adoptions.

The Agency strongly advises that all families utilize the services of at least one physician in reviewing the medical information and in making their final decision on the child they wish to adopt. It is best however to seek advice from several sources to obtain a well rounded opinion.

The Smiths plan on discussing adoption with their child(ren) and will provide whatever resources necessary to support their child through difficult adoption issues. They state they realize that adoption is a lifelong process, and are committed to learning and growing in their understanding of adoption as their child grows and develops.

CONTACT WITH BIRTH PARENT (S)

The Smiths are willing to meet with the birth parent if that is their desire. They wish to be identified only on first name basis. They are willing to send pictures and letters to the birth parent(s) as well as receive letters from the birth parent(s) via the adoption agency. They feel comfortable sending letters and pictures.

PREFERENCE AND TYPE CHILD DESIRED

The Smiths will consider a boy or girl from a newborn to a toddler. They will consider a Caucasian child, or a Caucasian/ Hispanic child, or a Hispanic child. It is possible Marisa and Tony will accept a child with mild handicaps such as clubfeet, cleft palate, etc. They however will not accept a child with known neurological or mental handicaps. They understand that it is often impossible to determine such neurological and most mental handicaps at birth. The family understands that thorough medical information may be sparse, inconclusive, or not obtainable. Medical information is sometimes not available until birth of the baby and rarely is any medical information available on the birth father. The family understands and accepts these risks.

CULTURAL DIVERSITY

(This section applies if adoptive family is considering adoption of a child of any race other than their own. Examples: Caucasian family adopting a Hispanic, Asian, African American etc child (other than Caucasian). Or, if a Hispanic family is adopting a Caucasian child.)

This section needs to address ways the family plans to incorporate the child's ethnicity and culture into their family and the child's environment. Examples: Does the family have close friends or other family members of the same race? Do they live in an urban area where the child will interact with others of the same race? If they live in a less culturally diverse area, how do they plan to incorporate the child's culture into their life? What literature reviews or cultural experience have they looked into or plan to research for the child?

The Smiths are excited about the possibility of a placement of a child from Hispanic or Caucasian/ Hispanic descent. They know they may receive curious looks, questions, and prejudices.

The Smiths feel very comfortable adopting a child of a different race and believe strongly that their love for each other and their family will help them with any difficulties they may encounter. They plan to be open and educate others about adoption and their adoption experience. The Smiths reside in a culturally diverse community and have several close friends of Hispanic descent who share their culture with the Smiths. They also plan to educate themselves about the specific culture, be it Mexican, Cuban etc. once they are placed with the child.

IMPRESSIONS AND RECOMMENDATION

Marisa and Tony have been married for six years, with a two-year dating relationship prior to their marriage in 1990. In addition to their marriage relationship Marisa and Tony are best friends. They enjoy each other's company and share many compatible activities and future goals. Their hope and plan for the future is to become a family. Marisa and Tony would like to adopt with the help of The Agency. They would like the child or children to be as healthy as possible.

Their decision to adopt is the result of many years of unsuccessful attempts at having a biological family. Marisa and Tony are excited and comfortable with adoption as their choice of family building. Their friends and family are emotionally supportive of this decision. Marisa and Tony are financially stable and very much rooted within their community. Their home environment is conducive to raising a family. It is felt that all their child's needs would be adequately cared for.

Marisa and Tony are warm, mature and loving people with a strong moral and ethical value system. Their behaviors are congruent with their personal and spiritual beliefs. A child is very much wanted and will be very much loved by Marisa and Tony. They are sensitive to adoption issues, especially regarding domestic adoption, for birthparent(s) and for their child. They acknowledge adoption not only as a single event within their family but as an integral part of their family's ongoing life cycle. It is with much pleasure that I approve Marisa and Tony Smith be certified to adopt (one/two) child(ren).

Signed, Dated, and Notarized by Social Worker and/or Executive Director

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How do I prepare for a home study?

Preparing for an adoption process is no small task. There will be tons of questions along the way both asked by you and asked of you. It is important to prepare as much as possible for the likely questions coming your way from your Home Study provider. Depending on your personal background, some questions may catch you off guard and bring feelings to the surface that you didn’t know were there.

Be honest with your interview process and it will help you identify areas of opportunity for you to be more prepared for the journey. The job of the home study provider is to make sure you are as ready as you can be to welcome a new child into your home. 

Questions common in the Home Study process fall into several categories ranging from getting to know you questions, autobiographical questions, practical questions, and questions that are specific to the individual adoption. Other questions may dig deeper into your background and include detailed questions about your childhood, how you will handle children in your home, if you can create a picture of an ideal child, questions about your marriage if you are married, questions about your lifestyle and how you spend your time, questions about your health and your religious background.

The home study will attempt to verify that you are financially able to complete the adoption process. It will also determine your motivations for the adoption. Ultimately, the purpose of the home study process and questions are aimed at determining your readiness overall to enter an adoption opportunity. Some other home study requirements could also include birth certificates and criminal background checks that will result in a written report by a social worker or someone similar.

Listed below are some of the most common home study questions asked by a provider. There are no “right” answers to these questions and the goal of the questions is to help the home study provider get to know you better. It is best to reflect on these ahead of time yourself or with your spouse if you are married.

What are some potential home study interview questions?

Introduction questions:.

Tell me about yourself

What do you do for a living and do you enjoy it?

Do you have any hobbies?

How would you describe yourself and how would others describe you?

How familiar are you with the adoption home study process?

About the child:

What characteristics are you looking for in a child?

Would you consider a child outside of this picture?

Do you want a boy or a girl or either?

Home Questions:

Do you already have children? If so, how old are they?

How are they involved in the adoption process?

How do they feel about your potential adoption of a sibling?

How do they relate to each other?

Describe your physical characteristics.

How was your relationship with your parents?

How would you describe your childhood?

Were there any activities that you enjoyed while growing up?

Are you like your parents or different?

Describe your personality.

Marriage Questions:

How did you meet your spouse?

Have you had marital problems?

Has your marriage matched your expectations?

Do you have defined roles?

What is the relationship like with each other’s families?

How will parenthood impact your lifestyle?

Do you have mutual goals? If so, what are they?

Lifestyle Questions:

Describe your social life.

How will parenthood change your social life?

Are family members aware of your adoption plan?

Will they support it and if not how will you handle that?

Describe your problem-solving process.

Health Questions:

Describe your general physical and mental health status.

Do you have any hereditary illness in the family?

Are there any instances of alcohol or drug abuse?

Have you been tested for HIV?

Describe any experiences you have had with any types of abuse.

Have you participated in infertility treatments?

If so, are they ongoing?

What will happen to the adoption plan if you get pregnant?

Religious Questions:

Describe your religious backgrounds.

If they are different how will that be handled?

Are you a formal member of a religious organization?

What moral values are important to you?

Employment and Financial:

Are you prepared to share your complete financial background?

Provide information on current employer, job title, and duties.

Will these impact your ability to raise a child?

What are your career goals?

Is there a risk of transfer within a year?

Who handled the financial decisions in the home?

Once started do you think you will be able to complete the home study?

Attitude Regarding Adoption:

Why do you want to choose adoption?

How long have you considered adoption as an option?

Why did you decide to adopt?

Have you shared this decision with your family?

What are your plans on sharing the adoption story with your future child?

What is your attitude toward open adoption?

Would you accept a child that had been abused or neglected?

Have you ever had contact with any foster parents?

Parenting Style:

What are your experiences with raising a child?

Do you have a plan to establish defined parenting roles with your spouse?

What forms of discipline do you plan to use?

What is your tolerance for defiance or aggression from the child?

Do you feel the success or failure of a child reflects on the parents?

Do you have guardians in place in case something happens to you?

What are your child care plans if you are both working?

Are there any areas of your life that are not stable?

How soon are you prepared to adopt a child?

Are all members of your family ready for a new sibling?

There are countless questions that could be relevant in an adoption situation so it is not possible to list them all here. It is critical that you reflect deeply on your readiness for adoption and answer these and other questions as honestly as possible early in the journey. Children are an incredible blessing but parenthood can be difficult. Get to know yourself as well as possible before adopting so that the experience can be as smooth as possible.

Are you ready to start your adoption journey? Click CONTACT US at the top of the page or give us a call at 1-800-367-2367 to get started working with Adoption Network today. 

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Case study on adoption of new technology for innovation: Perspective of institutional and corporate entrepreneurship

Asia Pacific Journal of Innovation and Entrepreneurship

ISSN : 2398-7812

Article publication date: 7 August 2017

This paper aims at investigating the role of institutional entrepreneurship and corporate entrepreneurship to cope with firm’ impasses by adoption of the new technology ahead of other firms. Also, this paper elucidates the importance of own specific institutional and corporate entrepreneurship created from firm’s norm.

Design/methodology/approach

The utilized research frame is as follows: first, perspective of studies on institutional and corporate entrepreneurship are performed using prior literature and preliminary references; second, analytical research frame was proposed; finally, phase-based cases are conducted so as to identify research objective.

Kumho Tire was the first tire manufacturer in the world to exploit the utilization of radio-frequency identification for passenger carâ’s tire. Kumho Tire takes great satisfaction in lots of failures to develop the cutting edge technology using advanced information and communication technology cultivated by heterogeneous institution and corporate entrepreneurship.

Originality/value

The firm concentrated its resources into building the organization’s communication process and enhancing the quality of its human resources from the early stages of their birth so as to create distinguishable corporate entrepreneurship.

• Corporate entrepreneurship
• Institutional entrepreneurship

Han, J. and Park, C.-m. (2017), "Case study on adoption of new technology for innovation: Perspective of institutional and corporate entrepreneurship", Asia Pacific Journal of Innovation and Entrepreneurship , Vol. 11 No. 2, pp. 144-158. https://doi.org/10.1108/APJIE-08-2017-031

Emerald Publishing Limited

Copyright © 2017, Junghee Han and Chang-min Park.

Published in the Asia Pacific Journal of Innovation and Entrepreneurship . Published by Emerald Publishing Limited. This article is published under the Creative Commons Attribution (CC BY 4.0) licence. Anyone may reproduce, distribute, translate and create derivative works of this article (for both commercial & non-commercial purposes), subject to full attribution to the original publication and authors. The full terms of this licence may be seen at http://creativecommons.org/licenses/by/4.0/legalcode

1. Introduction

Without the entrepreneur, invention and new knowledge possibly have lain dormant in the memory of persons or in the pages of literature. There is a Korean saying, “Even if the beads are too much, they become treasure after sewn”. This implies importance of entrepreneurship. In general, innovativeness and risk-taking are associated with entrepreneurial activity and, more importantly, are considered to be important attributes that impact the implementation of new knowledge pursuing.

Implementation of cutting edge technology ahead of other firms is an important mechanism for firms to achieve competitive advantage ( Capon et al. , 1990 ; D’Aveni, 1994 ). Certainly, new product innovation continues to play a vital role in competitive business environment and is considered to be a key driver of firm performance, especially as a significant form of corporate entrepreneurship ( Srivastava and Lee, 2005 ). Corporate entrepreneurship is critical success factor for a firm’s survival, profitability and growth ( Phan et al. , 2009 ).

The first-mover has identified innovativeness and risk-taking as important attributes of first movers. Lumpkin and Dess (1996) argued that proactiveness is a key entrepreneurial characteristic related to new technology adoption and product. This study aims to investigate the importance of corporate and institutional entrepreneurship through analyzing the K Tire’s first adaptation of Radio-frequency identification (RFID) among the world tire manufactures. Also, this paper can contribute to start ups’ readiness for cultivating of corporate and institutional entrepreneurship from initial stage to grow and survive.

K Tire is the Korean company that, for the first time in the world, applied RFID to manufacturing passenger vehicle tires in 2013. Through such efforts, the company has built an innovation model that utilizes ICTs. The adoption of the technology distinguishes K Tire from other competitors, which usually rely on bar codes. None of the global tire manufacturers have applied the RFID technology to passenger vehicle tires. K Tire’s decision to apply RFID to passenger vehicle tires for the first time in the global tire industry, despite the uncertainties associated with the adoption of innovative technologies, is being lauded as a successful case of innovation. In the global tire market, K Tire belongs to the second tier, rather than the leader group consisting of manufacturers with large market shares. Then, what led K Tire to apply RFID technology to the innovation of its manufacturing process? A company that adopts innovative technologies ahead of others, even if the company is a latecomer, demonstrates its distinguishing characteristics in terms of innovation. As such, this study was motivated by the following questions. With regard to the factors that facilitate innovation, first, what kind of the corporate and institutional situations that make a company more pursue innovation? Second, what are the technological situations? Third, how do the environmental situations affect innovation? A case study offers the benefit of a closer insight into the entrepreneurship frame of a specific company. This study has its frame work rooted in corporate entrepreneurship ( Guth and Ginsberg, 1990 ; Shane and Venkataraman, 2000 ) and institutional entrepreneurship ( Battilana, 2006 ; Fligstein, 1997 ; Rojas, 2010 ). As mentioned, we utilized qualitative research method ( Yin, 2008 ). This paper is structured as follows. Section two presents the literature review, and section three present the methodology and a research case. Four and five presents discussion and conclusions and implications, respectively.

2. Theoretical review and analysis model

RFID technology is to be considered as not high technology; however, it is an entirely cutting edged skills when combined with automotive tire manufacturing. To examine why and how the firm behaves like the first movers, taking incomparable high risks to achieve aims unlike others, we review three kinds of prior literature. As firms move from stage to stage, they have to revamp innovative capabilities to survive and ceaseless stimulate growth.

2.1 Nature of corporate entrepreneurship

Before reviewing the corporate entrepreneurship, it is needed to understand what entrepreneurship is. To more understand the role that entrepreneurship plays in modern economy, one need refer to insights given by Schumpeter (1942) or Kirzner (1997) . Schumpeter suggests that entrepreneurship is an engine of economic growth by utilization of new technologies. He also insists potential for serving to discipline firms in their struggle to survive gale of creative destruction. While Schumper argued principle of entrepreneurship, Kirzner explains the importance of opportunities. The disruptions generated by creative destruction are exploited by individuals who are alert enough to exploit the opportunities that arise ( Kirzner, 1997 ; Shane and Venkataraman, 2000 ).

Commonly all these perspectives on entrepreneurship is an appreciation that the emergence of novelty is not an easy or predictable process. Based on literature review, we note that entrepreneurship is heterogeneous interests and seek “something new” associated with novel outcomes. Considering the literature review, we can observe that entrepreneurship is the belief in individual autonomy and discretion, and a mindset that locates agency in individuals for creating new activities ( Meyer et al. ,1994 ; Jepperson and Meyer, 2001 ).

the firm’s commitment to innovation (including creation and introduction of products, emphasis on R&D investments and commitment to patenting);

the firm’s venturing activities, such as entry into new business fields by sponsoring new ventures and creating new businesses; and

strategic renewal efforts aimed at revitalizing the firm’s ability to compete.

developing innovation an organizational tool;

allowing the employees to propose ideas; and

encouraging and nurturing the new knowledge ( Hisrich, 1986 ; Kuratko, 2007 ).

Consistent with the above stream of research, our paper focuses on a firm’s new adaptation of RFID as a significant form of corporate entrepreneurial activity. Thus, CE refers to the activities a firm undertakes to stimulate innovation and encourage calculated risk taking throughout its operations. Considering prior literature reviews, we propose that corporate entrepreneurship is the process by which individuals inside the organization pursuing opportunities without regards to the resources they control.

If a firm has corporate entrepreneurship, innovation (i.e. transformation of the existing firm, the birth of new business organization and innovation) happens. In sum, corporate entrepreneurship plays a role to pursue to be a first mover from a latecomer by encompassing the three phenomena.

2.2 Institution and institutional entrepreneurship

Most literature regarding entrepreneurship deals with the attribute of individual behavior. More recently, scholars have attended to the wider ecosystem that serves to reinforce risk-taking behavior. Institution and institutional entrepreneurship is one way to look at ecosystem that how individuals and groups attempt to try to become entrepreneurial activities and innovation.

Each organization has original norm and intangible rules. According to the suggestion by Scott (1995) , institutions constrain behavior as a result of processes associated with institutional pillars. The question how actors within the organizations become motivated and enabled to transform the taken-for-granted structures has attracted substantial attention for institutionalist. To understand why some firms are more likely to seek innovation activities despite numerous difficulties and obstacles, we should take look at the institutional entrepreneurship.

the regulative, which induces worker’s action through coercion and formal sanction;

the normative, which induces worker’s action through norms of acceptability and ethics; and

the cognitive, which induces worker’s action through categories and frames by which actors know and interpret their world.

North (1990) defines institutions as the humanly devised constraints that structure human action. Actors within some organization with sufficient resources have intend to look at them an opportunity to realize interests that they value highly ( DiMaggio, 1988 ).

It opened institutional arguments to ideas from the co-evolving entrepreneurship literature ( Aldrich and Fiol, 1994 ; Aldrich and Martinez, 2001 ). The core argument of the institutional entrepreneurship is mechanisms enabling force to motivate for actors to act difficult task based on norm, culture and shared value. The innovation, adopting RFID, a technology not verified in terms of its effectiveness for tires, can be influenced by the institution of the society.

A firm is the organizations. An organization is situated within an institution that has social and economic norms. Opportunity is important for entrepreneurship. The concept of institutional entrepreneurship refer to the activities of worker or actor who have new opportunity to realize interest that they values highly ( DiMaggio, 1988 ). DiMaggio (1988) argues that opportunity for institutional entrepreneurship will be “seen” and “exploited” by within workers and not others depending on their resources and interests respectively.

Despite that ambiguity for success was given, opportunity and motivation for entrepreneurs to act strategically, shape emerging institutional arrangements or standards to their interests ( Fligstein and Mara-Drita, 1996 ; Garud et al. , 2002 ; Hargadon and Douglas, 2001 ; Maguire et al. , 2004 ).

Resource related to opportunity within institutional entrepreneurship include formal or informal authority and power ( Battilana, 2006 ; Rojas, 2010 ). Maguire et al. (2004) suggest legitimacy as an important ingredient related to opportunity for institutional entrepreneurship. Some scholars suggest opportunity resources for institutional entrepreneurship as various aspects. For instance, Marquire and Hardy (2009) show that knowledge and expertise is more crucial resources. Social capital, including market leadership and social network, is importance resource related to opportunity ( Garud et al. , 2002 ; Lawrence et al. , 2005 ; Townley, 2002 ). From a sociological perspective, change associated with entrepreneurship implies deviations from some norm ( Garud and Karnøe, 2003 ).

Institutional entrepreneurship is therefore a concept that reintroduces agency, interests and power into institutional analyses of organizations. Based on the previous discussion, this study defines institution as three processes of network activity; coercion and formal sanction, normative and cognitive, to acquire the external knowledge from adopting common goals and rules inside an organization. It would be an interesting approach to look into a specific company to see whether it is proactive towards adopting ICTs (e.g. RFID) and innovation on the basis of such theoretical background.

2.3. Theoretical analysis frame

Companies innovate themselves in response to the challenges of the ever-changing markets and technologies, so as to ensure their survival and growth ( Tushman and Anderson, 1986 ; Tidd and Bessant, 2009 ; Teece, 2014 ). As illustrated above, to achieve the purpose of this study, the researcher provides the following frames of analyses based on the theoretical background discussed above ( Figure 1 ).

3. Case study

3.1 methodology.

It is a highly complicated and tough task to analyze the long process of innovation at a company. In this paper, we used analytical approach rather than the problem-oriented method because the case is examined to find and understand what has happened and why. It is not necessary to identify problems or suggest solutions. Namely, this paper analyzes that “why K Tire becomes a first mover from a late comer through first adoption of RFID technology for automotive tire manufacture with regards to process and production innovations”.

To study the organizational characteristics such as corporate entrepreneurship, institutional entrepreneurship, innovation process of companies, the qualitative case study is the suitable method. This is because a case study is a useful method when verifying or expanding well-known theories or challenging a specific theory ( Yin, 2008 ). This study seeks to state the frame of analysis established, based on previously established theories through a single case. K Tire was selected as the sample because it is the first global tire manufacturer, first mover to achieve innovation by developing and applying RFID.

The data for the case study were collected as follows. First, this study was conducted from April 2015 to the end of December 2015. Additional expanded data also were collected from September 12 to November 22, 2016, to pursue the goal of this paper. Coauthor worked for K Tire for more than 30 year, and currently serves as the CEO of an affiliate company. As such, we had the most hands-on knowledge and directed data in the process of adoption RFID. This makes this case study a form of participant observation ( Yin, 2008 ). To secure data on institutional entrepreneurship, in-depth interviews were conducted with the vice president of K Tire. The required data were secured using e-mail, and the researchers accepted the interviewees’ demand to keep certain sensitive matters confidential. The interviewees agreed to record the interview sessions. In this way, a 20-min interview data were secured for each interviewee. In addition, apart from the internal data of the subject company, other objective data were obtained by investigating various literatures published through the press.

3.2 Company overview

In September 1960, K Tire was established in South Korea as the name of Samyang Tire. In that time, the domestic automobile industry in Korea was at a primitive stage, as were auto motive parts industries like the tire industry. K Tire products 20 tires a day, depending on manual labor because of our backward technology and shortage of facilities.

The growth of K Tire was astonishment. Despite the 1974 oil shock and difficulties in procuring raw materials, K Tire managed to achieve remarkable growth. In 1976, K Tire became the leader in the tire sector and was listed on the Korea Stock Exchange. Songjung plant II was added in 1977. Receiving the grand prize of the Korea Quality Control Award in 1979, K Tire sharpened its corporate image with the public. The turmoil of political instability and feverish democratization in the 1980s worsened the business environment. K Tire also underwent labor-management struggles but succeeded in straightening out one issue after another. In the meantime, the company chalked up a total output of 50 million tires, broke ground for its Koksung plant and completed its proving ground in preparation for a new takeoff.

In the 1990s, K Tire expanded its research capability and founded technical research centers in the USA and the United Kingdom to establish a global R&D network. It also concentrated its capabilities in securing the foundation as a global brand, by building world-class R&D capabilities and production systems. Even in the 2000s, the company maintained its growth as a global company through continued R&D efforts by securing its production and quality capabilities, supplying tires for new models to Mercedes, Benz, Volkswagen and other global auto manufacturers.

3.3 Implementation of radio-frequency identification technology

RFID is radio-frequency identification technology to recognize stored information by using a magnetic carrier wave. RFID tags can be either passive, active or battery-assisted passive (BAP). An active tag has an on-board battery and periodically transmits its ID signal. A BAP has a small battery on board and is activated when in the presence of an RFID reader. A passive tag is cheaper and smaller because it has no battery; instead, the tag uses the radio energy transmitted by the reader. However, to operate a passive tag, it must be illuminated with a power level roughly a thousand times stronger than for signal transmission. That makes a difference in interference and in exposure to radiation.

an integrated circuit for storing and processing information, modulating and demodulating a radio frequency signal, collecting DC power from the incident reader signal, and other specialized functions; and

an antenna for receiving and transmitting the signal.

capable of recognizing information without contact;

capable of recognizing information regardless of the direction;

capable of reading and saving a large amount of data;

requires less time to recognize information;

can be designed or manufactured in accordance with the system or environmental requirements;

capable of recognizing data unaffected by contamination or the environment;

not easily damaged and cheaper to maintain, compared with the bar code system; and

tags are reusable.

3.3.1 Phase 1. Background of exploitation of radio-frequency identification (2005-2010).

Despite rapid growth of K Tire since 1960, K Tire ranked at the 13th place in the global market (around 2 per cent of the global market share) as of 2012. To enlarge global market share is desperate homework. K Tire was indispensable to develop the discriminated technologies. When bar code system commonly used by the competitors, and the industry leaders, K Tire had a decision for adoption of RFID technology instead of bar code system for tires as a first mover strategy instead of a late comer with regard to manufacture tires for personal vehicle. In fact, K Tire met two kinds of hardship. Among the top 20, the second-tier companies with market shares of 1-2 per cent are immersed in fiercer competitions to advance their ranks. The fierceness of the competition is reflected in the fact that of the companies ranked between the 11th and 20th place, only two maintained their rank from 2013.

With the demand for stricter product quality control and manufacture history tracking expanding among the auto manufacturers, tire manufacturers have come to face the need to change their way of production and logistics management. Furthermore, a tire manufacturer cannot survive if it does not properly respond to the ever stricter and exacting demand for safe passenger vehicle tires of higher quality from customers and auto manufacturers. As mentioned above, K Tire became one of the top 10 companies in the global markets, recording fast growth until the early 2000. During this period, K Tire drew the attention of the global markets with a series of new technologies and innovative technologies through active R&D efforts. Of those new products, innovative products – such as ultra-high-performance tires – led the global markets and spurred the company’s growth. However, into the 2010s, the propriety of the UHP tire technology was gradually lost, and the effect of the innovation grew weaker as the global leading companies stepped forward to take the reign in the markets. Subsequently, K Tire suffered from difficulties across its businesses, owing to the failure to develop follow-up innovative products or market-leading products, as well as the aggressive activities by the company’s hardline labor union. Such difficulties pushed K Tire down to the 13th position in 2014, which sparked the dire need to bring about innovative changes within the company.

3.3.2 Phase 2. Ceaseless endeavor and its failure (2011-2012).

It needs to be lightweight : An RFID tag attached inside a vehicle may adversely affect the weight balance of the tires. A heavier tag has greater adverse impact on the tire performance. Therefore, a tag needs to be as light as possible.

It needs to be durable : Passenger vehicle tires are exposed to extensive bending and stretching, as well as high levels of momentum, which may damage a tag, particularly causing damage to or even loss of the antenna section.

It needs to maintain adhesiveness : Tags are attached on the inner surface, which increase the possibility of the tags falling off from the surface while the vehicle is in motion.

It needs to be resistant to high temperature and high pressure : While going through the tire manufacture process, a tag is exposed to a high temperature of around 200°C and high pressure of around 30 bars. Therefore, a tag should maintain its physical integrity and function at such high pressure and temperature.

It needs to be less costly : A passenger vehicle tire is smaller, and therefore cheaper than truck/bus tires. As a result, an RFID tag places are greater burden on the production cost.

Uncountable tag prototypes, were applied to around 200 test tires in South Korea for actual driving tests. Around 150 prototypes were sent to extremely hot regions overseas for actual driving tests. However, the driving tests revealed damage to the antenna sections of the tags embedded in tires, as the tires reached the end of their wear life. Also, there was separation of the embedded tags from the rubber layers. This confirmed the risk of tire separation, resulting in the failure of the tag development attempt.

3.3.3 Phase 3. Success of adoption RFID (2013-2014).

Despite the numerous difficulties and failures in the course of development, the company ultimately emerged successful, owing to its institutional entrepreneurship and corporate entrepreneurship the government’s support. Owing to the government-led support project, K Tire resumed its RFID development efforts in 2011. This time, the company discarded the idea of the embedded-type tag, which was attempted during the first development. Instead, the company turned to attached-type tag. The initial stages were marked with numerous failures: the size of a tag was large at 20 × 70 mm, which had adverse impact on the rotation balance of the tires, and the attached area was too large, causing the attached sections to fall off as the tire stretched and bent. That was when all personnel from the technical, manufacturing, and logistics department participated in creating ideas to resolve the tag size and adhesiveness issues. Through cooperation across the different departments and repeated tests, K Tire successfully developed its RFID tag by coming up with new methods to minimize the tag size to its current size (9 × 45 mm), maintain adhesiveness and lower the tag price. Finally, K Tire was success the adoption RFID.

3.3.4 Phase 4. Establishment of the manufacture, logistics and marketing tracking system.

Whenever subtle and problematic innovation difficulties arise, every worker and board member moves forward through networking and knowledge sharing within intra and external.

While a bar code is only capable of storing the information on the nationality, manufacturer and category of a product, an RFID tag is capable of storing a far wider scope of information: nationality, manufacturer, category, manufacturing date, machines used, lot number, size, color, quantity, date and place of delivery and recipient. In addition, while the data stored in a bar code cannot be revised or expanded once the code is generated, an RFID tag allows for revisions, additions and removal of data. As for the recognition capability, a bar code recognizes 95per cent of the data at the maximum temperature of 70°C. An RFID tag, on the other hand, recognizes 99.9 per cent of the data at 120°C.

The manufacture and transportation information during the semi-finished product process before the shaping process is stored in the RFID tags, which is attached to the delivery equipment to be provided to the MLMTS;

Logistics Products released from the manufacture process are stored in the warehouses, to be released and transported again to logistics centers inside and outside of South Korea. The RFID tags record the warehousing information, as the products are stored into the warehouses, as well as the release information as the products are released. The information is instantly delivered to the MLMTS;

As a marketing, the RFID tags record the warehousing information of the products supplied and received by sales branches from the logistics centers, as well as the sales information of the products sold to consumers. The information is instantly delivered to the MLMTS; and

As a role of integrative Server, MLM Integrative Server manages the overall information transmitted from the infrastructures for each section (production information, inventory status and release information, product position and inventory information, consumer sales information, etc.).

The MLMTS provides the company with various systemic functions to integrate and manage such information: foolproof against manufacture process errors, manufacture history and quality tracking for each individual product, warehousing/releasing and inventory status control for each process, product position control between processes, real-time warehouse monitoring, release control and history information tracking across products of different sizes, as well as link/control of sales and customer information. To consumers, the system provides convenience services by providing production and quality information of the products, provision of the product history through full tracking in the case of a claim, as well as a tire pressure monitoring system:

“South korea’s K Tire Co. Inc. has begun applying radio-frequency identification (RFID) system tags on: half-finished” tire since June 16. We are now using an IoT based production and distribution integrated management system to apply RFID system on our “half-finished products” the tire maker said, claiming this is a world-first in the industry. The technology will enable K Tire to manage products more efficiently than its competitors, according to the company. RFID allows access to information about a product’s location, storage and release history, as well as its inventory management (London, 22, 2015 Tire Business).

4. Discussions

Originally, aims of RFID adoption for passenger car “half-finished product” is to chase the front runners, Hankook Tire in Korea including global leading companies like Bridgestone, Michaelin and Goodyear. In particular, Hankook Tire, established in 1941 has dominated domestic passenger tire market by using the first mover’s advantage. As a late comer, K Tire needs distinguishable innovation strategy which is RFID adoption for passenger car’s tire, “half-finished product” to overcome shortage of number of distribution channels. Adoption of RFID technology for passenger car’s tire has been known as infeasible methodologies according to explanation by Changmin Park, vice-CTO (chief technology officer) until K Tire’s success.

We lensed success factors as three perspectives; institutional entrepreneurship, corporate entrepreneurship and innovation. First, as a corporate entrepreneurship perspective, adopting innovative technologies having uncertainties accompanies by a certain risk of failure. Corporate entrepreneurship refers to firm’s effort that inculcate and promote innovation and risk taking throughout its operations ( Burgelman, 1983 ; Guth and Ginsberg, 1990 ). K Tire’s success was made possible by overcome the uncountable difficulties based on shared value and norms (e.g. Fligstein and Mara-Drita, 1996 ; Garud et al. , 2002 ; Hargadon and Douglas, 2001 ; Maguire et al. , 2004 ).

An unsuccessful attempt at developing innovative technologies causes direct loss, as well as loss of the opportunity costs. This is why many companies try to avoid risks by adopting or following the leading companies’ technologies or the dominant technologies. Stimulating corporate entrepreneurship requires firms to acquire and use new knowledge to exploit emerging opportunities. This knowledge could be obtained by joining alliances, selectively hiring key personnel, changing the composition or decision-making processes of a company’s board of directors or investing in R&D activities. When the firm uses multiple sources of knowledge ( Branzei and Vertinsky, 2006 ; Thornhill, 2006 ), some of these sources may complement one another, while others may substitute each other ( Zahra and George, 2002 ). Boards also provide managers with appropriate incentives that better align their interests with those of the firm. Given the findings, K Tire seeks new knowledge from external organizations through its discriminative corporate entrepreneurship.

When adopting the RFID system for its passenger vehicle tires, K Tire also had to develop new RFID tags suitable for the specific type of tire. The company’s capabilities were limited by the surrounding conditions, which prevented the application of existing tire RFID tag technologies, such as certain issues with the tire manufacturing process, the characteristic of its tires and the price of RFID tags per tire. Taking risks and confronting challenges are made from board member’s accountability. From the findings, we find that entrepreneurship leadership can be encouraged in case of within the accountability frame work.

Despite its status as a second-tier company, K Tire attempted to adopt the RFID system to its passenger vehicle tires, a feat not achieved even by the leading companies. Thus, the company ultimately built and settled the system through numerous trials and errors. Such success was made possible by the entrepreneurship of K Tire’s management, who took the risk of failure inherent in adopting innovative technologies and confronting challenges head on.

Second, institutional entrepreneurship not only involves the “capacity to imagine alternative possibilities”, it also requires the ability “to contextualize past habits and future projects within the contingencies of the moment” if existing institutions are to be transformed ( Emirbayer and Mische, 1998 ). New technologies, the technical infrastructure, network activities to acquire the new knowledge, learning capabilities, creating a new organization such as Pioneer Lab and new rules to create new technologies are the features. To qualify as institutional entrepreneurs, individuals must break with existing rules and practices associated with the dominant institutional logic(s) and institutionalize the alternative rules, practices or logics they are championing ( Garud and Karnøe, 2003 ; Battilana, 2006 ). K Tire established new organization, “Special lab” to obtain the know technology and information as CEO’s direct sub-committees. Institutional entrepreneurship arise when actors, through their filed position, recognize the opportunity circumstance so called “norms” ( Battilana et al. , 2009 ). To make up the deficit of technologies for RFID, knowledge stream among workers is more needed. Destruction of hierarch ranking system is proxy of the institutional entrepreneurship. Also, K Tire has peculiar norms. Namely, if one requires the further study such as degree course or non-degree course education services, grant systems operated via short screen process. Third, as innovation perspectives, before adopting the RFID system, the majority of K Tire’s researchers insisted that the company use the bar code technology, which had been widely used by the competitors. Such decision was predicated on the prediction that RFID technology would see wider use in the future, as well as the expected effect coming from taking the leading position, with regard to the technology.

Finally, K Tire’s adoption of the RFID technology cannot be understood without government support. The South Korean government has been implementing the “Verification and Dissemination Project for New u-IT Technologies” since 2008. Owing to policy support, K Tire can provide worker with educational service including oversea universities.

5. Conclusions and implications

To cope with various technological impasses, K Tire demonstrated the importance of institutional and corporate entrepreneurship. What a firm pursues more positive act for innovation is a research question.

Unlike firms, K Tire has strongly emphasized IT technology since establishment in 1960. To be promotion, every worker should get certification of IT sectors after recruiting. This has become the firm’s norm. This norm was spontaneously embedded for firm’s culture. K Tire has sought new ICT technology become a first mover. This norm can galvanize to take risk to catch up the first movers in view of institutional entrepreneurship.

That can be cultivated both by corporate entrepreneurship, referred to the activities a firm undertakes to stimulate innovation and encourage calculated risk taking throughout its operations within accountabilities and institutional entrepreneurship, referred to create its own peculiar norm. Contribution of our paper shows both importance of board members of directors in cultivating corporate entrepreneurship and importance of norm and rules in inducing institutional entrepreneurship.

In conclusion, many of them were skeptical about adopting RFID for its passenger vehicle tires at a time when even the global market and technology leaders were not risking such innovation, citing reasons such as risk of failure and development costs. However, enthusiasm and entrepreneurship across the organization towards technical innovation was achieved through the experience of developing leading technologies, as well as the resolve of the company’s management and its institutional entrepreneurship, which resulted in the company’s decision to adopt the RFID technology for small tires, a technology with unverified effects that had not been widely used in the markets. Introduction of new organization which “Special lab” is compelling example of institutional entrepreneurship. Also, to pursue RFID technology, board members unanimously agree to make new organization in the middle of failing and unpredictable success. This decision was possible since K Tire’s cultivated norm which was to boost ICT technologies. In addition, at that time, board of director’s behavior can be explained by corporate entrepreneurship.

From the findings, this paper also suggests importance of firms’ visions or culture from startup stage because they can become a peculiar norm and become firm’s institutional entrepreneurship. In much contemporary research, professionals and experts are identified as key institutional entrepreneurs, who rely on their legitimated claim to authoritative knowledge or particular issue domains. This case study shows that authoritative knowledge by using their peculiar norm, and culture as well as corporate entrepreneurship.

This paper has some limitations. Despite the fact that paper shows various fruitful findings, this study is not free from that our findings are limited to a single exploratory case study. Overcoming such limitation requires securing more samples, including the group of companies that attempt unprecedented innovations across various industries. In this paper, we can’t release all findings through in-depth interview and face-to-face meetings because of promise for preventing the secret tissues.

Nevertheless, the contribution of this study lies in that it shows the importance of corporate entrepreneurship and institutional entrepreneurship for firm’s innovative capabilities to grow ceaselessly.

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Acknowledgements

 This work was supported by 2017 Hongik University Research Fund.

Corresponding author

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