Decision-Making Toolkit & Case Studies

🧰 Decision-Making Toolkit for Headteachers

This toolkit helps Headteachers follow a structured approach when handling behaviour incidents, ensuring decisions are fair, proportionate, and evidence-informed.

🪜 Step-by-Step Behaviour Decision Pathway

  1. Incident occurs – ensure immediate safety
  2. Record initial facts and secure any evidence
  3. Gather witness statements from staff and pupils
  4. Consult key staff (e.g. ALNCo, pastoral team)
  5. Review the pupil’s background and any existing plans
  6. Assess whether alternative strategies are appropriate
  7. Use Sanction Guidelines to determine proportionate response
  8. Document the decision and rationale
  9. Notify parents/carers and issue written confirmation
  10. Plan support or reintegration depending on outcome

✅ Downloadable Checklists

📚 Key Policies & Legal Guidance

📘 Reflective Practice & Peer Case Studies

Making fair and proportionate decisions can be challenging. These anonymised case studies provide real examples of how Headteachers across Wales have applied Sanction Guidelines thoughtfully and reflectively.

Case: Persistent Low-Level Disruption – Year 9 Pupil with ALN

Learner Profile

Year Group: 9
ALN Status: Yes (MLD)
Support in Place: IDP, 1:1 TA, reduced timetable
Behaviour History: Ongoing low-level disruption across three terms

Incident Summary

Pupil frequently disrupted lessons by shouting out, walking out of classrooms, and encouraging peers to misbehave. Existing interventions had limited success.

Considerations Before Decision
Decision Made

Sanction: Fixed-Term Exclusion (3 days)
Reason: Deliberate and sustained disruption, negatively impacting peers’ learning

Follow-Up Support Plan
Reflection from Headteacher
“The process reminded me of the value of collective input and evidence-based reflection. It wasn’t an easy decision, but necessary to reset expectations and support both the pupil and their peers.”
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Essential Check List

Here is a step-by-step guide for headteachers in Wales when managing a pupil exclusion, from the decision to exclude through to potential appeals

 

Step 1: Decision to Exclude

 

Before deciding to exclude a pupil:

  1. Assess seriousness: Exclude only for serious breaches of the behaviour policy and where allowing the pupil to stay would seriously harm the education or welfare of others.

  2. Gather evidence: Conduct a fair investigation and apply the ‘balance of probabilities’ standard.

  3. Consider mitigating factors: Use the non exhaustive list of mitigating factors in Sanction Guidelines

  4. Document actions: Keep written records of the incident; timelines, signed statements, and rationale of decision using Sanction Guidelines.

 

Exclusion must not be used for minor incidents (e.g. uniform breaches, truancy, or academic performance).

 

Step 2: Informing the Learner and Parent/Carer

 

Notify the ‘relevant person’ without delay:

 

  1. First by phone, then in writing within one school day.

Letter must include:

  • Type and length of exclusion (fixed-term or permanent).

  • Reasons for exclusion.

  • Right to make representations to the discipline committee.

  • Work arrangements during exclusion.

  • Reintegration meeting invitation (for fixed-term).

  • Contact details for the LA officer and appeal options (if permanent).​

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Step 3: Notify Discipline Committee and Local Authority

 

Within one school day, inform:

  1. Discipline Committee of the governing body.

  2. Local Authority (and ‘home’ LA if learner lives outside your LA).

  3. Information to include: name, age, ALN/IDP status, care status, exclusion type, and code (e.g. physical assault, racism, drugs).

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Step 4: Discipline Committee Review

 

The governing body’s Discipline Committee must convene a meeting:

  1. Within 6–15 school days for permanent exclusions or where fixed-term exclusions exceed 15 days.

  2. Between day 6–50 if fixed-term exclusions are over 5 days and the parent requests a meeting.

  3. Invite: parent/carer and/or learner, headteacher, and LA officer.

  4. Hear representations and evidence, and decide whether to uphold or overturn the exclusion.​​

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Step 5: Appeal to Independent Panel (if permanent exclusion upheld)

 

If the Discipline Committee upholds a permanent exclusion:

Parents/learners have 15 school days from written notification to appeal to the Independent Appeal Panel.

The LA must:

  1. Convene the panel within 15 school days of the appeal being lodged.

The panel may:

  1. Uphold the exclusion.

  2. Direct reinstatement.

  3. Decide reinstatement would be justified but is not practical (with justification).

 

Step 6: After the Appeal Hearing

 

  1. Panel’s decision is final and binding.

  2. LA arranges suitable full-time education within 15 days of final decision if exclusion is upheld.

  3. If reinstated, the headteacher must readmit the learner on the specified date.

 

Parents/carers may complain to:

 

  1. Public Services Ombudsman for Wales (maladministration).

  2. Judicial Review if the decision is unlawful.

  3. Welsh Ministers (only for procedural issues at the committee level, not appeal outcomes).

 

Step 7: Reintegration and Post-Exclusion Planning

 

Even before the appeal concludes:

 

  1. Set and mark work from day 1 of exclusion.

  2. Organise a reintegration meeting (statutory for exclusions of 6+ days in secondary schools).

 

Work with the LA to:

 

  1. Assess learner needs.

  2. Develop a pastoral support programme (PSP) and/or reintegration plan.

  3. Identify next educational setting.

  4. Prioritise reintegration to mainstream education where possible.​

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