Chapter 3

LEAD Enrollment

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4. How LEAD Works

Why Divert?

For the people LEAD is designed to serve, diversion makes sense because jail and prosecution generally don’t foster behavior change.

Law enforcement has become a catch-all response

Over the years, law enforcementThe term “law enforcement” is used throughout this toolkit to describe police officers, sheriff’s deputies, and others… More and the 911 emergency system have become a catch-all response to all kinds of problems in the United States, for everything from life-threatening emergencies to reports of people sleeping in doorways or disrupting a business. In many cases, such as when physical safety is threatened, police response may be necessary and appropriate.

But as officers know firsthand, when it comes to people whose unlawful or problematic conduct stems from unmet behavioral health needs, booking them into jail and sending them to court over and over doesn’t cause any real change.

So communities are left to ask: What can we do instead? Without a solid answer, there is a public expectation of action from police–even when they don’t hold the needed tools to actually make a difference in the situation beyond immediately removing the person from where they were encountered.

By building a coordinated response that diverts people away from the criminal legal system and into street-based, ongoing case managementLEAD-style case management is the heart and soul of LEAD’s effective, coordinated system of care, one that reorients e… More, with multi-disciplinary coordination among partners, LEAD equips communities with a new way to address problems for which detention and prosecution are unlikely to prove effective.

Three Doors into LEAD

There are three ways a person can be referred to LEAD. You can think of these as three doors to the same room:

Arrest diversionArrest diversions give law enforcement officers the option of referring people to LEAD at the point of arrest (either pr… More
Social contact referralsSocial contact referrals give law enforcement officers the opportunity to refer people whose law violations may be relat… More
Community referralsCommunity referrals provide community partners with the opportunity to refer people who are known to chronically engage … More

Arrest Diversion

When an officer has probable cause for arrest, arrest diversionArrest diversions give law enforcement officers the option of referring people to LEAD at the point of arrest (either pr… More gives officers the opportunity to refer people to LEAD via a warm hand-off to a LEAD case manager, instead of jailing them on divertible charges. Ideally, this warm handoffA LEAD warm handoff describes the process by which a LEAD participant is diverted out of the criminal legal system and i… More can occur within 30 minutes, though this can be difficult in remote areas.

A Deeper Dive:

Arrest Diversion

Probable Cause for Arrest

A law enforcementThe term “law enforcement” is used throughout this toolkit to describe police officers, sheriff’s deputies, and others… More officer who has probable cause to make an arrest, and does make an arrest, may offer a referral to LEAD via “warm hand-off” to a LEAD case managerLEAD-style case management is the heart and soul of LEAD’s effective, coordinated system of care, one that reorients e… More, instead of booking the person into jail and referring them for prosecution. In presenting this possibility, an officer explains that LEAD is a voluntary option and asks whether the person is interested in talking to a LEAD case manager rather than going to jail. This conversation may be with the arresting officer or may be led by a supervising sergeant, depending on each jurisdiction’s procedures.

The conversation about LEAD centers on a general, non-judgmental, open-ended offer of help. It’s important that the officer not frame the offer as providing any specific service, since a plan that makes sense for this person will be determined with their case manager over time. It’s especially important that the option not be referred to as “treatment,” since standard treatment programs may not match the individual’s understanding of their immediate needs, which may be more about protection from violence or a place to stay.

A good script is simple, easy to remember, and doesn’t depend on the individual under arrest feeling ready to confide any particularly sensitive information: “I’m wondering what led you to being out on the corner tonight, Mr. Lewis?” “[Person provides any response.]” “Ah I see. Well it seems like you’re in a pretty rough situation. Would you like some help with that?” The officer should make clear that Mr. Lewis may decline the referral.

If Mr. Lewis agrees to the referral, the officer or sergeant contacts a LEAD case manager who comes to the scene. Where this is done – in a precinct, station, patrol car, or meeting point in the field – is based on what works logistically in a given jurisdiction.

Officers or sergeants prepare paperwork as they would if Mr. Lewis were being investigated and released (I & R’d) and referred for prosecution. This way, if he doesn’t complete the intake process by the deadline (usually 30 days), the case can be pursued as usual. In some jurisdictions, there is an abbreviated report protocol for LEAD referrals if that fits the needs of the police department and prosecutors, which saves officers time.

Conducting the Warm Handoff

Generally arriving within 30 minutes (except in remote areas), the case manager talks with Mr. Lewis about how LEAD works, explains the kind of help LEAD could provide, and asks if he wants to give LEAD a try. If he says yes, the warm handoff out of the legal system and into community-based care happens immediately. At that point, Mr. Lewis is legally released from custody. Mr. Lewis has not waived any rights, so there is no need for defense counsel at the warm handoff.

The case manager will talk with Mr. Lewis, make provision for some basic needs support, perhaps buy a cup of coffee or provide a snack. Most importantly, the case manager will confirm where they can find Mr. Lewis in the coming days. “Where do you usually stay? Where can I find you?” is the key question.

In the early days of implementing a LEAD project, it is especially important that this release not be done in front of other people arrested in the same incident, lest co-defendants believe that the LEAD participant has agreed to be a confidential informant. LEAD is not a confidential informant program, and as it becomes established, this becomes known in the community. At the beginning, however, it is very important to maintain this clarity.

LEAD sites determine eligibility for arrest diversions

Based on its own local needs and priorities, each LEAD site’s PCGThe Policy Coordinating Group (PCG) is made up of decision-makers and community representatives who are collectively res… More determines the unlawful conduct they wish to make eligible for diversion. Over time, the PCG can also expand the array of divertible charges.

When LEAD was originally developed in Seattle, for example, the only divertible charges were low-level drug use, possession, or subsistence-level drug sales, along with prostitution. Over time, however, many jurisdictions (including Seattle) expanded the array of divertible charges to include other offenses for which people with unmet behavioral health needs are commonly arrested.

This process to determine divertible charges is an essential element of local self-determination for LEAD sites, to ensure that the divertible charges reflect local priorities and are supported by local stakeholders.

Thus, in developing eligibility criteria, it is essential to solicit widespread input from various stakeholders – including the criminal legal system, businesses, health systems, direct-service providers, and advocacy groups – and analyze local data to identify the problematic or unlawful conduct that your LEAD initiative hopes to address.

Social Contact Referrals

Social contact referralsSocial contact referrals give law enforcement officers the opportunity to refer people whose law violations may be relat… More recognize that law enforcementThe term “law enforcement” is used throughout this toolkit to describe police officers, sheriff’s deputies, and others… More officers may have frequent and repeated contact with people in their precincts who chronically commit law violations due to unmet behavioral health needs and/or income instability. Social contact referrals allow officers to proactively refer these individuals to LEAD without making an arrest. Such referrals may be made pre-arrest (officers may have probable cause to arrest but decide on another path), or they can be offered in the course of ordinary contact with individuals, rather than in response to any particular incident.

To avoid net-wideningNet-widening is the phenomenon in which a society or community increases the array of behaviors (and thus people) subjec… More, individuals referred into LEAD via social contact referrals should be generally known to be people who chronically commit law violations, and they must face no consequences if they decline to enroll.

LEAD sites must develop policies and protocols for these referrals

As with arrest diversionsArrest diversions give law enforcement officers the option of referring people to LEAD at the point of arrest (either pr… More, LEAD sites must develop policies and protocols for managing social contact referralsSocial contact referrals give law enforcement officers the opportunity to refer people whose law violations may be relat… More, to foster effective communication between officers and case managersLEAD-style case management is the heart and soul of LEAD’s effective, coordinated system of care, one that reorients e… More and to ensure timely, active follow-up by case managers to locate and engage potential participants. Some sites may have the desire and capacity to provide immediate “warm handoffA LEAD warm handoff describes the process by which a LEAD participant is diverted out of the criminal legal system and i… More” response for social contact referrals as well as for arrest diversions; that is a local variation up to each community.

Community Referrals

In both arrest diversions and social contact referralsSocial contact referrals give law enforcement officers the opportunity to refer people whose law violations may be relat… More, law enforcementThe term “law enforcement” is used throughout this toolkit to describe police officers, sheriff’s deputies, and others… More officers are the portal into LEAD. In contrast, community referralsCommunity referrals provide community partners with the opportunity to refer people who are known to chronically engage … More do not come through law enforcement; instead, sites that allow community referrals develop policies and practices that let community partners recommend potential candidates to LEAD directly.

LEAD sites indicate who can make a community referral and how

Depending on the policies set by the PCG, referrals might be made only by partner organizations, for example, or they could be triaged by the city’s 911 or 988 systems, or a 311 non-emergency response system using specific LEAD criteria, or via another crisis response dispatch system. A site might also decide to allow community members – such as businesses or residents – to make such referrals by directly accessing a LEAD referral portal via a QR code, fillable form, or phone call to a LEAD project managerThe Project Manager (PM) is responsible for coordinating all aspects of the LEAD initiative and managing its day-to-day … More.

Because community referralsCommunity referrals provide community partners with the opportunity to refer people who are known to chronically engage … More offer a wider door into LEAD, and because demand would swamp available resources if all potentially eligible candidates were referred in a short period of time, it’s important to develop prioritization agreements, and not to invite a scope of referrals that exceeds what the program has the resources to respond to.

Core Eligibility Criteria

For both social contact referralsSocial contact referrals give law enforcement officers the opportunity to refer people whose law violations may be relat… More and community referralsCommunity referrals provide community partners with the opportunity to refer people who are known to chronically engage … More, there is no diverted charge. To set policies that respect LEAD’s purpose, such referrals must satisfy at least these criteria:

there is reason to believe the individual referred chronically commits law violations (may include civil infractions) related to behavioral health issues and/or extreme poverty, and
there will be a public expectation of criminal legal system response if there is not an alternative intervention. In this way, LEAD resources are prioritized for individuals at greatest risk of otherwise being pulled unnecessarily into the criminal legal system.

Exclusionary Criteria

Arrest diversions

It is typical for sites to establish some exclusionary criteria for arrest diversionArrest diversions give law enforcement officers the option of referring people to LEAD at the point of arrest (either pr… More, out of concern that individuals with extensive serious criminal history, who could have been booked into jail but were not, could jeopardize the framework for diversion to community-based care if they committed a serious crime in the aftermath of a LEAD arrest diversion. This is a reasonable concern even if LEAD partners know that it’s unlikely that processing the person through the legal system as usual would have avoided the future incident either.

Criminal history exclusions from eligibility for arrest referral should be limited, and it should be possible for sergeants or commanders to override them in individual cases where in-field diversion makes the most sense under all the circumstances.

Social contact and community referrals

For social contact referralsSocial contact referrals give law enforcement officers the opportunity to refer people whose law violations may be relat… More and community referrals, the logic of criminal history exclusions from eligibility does not hold water. These individuals are already in the community and there is no present legal authority to take them into custody. Providing them access to LEAD case managementLEAD-style case management is the heart and soul of LEAD’s effective, coordinated system of care, one that reorients e… More can only improve community safety, even if the individual has substantial serious history.

In social contact and community referralsCommunity referrals provide community partners with the opportunity to refer people who are known to chronically engage … More, therefore, there should be no automatic criminal history exclusions. However, individual referrals may be vetted by project managersThe Project Manager (PM) is responsible for coordinating all aspects of the LEAD initiative and managing its day-to-day … More, case management supervisors, and other partners to share any insights from known criminal history, to the extent this sheds light on potential risk to staff or on the referred person’s needs and situation.

Enrolling into LEAD

Enrolling into LEAD requires an individual to do only two things: (i) Complete a psychosocial intake interview, and (ii) sign a multi-party release of informationThe multi-party release of information (ROI) is the essential precondition for ongoing care coordination among LEAD oper… More allowing LEAD partners to appropriately share information, while abiding by LEAD’s Golden Rule that no one can be worse off because they participate in LEAD.

Step 1: Psychosocial Intake Interview

As one of the requirements of enrollment, people referred to LEAD will work with a case managerLEAD-style case management is the heart and soul of LEAD’s effective, coordinated system of care, one that reorients e… More to complete a psychosocial intake interview. Ideally, this intake interview can be completed very soon after the arrest diversionArrest diversions give law enforcement officers the option of referring people to LEAD at the point of arrest (either pr… More – sometimes, on the same day, but later if the individual is not in a mental or physical state to engage in a long discussion. It is considered a LEAD best practice to ensure that an interview is completed within 30 days of the arrest diversion, but that can be extended by agreement of the referring officer or sergeant if case managers have a specific reason to believe they can succeed with more time, or if the individual has been incapacitated (in jail or hospital, for example).

Step 2: Multi-Party Release of Information

The multi-party release of informationThe multi-party release of information (ROI) is the essential precondition for ongoing care coordination among LEAD oper… More (ROI) is the essential precondition for ongoing care coordination among LEAD operational partners, allowing case managers to share information as needed and appropriate with police, prosecutors, judges, other care providers, and even neighborhood businesses and government officials, if to do so is in the participant’s interest.

A Deeper Dive:

First Golden Rule – Share Information Appropriately

One of LEAD’s two Golden Rules is that no participant can be worse off because of LEAD. For example, LEAD can do no harm as a result of a participant sharing information with their case managerLEAD-style case management is the heart and soul of LEAD’s effective, coordinated system of care, one that reorients e… More or a case manager appropriately sharing information with police and prosecutors.

Violation of this rule will quickly collapse the information-sharing environment that makes the program work. LEAD is not immunity for future unlawful conduct, and no partner’s hands are tied as to how they will respond to future problematic behavior. But enforcement action against a participant has to be something that would have otherwise occurred but for their participation in the program – it cannot occur based on information police or prosecutors received through LEAD care coordination.

Concretely, this Golden Rule means that:

Case managersLEAD-style case management is the heart and soul of LEAD’s effective, coordinated system of care, one that reorients e… More must not be subpoenaed to provide evidence against their participants in any pretrial diversion revocation proceeding.

Information provided by a case manager to judges or prosecutors or probation officers cannot be the basis of adverse action against the participant.

Courts and probation departments cannot substantively supervise the individual progress of the participant. Case managers can confirm that they are working with the individual, can share information about progress pursuant to the multi-party ROIThe multi-party release of information (ROI) is the essential precondition for ongoing care coordination among LEAD oper… More, can share information about barriers and resource limitations, and can help court and probation gain insight about prospects for further progress and interim goals. However, they should not provide any specific information that would or could prompt enforcement or revocation steps. They should at all times be truthful and not create a false impression, but rather than provide specific information about any law violations or problematic activity, the case manager should inform the court that “there is nothing helpful to report at this time.”

Template assessment confirmation and progress report forms reflecting those limitations, and a template Memorandum of UnderstandingA Memorandum of Understanding (MOU), signed by the relevant decision-making authorities, documents the principal agreeme… More with courts interested in referring individuals with filed pending cases, are available from the LEAD Support BureauThe LEAD Support Bureau (LSB) was founded in 2016 to respond to growing interest in LEAD replication across the United S… More.

In the case of arrest diversion, there is a 24 hour non-return request

Individuals who are diverted post-arrest are asked by case managersLEAD-style case management is the heart and soul of LEAD’s effective, coordinated system of care, one that reorients e… More not to return to the location where they were arrested for 24 hours after their release. The 24 hour non-return request is to reduce neighborhood frustration with the decision to divert, and it’s an important gesture toward the officer who made the choice to call case managers instead of taking someone to jail. If someone does head right back to that location, officers could make a jail booking decision. If the diverted person has a pressing need to return to the area, the case managerLEAD-style case management is the heart and soul of LEAD’s effective, coordinated system of care, one that reorients e… More will coordinate with the arresting officer or sergeant to share that information.

Modifications may be made for operational capacity

In many sites, it can be initially difficult to establish the operational capacity to enable real-time, in-field arrest diversionsArrest diversions give law enforcement officers the option of referring people to LEAD at the point of arrest (either pr… More/warm handoffs 24/7 throughout a given jurisdiction. As a result, many sites begin with a modified version – perhaps by limiting the precincts, neighborhoods, or operational hours when immediate in-field response will be available, or by providing the site’s case managementLEAD-style case management is the heart and soul of LEAD’s effective, coordinated system of care, one that reorients e… More agency with contact information gathered by the officers, for follow-up with the potential participant, who is simply investigated and released from the station, precinct or patrol car.

Though this is not a violation of LEAD core principles, it is not optimal – the warm handoffA LEAD warm handoff describes the process by which a LEAD participant is diverted out of the criminal legal system and i… More is by far the most effective point of contact, and it feels more effective to officers to have case managersLEAD-style case management is the heart and soul of LEAD’s effective, coordinated system of care, one that reorients e… More respond in real time. As well, it will be far more difficult for case managers who didn’t meet the individual at the point of arrest to locate the person later. In such cases, it is extremely important to ensure that follow-up is immediate, active, ongoing, and in the field, so as to reach and engage people as soon as possible.