Leading Change: Improving 

the Court and Community’s 

Response to Mental Health 

and Co-Occurring Disorders
Leading Change: Improving the Court and Community’s Response to Mental Health and Co-Occurring Disorders

1

A PROJECT ON BEHALF OF THE NATIONAL 

INITIATIVE TO IMPROVE THE JUSTICE 

SYSTEM REPONSE TO MENTAL ILLNESS
Leading Change: Improving the Court and Community’s Response to Mental Health and Co-Occurring Disorders

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Table of Contents

 3 Acknowledgments

 5 Leading Change: Improving the Court and Community’s Response

to Mental Health and Co-Occurring Disorders

 7 Coordinated Court and Community Responses

 8 GETTING STARTED

11 CONVENE STAKEHOLDERS

15 AT YOUR FIRST MEETING

17 ASSESS THE MENTAL HEALTH LANDSCAPE

20 COLLECT DATA

22 IMPLEMENT IMPROVED RESPONSES

24 SUSTAIN YOUR EFFORTS

28 A Concluding Reminder

The National Center for State Courts thanks the State Justice Institute for its financial support of this 

effort. This document was developed under Grant Numbers SJI-16-T-287 and SJI-19-P-019. The points 

of view expressed within are those of the authors and do not necessarily represent the official position 

or policies of the State Justice Institute or the National Center for State Courts.
Leading Change: Improving the Court and Community’s Response to Mental Health and Co-Occurring Disorders

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Acknowledgments 

In 2006, the Conference of Chief Justices (CCJ) published a resolution, In Support of the Judicial Criminal 

Justice/Mental Health Leadership Initiative, which encouraged all chief justices to lead the movement to address 

the impact of mental illness on the court system.1 In 2017, the Conference of State Court Administrators 

(COSCA) adopted a policy paper, Decriminalization of Mental Illness: Fixing a Broken System.

2 The policy 

paper, endorsed by CCJ in 2018, addresses the evolution of responses to those with mental illness, highlights 

key issues for successful responses, and makes explicit recommendations around developing a more robust, 

capacity-based response to those with mental health issues.

Recognizing the immediate importance of addressing mental health issues in state courts, Arizona established 

the Fair Justice Subcommittee on Mental Health and the Criminal Justice System.3 The Subcommittee 

developed “recommendations designed to promote a more efficient and effective justice system for those 

individuals who come to court and are in need of behavioral health services.”4 Those recommendations were 

incorporated into a Guide for Arizona Presiding Judges: Improving Court’s Response for Persons with Mental 

Illness (the Arizona Guide), an Arizona-specific guide for presiding judges to use to lead change around mental 

health issues in their communities.5 

In the spring of 2019, the State Justice Initiative (SJI) awarded a grant to the National Center for State Courts 

(NCSC) for a national three-year initiative to improve the justice system response to those with mental health 

issues. The Improving the Justice System Response to Mental Illness Initiative (National Initiative) focuses on 

developing resources, best practices, and recommended standards in a variety of mental health areas, improving 

caseflow management, building capacity of state and national court leaders to implement reforms, and promoting 

education for national and state court leaders. As a part of that initiative, the Arizona Guide was adapted into this 

national guide. This guide will provide a national perspective for mental health responses at the local as well as 

the state court level by providing judges across the country with a guide to developing mental health plans for 

their local jurisdictions. 

This guide is one tool developed within the National Initiative to help court leaders create community by 

community change in how mental health issues are addressed. The National Initiative also includes an interactive 

website,6 regional summits,7 and workshops.8

1 Conference of Chief Justices, Resolution 11: In Support of the Judicial Criminal Justice/Mental Health Leadership Initiative, 2006, https://ccj.ncsc.org/~/media/Microsites/Files/CCJ/Resolutions/01182006-In-Support-of-the-Judicial-Criminal-Justice-Mental-Health-Leadership-Initiative.ashx.

2 Conference of State Court Administrators, Decriminalization of Mental Illness: Fixing a Broken System, 2017, http://cosca.ncsc.org/~/media/Microsites/Files/COSCA/Policy%20Papers/2016-2017-Decriminalization-of-Mental-Illness-Fixing-a-Broken-System.ashx. COSCA expressly advocates for “1) an Intercept 0 capacity based standard for court-ordered treatment as 

used in court-ordered treatment of other illnesses to replace the dangerousness standard now applied, 2) Assisted Outpatient Treatment (AOT) under a capacity-based standard, and 3) robust 

implementation of Intercepts 1 through 5 of the Sequential Intercept Model.”

3 Subcommittee meeting materials and member information can be found at https://www.azcourts.gov/cscommittees/Task-Force-on-Fair-Justice-for-All/Subcommittee/Mental-Health-and-Criminal-Justice. 

4 Report and Recommendations of the Fair Justice Taskforce’s Subcommittee on Mental Health and the Criminal Justice System, May 2018, https://www.azcourts.gov/Portals/74/TFFAIR/Subcommittee/FJ-MHCJ/Resources/Report042618TFFAIRMHCJ.pdf. 

5 Guide for Arizona Presiding Judges: Improving Court’s Response for Persons with Mental Illness, October 2018. For a complete list of the names of many invaluable contributors to the Arizona 

Guide that could not be included here, please refer to the Acknowledgements section.

6 http://www.ncsc.org/mentalhealth

7 http://www.ncsc.org/mentalhealth

8 http://www.ncsc.org/mentalhealth
Leading Change: Improving the Court and Community’s Response to Mental Health and Co-Occurring Disorders

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NCSC would like to thank the Arizona Administrative Office of Courts and the many professionals in multiple 

counties who have shared their time and expertise with the project team.9 Significant input from the following 

agencies and individuals were instrumental in the revision of the Arizona Guide into this national guide:

National Guide Committee

Hon. Paula Carey, Chief Justice of the Trial Court, Massachusetts

Leigh Ann Davis, Director, Criminal Justice Initiatives at The Arc

Callie Dietz, Washington and Alabama State Court Administrator (ret.)

Paul DeLosh, Director of Judicial Services, Supreme Court of Virginia

Hallie Fader-Towe, Program Director, The Council of State Governments Justice Center

Don Jacobson, Senior Special Projects Consultant, Arizona Supreme Court

Jessica Kay, Senior Associate Director, Center for Court Innovation

Hon. George Lipman, Baltimore City District Judge, Maryland

Michelle O’Brien, Principal Court Management Consultant, National Center for State Courts

Travis Parker, Senior Project Associate, Policy Research, Inc.

Richard Schwermer, Utah State Court Administrator (ret.)

Hon. John Stegner, Associate Justice, Idaho Supreme Court

Kristi Taylor, Executive Director, Texas Judicial Commission on Mental Health

Angie VanSchoick, Court Administrator, Town of Breckenridge, Colorado

National Center for State Courts

Patricia Tobias, Principal Court Management Consultant

Nicole L. Waters, Director of Research Services

Caisa Elizabeth Royer, Court Research Associate

9 Arizona Guide, supra note 4. For a complete list of the names of many invaluable contributors to the Arizona Guide that could not be included here, please refer to the Acknowledgements 

section of the Arizona Guide.
Leading Change: Improving the Court and Community’s Response to Mental Health and Co-Occurring Disorders

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The National Guide

Trial courts have increasingly become the default system for addressing the needs of those with mental and 

behavioral health issues. Sixty-four percent of people in local jails suffer from mental illness.10 The rate of 

serious mental illness is four to six times higher in jail than in the general population,11 and the rate of substance 

use disorders is seven times higher among those in jail than in the general population.12 Failure to respond to 

these issues invites a continuing public health crisis and the continued criminalization of mental health that has 

devastating effects to individuals, families, and society.

Mental health advocate Judge Steve Leifman claims that the “justice system is a repository for most failed public 

policy.”13 Over 57 percent of adults with mental illness did not receive mental health treatment in the previous 

year.14 Without access to social services, the answer 

to a mental health crisis is often police and justicesystem involvement, which can have broad-reaching 

and lasting implications. Incarceration negatively affects 

mental health outcomes, housing stability, employment, 

and community integration. A robust community 

response can prevent justice-system involvement, 

recidivism, and the associated negative outcomes for 

many individuals with mental health issues.

As leaders of their courts and communities, judges 

are in a unique position to expand and improve the 

response to individuals with mental illness.15 The Conference of Chief Justices/Conference of State Court 

Administrators recognized the critical role of judges as leaders on this issue in Resolution 11, In Support of the 

Judicial Criminal Justice/Mental Health Leadership Initiative, a national group co-chaired by Judge Leifman that 

includes judges and psychiatrists from across the country.16 For decades, courts have gained experience in 

convening diverse stakeholders to tackle complex problems both within and outside of the justice system. From 

the evolution of problem-solving courts to dependency dockets, courts are often at the vanguard of responding 

to societal issues. This reality has paved the way for an independent but involved judiciary. At the national level, 

state court leadership has recognized the important role courts play in addressing the mental health crisis. The 

Conference for State Court Administrators (COSCA) has adopted the stance that “court leaders can, and must, 

. . . address the impact of the broken mental health system on the nation’s courts—especially in partnership with 

behavioral health systems.” 17

“What you learn after several years 

on the bench is that the criminal justice 

system is the repository for most failed 

public policy. And there is no greater 

failed public policy than our treatment 

towards people with mental illnesses.”

 

 - Judge Steve Leifman

10 The White House, Fact Sheet: Launching the Data-Driven Justice Initiative: Disrupting the Cycle of Incarceration (June 30, 2016), https://obamawhitehouse.archives.gov/the-press-office/2016/06/30/fact-sheet-launching-data-driven-justice-initiative-disrupting-cycle.

11 Vera Institute of Justice, Incarceration’s Front Door: The Misuse of Jails in America (February, 2015), http://www.safetyandjusticechallenge.org/wp-content/uploads/2015/01/incarcerations-front-door-report.pdf.

12 The Council of State Governments Justice Center, Health, Mental Health, and Substance Use Disorders FAQs, https://csgjusticecenter.org/substance-abuse/faqs/#q2.

13 Judge Steve Leifman is an associate administrative judge on the county criminal division of the Eleventh Judicial Circuit Court of Florida and is the Special Advisor on Criminal Justice and 

Mental Health Reform for the Supreme Court of Florida, https://www.jud11.flcourts.org/Judge-Details?judgeid=735§ionid=97.

14 National Alliance on Mental Illness, Mental Illness Statistics (2017), https://www.nimh.nih.gov/health/statistics/mental-illness.shtml#part_154787.

15 Recent conferences have focused on providing leadership training and resources for judges. See National Association for Presiding Judges and Court Executive Officers, 2017 Leadership 

Conference, http://napco4courtleaders.org/2017-conference/.

16 Conference of Chief Justices, Resolution 11: In Support of the Judicial Criminal Justice/Mental Health Leadership Initiative, 2006, https://ccj.ncsc.org/~/media/Microsites/Files/CCJ/Resolutions/01182006-In-Support-of-the-Judicial-Criminal-Justice-Mental-Health-Leadership-Initiative.ashx.

17 COSCA, supra note 1 at 20.
Leading Change: Improving the Court and Community’s Response to Mental Health and Co-Occurring Disorders

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An effective response to the needs of individuals with mental health and co-occurring disorders requires 

committed stakeholders across a spectrum of services and time. From screening and assessment to diagnosis, 

emergency health responses, probation and beyond, effective mental health responses must be appropriately 

tailored to the individual as well as available services in the community. This guide is intended to be a practical 

tool for convening stakeholders across systems and developing a plan to address mental health needs in your 

community. 

Over 70 percent of individuals with serious mental illness in jails also have a co-occurring substance use 

disorder. As such, this guide can and should be extended to those individuals with a co-occurring disorders. In 

fact, this guide should be applied to the full spectrum of individuals with mental health issues, from those with 

emerging mental health concerns to those with serious mental illness. A comprehensive response must also 

consider the role of trauma, traumatic brain injury, and developmental disabilities.18 In addition, court leaders 

should contemplate how to address the intersectionality between mental illness and special populations, such as 

juveniles, emerging adults, women, people of color, veterans, and those who are LGBTQ+.19 

Court and behavioral health structures differ between 

states, but the advice in this guide is designed to apply 

universally. This guide emphasizes a community-bycommunity approach, but that action is best coupled with 

statewide leadership. Engaging state agencies in the 

process will help with alignment of local and state-level 

efforts and goals. The recommended checklist of action 

steps incorporates plan development considerations 

across a diverse set of jurisdictions. While these action 

steps provide the “backbone,” specific strategies will 

vary from jurisdiction to jurisdiction depending on existing 

efforts, available resources, and community infrastructure. 

Where possible, this guide contains Local Considerations that reflect these considerations.

Addressing the mental health needs in your community is an important but weighty undertaking that will require 

sustained effort and time. Resources are often siloed, and it will take time to identify and untangle them. Because 

of your unique position as a judge and a leader, you are an optimal convener of these diverse stakeholders. This 

guide will help you get started and provide information about what to consider during the beginning stages of 

the process. The guide describes the important steps of convening stakeholders, assessing the mental health 

landscape in your community, and implementing court and community responses and strategies. Any steps 

forward will be positive and will make a difference in the community.

18 http://www.ncsc.org/mentalhealth

19 Topic papers covering issues specific to special populations will be posted on the National Initiative’s webpage, http://www.ncsc.org/mentalhealth.

“Court leaders can, and must . . . 

address the impact of the broken mental 

health system on the nation’s courts—

especially in partnership with behavioral 

health systems.”

 

 - Conference for State 

 Court Administrators
Leading Change: Improving the Court and Community’s Response to Mental Health and Co-Occurring Disorders

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In order to address mental health needs in your community, certain court and community responses must be 

developed early on. The most effective approach is to design responses that are engaged in by community 

collaborators early and often. 

As a starting place, COSCA recommends using the Sequential Intercept Model (SIM), which identifies 

appropriate responses at several intercept points that can keep an individual from continuing to penetrate the 

criminal justice system.20 Nevertheless, effective court and community responses require interventions prior to 

engagement in the criminal justice system. As such, this guide recommends several additional areas of focus 

that, if engaged in proactively, can create necessary support structures and prevent justice system involvement 

for those with mental health disorders. These additional practices address physical and behavioral health needs, 

pre-crisis community resources, family and public outreach, and civil justice needs. Additionally, a focus should be 

placed on the role of court leaders and the importance of data and information sharing. This model is visualized in 

Figure 3. 

Every community will be at a different place with its response to mental health and co-occurring disorders. As you 

look through the various recommendations in this guide, consider your own community and the best way to use 

these tools to build a structure of support for mental health issues within it. More information about recommended 

practices for each part of the model can be found on the National Initiative’s web page.21

20 The Sequential Intercept Model is a community strategic planning tool that helps communities assess available resources and determine gaps in services. The goal is to develop priorities and 

create a plan to improve the response to mental and substance use disorders. See Policy Resource Associates, The Sequential Intercept Model (2019), https://www.prainc.com/sim/.

21 http://www.ncsc.org/mentalhealth

Figure 3. The Sequential Intercept Model and additional areas of focus for 

coordinated court and community responses.

Coordinated Court and Community Responses
Leading Change: Improving the Court and Community’s Response to Mental Health and Co-Occurring Disorders

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 Getting Started

• Consider the many stakeholders who could be involved and identify stakeholders relevant for your 

jurisdiction. See the list of potential stakeholders in Table 1.

• Plan a first meeting, create an agenda, and invite stakeholders.

• Convene the workgroup of stakeholders to assist you in this important effort.

Local Considerations

Existing councils and 

committees can be 

leveraged as a starting 

point and backbone 

support for your efforts.

22 For more information, including a list of participating counties, visit http://stepuptogether.org. 

23 For more information, visit http://www.safetyandjusticechallenge.org. 

This entire guide has been developed for leaders in the court community. As a first step, review the guide in 

its entirety and ask others in your jurisdiction to do the same. After you 

have all read the guide, discuss your preliminary thoughts on the best 

way to proceed in your community. This discussion should include a 

conversation on existing court and community mental health responses. 

Laying these out in a preliminary manner will provide context on the 

community’s size, infrastructure, and resources that shape the most 

appropriate approach to this effort. For example, a jurisdiction with 

numerous treatment providers and many stakeholders might tackle 

protocol development in more manageable working groups that 

report back to a main development group. A jurisdiction with fewer key 

stakeholders might develop protocols as an entire group. 

Also, consider prior multi-disciplinary efforts that may have been undertaken in the last few years. Has your 

court and/or the community participated in the Stepping Up Initiative 22 or the Safety and Justice Challenge?23 

Have you participated in any “mapping” exercises designed to identify existing resources, gaps in services and 

community priorities? Do you have a criminal justice coordinating council or other group of stakeholders that 

meets periodically? Think about the leaders in your court and in the community. Like any successful effort, you 

will need “champions” to contribute to the work ahead.

The Stepping Up Initiative led by the National Association of Counties, the Council of State Governments Justice 

Center, and the American Psychiatric Association Foundation, provides a framework for convening stakeholders 

and gathering appropriate data to inform a system-wide planning process (See Box on Six Questions County 

Leaders Need to Ask). While judges appropriately lead court response efforts, they are one piece of the mental 
Leading Change: Improving the Court and Community’s Response to Mental Health and Co-Occurring Disorders

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24 National Judicial Opioid Task Force, The Court’s Role in Combating the Opioid Crisis: Using the Sequential Intercept (SIM) as a Place to Start (2019), https://www.ncsc.org/~/media/Files/

PDF/Topics/Opioids-and-the-Courts/NJOTF%20Resources/The%20Courts%20Role%20in%20Combating%20the%20Opioid%20Crisis-Using%20the%20SIM%20Final.ashx; The Stepping Up 

Initiative, County Election Official’s Guide to the Six Questions County Leaders Need to Ask (2018) https://stepuptogether.org/wp-content/uploads/2018/04/Elected-Officials-Guide%E2%80%93to

%E2%80%936Q_4-4-18.pdf. A more robust guide describes why each question matters and what the best practices around the questions look like. Risë Haneberg et al., Reducing the Number of 

People with Mental Illness in Jail: Six Questions County Leaders Need to Ask (2017), https://stepuptogether.org/wp-content/uploads/2017/01/Reducing-the-Number-of-People-with-Mental-Illnesses-in-Jail_Six-Questions.pdf; The Stepping Up initiative, Stepping Up Strategy Lab, https://lab.stepuptogether.org/database/results/.

25 Available online at: https://stepuptogether.org/products

26 Available online at: https://tool.stepuptogether.org/

27 For more information, see Jensen et al., Championing Person-First Language: A Call to Psychiatric Mental Health Nurses, 19 J. Am. Psych. Nurses Ass’n 146 (2013), http://citeseerx.ist.psu.

edu/viewdoc/download?doi=10.1.1.898.78&rep=rep1&type=pdf; City of Philadelphia, Department of Behavioral Health and Intellectual disAbility Services, Person First Guidelines, https://dbhids.

org/wp-content/uploads/2015/09/Person-First-Initiative-Guidelines.pdf; ADA National Network, Guidelines for Writing about People with Disabilities, https://adata.org/sites/adata.org/files/files/

ADANN_writing_guidelines_2015-FINAL.pdf.

28 This process is similar to other court-led reform efforts in the access to justice and civil justice reform arenas. The Civil Justice Initiative provides a roadmap for implementing change in the civil 

justice system See Transforming Our Civil Justice System for the 21st Century: A Roadmap for Implementation, http://www.ncsc.org/~/media/Microsites/Files/Civil-Justice/CJI%20Implementation%20Roadmap.ashx. The Justice for All project lays out the process for an integrated, action-driven assessment and planning process. See Justice for All Guidance Materials 2016, http://www.

ncsc.org/~/media/Microsites/Files/access/Justice%20for%20All%20Guidance%20Materials%20Final.ashx. 

Figure 4. The Community-Based Mental Health Response Mapping Process

Six Questions County 

Leaders Need to Ask

The Stepping Up Initiative

1. Is our leadership committed?

2. Do we collect timely screening 

assessments?

3. Do we have baseline data?

4. Have we conducted a 

comprehensive process analysis and 

inventory of services?

5. Have we prioritized policy, 

practice and funding improvements?

6. Do we track progress?

health system responses; effective community-based 

mental health responses require buy-in and action from 

local elected officials. Six Questions County Leaders 

Need to Ask, developed by the Stepping Up Initiative, 

is an excellent resource for framing assessment at the 

systems level.24 In particular, the Stepping Up website 

includes a detailed Project Coordinator’s Handbook with 

exercises to walk an interagency group through the Six 

Questions 25 and a Self-Assessment Tool.26

As you begin this effort, you should make a 

commitment to be conscious of your choice of language 

and ask the others joining you to do the same. Avoid 

stigmatizing language. Person-first language helps 

keep conversations person-centered rather than 

focused on issues to be managed. Whenever possible, 

defer to the preferences of individuals for how they 

choose to identify themselves (e.g., person with lived 

experiences, survivor, person in recovery, etc.).27

Either prior to the first meeting or with your stakeholder group, a developmental plan should be established. 

Developing any effective collaborative response to a complex issue requires first understanding the available 

resources. Simply put, you must first understand where you are before you can determine where you want and 

need to go. Figure 4 outlines the mapping process that informs effective and appropriate judicial and community 

responses.28 All five phases (assessment, gap determination, plan development, implementation, and 

sustainability) are necessary to develop a comprehensive community response to mental and behavioral health 

issues.
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For this endeavor, it will be important to have strong community collaboration, as well as judicial investment. 

Table 1 identifies the many stakeholders who should be included in a task force or community meetings. 

Community meetings are more inclusive than an appointed task force 

and do not limit the number of people involved. When determining 

which stakeholders to invite, consider broad involvement in the work 

ahead and consider gender, racial, ethnic and geographic diversity 

across all spectrums of responsibility. This might include bringing new 

stakeholders to the table and developing new relationships through the 

task force effort. 

Think about the roles each task force member will play. For example, 

someone on the task force should understand funding opportunities 

and others should know the available community resources. You should 

be looking for both champions of the cause and people who can span 

boundaries across the justice, community, court, and behavioral and 

mental health systems. Some community resources may be siloed, 

so it is important to identify diverse stakeholders who can make sure 

the whole spectrum of available resources is identified. Invite people 

who know the local landscape as well as those who know state-level 

resources. Extend invitations to leaders from other courts in your 

community. Stakeholders should have a working knowledge of the challenges of mental health issues, and you 

should include stakeholders who cover all needs of a person with a mental health disorder.

 Convene Stakeholders

• Consider the many stakeholders who could be involved and identify stakeholders relevant for your 

jurisdiction. See the list of potential stakeholders in Table 1.

• Plan a first meeting, create an agenda, and invite stakeholders.

• Convene the workgroup of stakeholders to assist you in this important effort.

Local Considerations

Judges should consider 

a jurisdiction’s 

available resources and 

infrastructure when 

identifying stakeholders 

and the protocol 

development structure. If 

a jurisdiction’s effort does 

not include a sufficient 

number of stakeholders to 

form meaningful working 

groups, the group should 

work as a whole on each 

intercept. 
Leading Change: Improving the Court and Community’s Response to Mental Health and Co-Occurring Disorders

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You should consider implementation and sustainability strategies when convening participants. This includes 

ensuring stakeholder leadership representation and buy-in to execute developed plans. You should also consider 

the importance of soliciting a range of viewpoints from state leadership to “front-line” employees who directly 

interact with affected individuals. Inclusion of individuals with lived experiences and their family members is critical 

to understanding the specific challenges involved with navigating the systems. The importance of buy-in cannot 

be overstated in the development process. As leaders, judges should endeavor to ensure the participants feel 

heard and are offered an opportunity to meaningfully contribute to the process.

Consider the appropriate number of stakeholders to invite to participate as well as strategies to ensure that 

everyone’s perspectives are heard and incorporated in a manageable way. This decision will depend on the 

number of providers and interested parties in your community. You may want to invite different stakeholders to 

join the discussion at various stages. 
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It is critical that court and community responses to mental health issues are viewed in a holistic manner to 

avoid narrow and siloed responses. Development efforts should include creation of individual working groups 

to develop plans across each point of the justice system, from before a crisis occurs to probation and beyond. 

Nevertheless, to ensure a comprehensive response, there should also be a mechanism for bringing the entire 

development group together to review findings and develop a plan that spans across intercepts. 

You should think about:

1. The purpose of the group (e.g., develop policies, communication strategies, funding coalitions);

2. Whether the group is a standing committee or convened for a limited duration; and

3. Who is best suited to serve in this capacity (i.e., top leadership or those with in-depth knowledge about the 

resources and programs)?

To ensure inclusion, you should ask those participating in the first meeting if you have missed other important 

roles to include in the effort.

After you have considered who to invite to contribute to this effort, you will plan the first meeting agenda. Sample 

meeting agendas are included in this guide for your reference and adaptation to the needs of your court and the 

community (see Appendix A).

Once you have identified those you want to invite and drafted an initial agenda, issue the invitations. Personally 

reaching out to invitees through a phone call can help emphasize the importance of this effort. Consider the 

budgets of your stakeholders and make an effort to provide housing, transportation, or other arrangements as 

needed. Set the meeting date sufficiently in advance to maximize participation. A minimum of four to six weeks in 

advance is recommended.
Leading Change: Improving the Court and Community’s Response to Mental Health and Co-Occurring Disorders

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 At Your First Meeting

• Engage your stakeholders; do a lot of active listening. Ask stakeholders how to think outside the box to 

find solutions.

• Propose a process to “map” the resources in your community to understand where you are and where 

you need to go to improve court and community responses.

• If not already completed, map your community’s resources. Recognize that completing the mapping 

process may take a number of meetings and effort by separate workgroups.

• Decide the frequency of meetings to lead change in your community and choose a date for the next 

meeting.

• Create a communication plan for sustained collaboration with stakeholders.

Make sure your stakeholders feel welcome. There should be food and drinks provided. Print out copies of the 

meeting agenda and the invitation. Engage your stakeholders and thank them for their time. Share with them why 

this effort is important to you and what you hope to accomplish through this effort. Do a lot of listening. Ask each 

person to introduce themselves, share his or her role and responsibilities and why the work is important to them. 

Later in the agenda you will ask each participant if they are willing to work with you in the months and year(s) 

ahead to improve the court and community response to those with mental health issues. 

You should elect a co-chair from outside the court community to help spearhead the effort. The co-chair will bring 

a different perspective of the mental health landscape in your community, and their involvement will reinforce the 

importance of collaboration throughout this process.

You will then either propose a plan and/or invite the participants to offer their suggestions, or both. Mapping to 

the Sequential Intercept Model (SIM) or a similar resource mapping exercise29 is recommended as a key initial 

planning tool, if a resource map has not already been completed in your community (See Appendix C for sample 

planning materials for SIM). You can propose to conduct the National Initiative’s workshops,30 a SIM workshop 

29 The Stepping Up initiative has an In Focus brief on Conducting a Comprehensive Process Analysis, which includes several sample system maps, available online at: https://stepuptogether.

org/wp-content/uploads/JC_Stepping-Up-In-Focus_Conducting-a-Comprehensive-Process-Analysis.pdf .

30 Reference the workshop
Leading Change: Improving the Court and Community’s Response to Mental Health and Co-Occurring Disorders

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model with a facilitator, or an abbreviated mapping process. Any of 

these methods will help stakeholders understand where the community 

is in terms of resources, what the gaps are, and what needs to be 

accomplished in order to improve court and community responses. 

At this first organizational meeting you will also want to decide how 

best to move forward, i.e., how to organize yourself within workgroups 

or meetings of the whole body and decide the frequency of meetings. 

Meeting at least monthly or every other month is recommended to build 

and maintain momentum. 

Ongoing communications both within the workgroup or task force and 

throughout the community are critical to the success of the ongoing 

efforts. You will want to develop a plan to maintain active communication 

with your stakeholders. Later as you proceed you will want to expand the 

communication of plans and strategies throughout your communities.

Local Considerations

Jurisdictions without 

dedicated communications 

staff/support can explore 

tailoring communication 

plans that reflect 

jurisdiction capacity 

and explore coordinated 

communication 

partnerships with other 

jurisdictions or agencies.
Leading Change: Improving the Court and Community’s Response to Mental Health and Co-Occurring Disorders

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31The Judges’ and Psychiatrists’ Leadership Initiative has developed a worksheet for judges to use to identify community-based treatments and supports, available online at: https://csgjusticecenter.org/wp-content/uploads/2019/07/My-Community-Resources-JPLI.pdf.

32 Opportunities to “intercept” persons with mental health disorders are referred to as “intercepts” in the SIM model. For example, law enforcement could intercept a person with a mental health 

disorder during a call for service by diverting the individual to a stabilization unit rather than jail. Law enforcement is one of six intercepts in the SIM model. Policy Resource Associates, The 

Sequential Intercept Model (2019), https://www.prainc.com/wp-content/uploads/2018/06/PRA-SIM-Letter-Paper-2018.pdf.

Local Considerations

Jurisdictions that have 

already completed SIM 

mapping should complete 

an abbreviated review (and 

update) of their mapping 

process. 

 Assess the Mental Health Landscape

• Inventory the mental health landscape in your community.

• Examine the existing responses at each intercept point; document those responses.

• Identify any gaps in the community and court processes for those with mental health issues.

• Consider adapting protocols that have been developed in other counties and states to meet your needs.

• Identify potential solutions and set priorities to address identified gaps. Develop an action plan. 

• Solicit viewpoints and ensure “buy-in” of all stakeholders at every step.

Completing a collaborative and candid assessment of the mental health 

landscape will secure buy-in from stakeholders. You should encourage 

direct observations and analysis at each intercept regarding contact 

between an individual with mental health issues, the justice system, and the 

community broadly. Understanding the landscape is the foundation on which 

informed and targeted action is based. Each community is at a different 

stage in the process of addressing mental health needs and has a unique 

mental health system. It will take time to understand how the mental health 

system is structured within your community. As a first step, you can talk 

with mental health and other stakeholders about the types of treatment and 

supports available in your community.31

A comprehensive assessment requires input from all stakeholders and will allow you to identify ways to “intercept” 

persons with mental health and co-occurring disorders to ensure prompt access to treatment; opportunities for 

redirection or diversion; timely movement through the justice system; and linkage to community resources.32 

Each point in the model in Figure 3 provides opportunities for intervention as early as possible and allows you 

and the community to develop targeted strategies. 
Leading Change: Improving the Court and Community’s Response to Mental Health and Co-Occurring Disorders

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A comprehensive assessment should consist of the 

following steps:

 1. Convene stakeholders;

 2. Discuss and decide on how to approach the 

assessment (working groups, evaluations, reports, etc.);

 3. Investigate the existing response at each intercept 

and data collection opportunities;

 4. Document responses and effectiveness as well as 

resources/gaps; and

 5. Identify accompanying evidence-based, best, and 

promising practices.

Depending on your community’s experience with resource 

mapping, you will either schedule a separate mapping 

workshop or use the results of previous mappings to build 

upon. Mapping provides you the best tool to inventory 

community services and collaborative efforts, assess gaps 

and opportunities, identify where to begin interventions, 

and help you to examine, plan, and implement priority action plans to improve your community and court 

responses.33

A one to two-day mapping workshop will generally include the following agenda items:

1. Description of the mapping workshop.

2. Evidence-based, best, and promising practices and national trends across intercepts. 

3. Mapping of cross systems (court, community, civil, criminal, law enforcement, behavioral health, etc.).

4. Identification of gaps and opportunities.

5. Setting of priorities.

6. Action planning based upon priorities and developing specific plans for taking action.

7. Next steps, moving forward.

8. Assessment goals should frame the work of the group. 

Assessment approaches and strategies require an action plan and timeline.34 Investigating existing responses, 

both qualitatively and quantitatively, will provide the current mental health response “landscape.” For an idea of 

possible response strategies, the Stepping Up initiative has a database of different tools alongside descriptions.35

Six Questions County 

Leaders Need to Ask

The Stepping Up Initiative

1. Is our leadership committed?

2. Do we collect timely screening 

assessments?

3. Do we have baseline data?

4. Have we conducted a 

comprehensive process analysis and 

inventory of services?

5. Have we prioritized policy, 

practice and funding improvements?

6. Do we track progress?

33 See The Sequential Intercept Model as a Framework Video.

34 For an example, see a variety of reports on community action plans from Massachusetts as a part of the Massachusetts Community Justice Project, https://www.mass.gov/lists/massachusetts-community-justice-project-reports.

35 The Stepping Up initiative, Stepping Up Strategy Lab, https://lab.stepuptogether.org/database/results/.
Leading Change: Improving the Court and Community’s Response to Mental Health and Co-Occurring Disorders

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36 The Justice for All Strategic Action Planning guidance materials, developed in 2016 to help courts and other access to justice stakeholders meaningfully assess their access to justice 

ecosystem provides templates and questions that help drive a quality-driven inquiry. See Justice for All Guidance Inventory Assessment Guide, Appendix A (2016), http://www.ncsc.org/~/media/

Microsites/Files/access/Justice%20for%20All%20Guidance%20Materials%20Final.ashx. Toolkits for collaborative educational teams also implicitly incorporate this concept in self-assessment. 

See New Jersey Department of Education, Collaborative Teams Toolkit, 5 (2015), https://www.state.nj.us/education/AchieveNJ/teams/Toolkit.pdf

You can find suggestions of assessment questions at each intercept in Appendix D. Assessment inquiries should 

target a response from a multi-agency perspective in addition to a response from an individual perspective. 

Effective individual responses are impossible if they are not backed by supportive systems. 

The workgroup should document existing responses and resources at each intercept to allow for meaningful 

synthesis of existing gaps. When documenting the current status, discuss the quality and breadth of existing 

responses in addition to their existence.36 For example, what type of treatment is available for individuals with 

mental health disorders? How accessible is that treatment?
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 Collect Data

• Decide what data are important to collect to measure and assess effective responses. 

• Identify which agency(ies) will be responsible for the collection of the data and reporting to the workgroup.

• Secure necessary data sharing agreements.

• Leverage technology whenever possible.

Existing data collection strategies inform many justice and public safety programs.37 The development of 

comprehensive community-based mental and behavioral health responses is no different. Data collection is 

critical for enabling outcome tracking and conducting the initial mapping assessment. Therefore, data collection 

opportunities and strategies should be discussed at every intercept and across both civil and criminal matters. 

For example, the Stepping Up initiative focuses on four key outcomes related to its goal of reducing prevalence in 

jails: admissions, average length of stay, connections to treatment in the community, and recidivism.38

The data to be collected should be discussed and determined at the beginning of the process and then used to 

inform the mapping procedure. As the work continues, you should continue to discuss what additional data need 

to be collected to ensure effective responses and best practices. A sample of data elements related to Intercept 2 

are shown in Figure 5. The data elements listed are not exhaustive and should be identified by the stakeholders.

Figure 5. Sample Data Collection Opportunities 

37 States courts are now embracing evidence-based and data-informed strategies. There are a number of resources that provide informative data as well as questions to ask around data. See 

National Association of Counties, County Explorer: Mapping County Data, http://explorer.naco.org/ (mapping numerous county indicators), Council of State Governments Justice Center, 50-State 

Data on Public Safety, Arizona Workbook: Analyses to Inform Public Safety Strategies, 31 (March 2018), https://50statespublicsafety.us/app/uploads/2018/06/AZ_FINAL.pdf(outlining key questions about state data for public safety strategies); Urban Institute, Justice Reinvestment at the Local Level: Planning and Implementation Guide (October 14, 2010), https://www.urban.org/sites/

default/files/publication/71341/412233-Justice-Reinvestment.pdf (discussing the collection of data and how to use data to inform the selection of interventions).

38 The Stepping Up Initiative, In Focus: Collecting and Analyzing Baseline Data, https://stepuptogether.org/wp-content/uploads/In-Focus_Collecting-and-Analyzing-Baseline-Data.pdf
Leading Change: Improving the Court and Community’s Response to Mental Health and Co-Occurring Disorders

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Many agencies and organizations won’t have much available data. Work with the data that are readily available 

and then determine how to enable the collection of additional data moving forward.

Data collection opportunities often require data sharing agreements between agencies. For example, if a 

defendant is booked into jail but was receiving mental health treatment through a local behavioral health center, 

it is critical to share status notifications. You should first look to see what data sharing agreements already exist. 

Stakeholder organizations should work collectively to identify additional data sharing opportunities. Once those 

opportunities are identified, stakeholders should enter into an agreement that delineates the events that trigger 

data sharing and who has access to what information. The agreement should consider data retention and timing 

for receiving data updates, as well as confidentiality.39 This agreement should be in writing to establish stability 

throughout leadership and staffing transitions.

Data collection opportunities should be identified throughout the mapping process as well as throughout the 

planning process.

39 See Summary of the HIPAA Privacy Rule: https://multco.us/file/75791/download. 
Leading Change: Improving the Court and Community’s Response to Mental Health and Co-Occurring Disorders

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Local Considerations

Jurisdictions can partner 

to leverage technology 

capacity and seek funding 

opportunities to overcome 

sparse resources. 

 Implement Improved Responses

• Develop an action plan, strategies, and timelines for implementation of responses.

• Identify plans to secure full leadership support.

• Identify strategies to overcome barriers, including a need for financial support.

• Discuss and document shared goals. Use these as a starting point for implementing strategies toward

solutions.

• Consider grant, other funding, and technical assistance opportunities to enable you to accomplish your

goals and action plans.

Following a workshop or similar mapping exercise(s), stakeholders should begin to refine the list of priorities 

identified and action plans developed. This further action planning should define the responses desired; identify 

necessary leadership support; prioritize the order for implementation starting with foundational steps first; and 

identify constraints, strategies to overcome barriers, and financial support to move forward.

This detailed action plan will include strategies and timelines for 

implementation of responses. You will also need to discuss funding needs 

and whether any funding could be obtained from grants, local or state 

funds, and other opportunities.40 You should reach out to city, county, 

or state contacts to develop a plan to sustain funding for any developed 

responses. The stakeholders, with your leadership and encouragement 

and that of the court administrator, should make every effort to leverage 

technology to improve court and community responses to those with mental 

health issues. 

40 A list of funding resources to address substance use disorder and opioid misuse is available through the Office of National Drug Control Policy and U.S. Department of Agriculture: https://www.

rd.usda.gov/files/RuralResourceGuide.pdf.
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The potential for leveraging technology in mental health responses is immense and should support the entire 

response process. Automated messaging can be used at virtually every intercept, whether raising awareness, 

prompting action, or enabling informed monitoring. Video appearances enable remote participation. Remote 

appearances and telehealth enable individuals with mental health issues to overcome many impediments to 

successful court hearings including social anxiety and navigating scheduling or transportation challenges for 

receiving services. Technology can also facilitate the participation of remote stakeholders to overcome access 

issues often experienced in remote locations and for those without reliable access to transportation.41

41 Courts should consult with mental and behavioral clinicians to carefully consider which individuals may have deleterious reactions to remote technologies (e.g., individuals suffering from 

paranoid disorders). 
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 Sustain Your Efforts

• Conduct regular reviews through workgroup meeting agendas, adjust plans if necessary.

• Identify and implement outcome measures relevant to data collection.

• Reach out to the community on an ongoing basis through an established communication plan.

• Continue to engage your stakeholders; regularly review list of stakeholders for additions/adjustments.

• Discuss and agree upon effective communication strategies, such as enlisting leadership support and 

identifying a point of contact for regular communication.

• Establish a regular schedule to assess and reassess your response efforts.

• Facilitate necessary training (and cross-training) for the workgroup members and others involved in

improving responses.

Once the plan has been implemented, it is important to sustain your efforts. This will require continued funding, 

persistence, and time. Throughout the developmental process, you should work to gain an understanding of 

how systems and services are funded and the opportunities that may provide support for this endeavor. One of 

your roles is to bring stakeholders together and build lasting relationships. Think about yourself as a broker for 

change, but also be mindful of judicial ethical considerations and your comfort level at trying to implement policy. 

Advocating for resources is not the same thing as advocating for a particular entity.42

Various organizations provide resources and tools to help drive and sustain change.43 There are also new 

national and statewide efforts and taskforces aimed specifically at addressing mental health in the state courts.44 

These efforts should be leveraged as support for implementation.

To ensure sustainability, you must:

1. Measure impact, document results, and make adjustments;

2. Secure stable funding strategies; and

3. Establish leadership support.

42 See National Judicial Opioid Task Force, Judicial Leadership in Creating and Leading a Multidisciplinary Team to Address Substance Use Disorders (2019), https://www.ncsc.org/~/media/

Files/PDF/Topics/Opioids-and-the-Courts/NJOTF%20Resources/Judicial%20Leadership%20of%20MDT%20Final.ashx (discussing how judicial ethics can be upheld while convening a multidisciplinary team).

43 Numerous federal and private funders support work in this area, including the Bureau of Justice Assistance (U.S. Department of Justice), the Substance Abuse and Mental Health Services 

Administration (U.S. Health and Human Services), and the MacArthur Foundation. Online resources are also for free through the Center for Court Innovation, the Council of State Governments 

Justice Center. The Judges’ and Psychiatrists’ Leadership Initiative, the National Association of Counties, Policy Research Associates, and the Stepping Up Initiative.

44 Add references to new website address, regional workshops, opioid website, and state efforts
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45 Lyn Overman, Angela LaScala-Greunewald and Ashley Winstead, MODERN JUSTICE: USING DATA TO REINVENT AMERICA’S CRISIS RESPONSE SYSTEMS, May 2018 (provides 

examples where data is used to track the impact of reforms (e.g., impact of housing stabilization on arrests in San Diego and New York) as well as the benefit of data sharing).

46 Arizona’s Task Force on Fair Justice for All has a committee specifically focused on mental health issues in the justice system, https://www.azcourts.gov/cscommittees/Mental-Healthand-the-Justice-System. Texas recently started a Commission to mental health issues in civil, criminal courts. See Judicial Commission on Mental Health, http://www.txcourts.gov/supreme/

news/commission-to-address-mental-health-issues-in-civil-criminal-courts/. Ohio has a standing taskforce on criminal justice and mental illness, https://www.ohioattorneygeneral.gov/Individuals-and-Families/Victims/Task-Force-on-Criminal-Justice-and-Mental-Illness. 

47 https://www.courts.ca.gov/mhiitf.htm

48 https://courts.delaware.gov/AOC/MHTF/index.aspx

49 https://www.wicourts.gov/courts/programs/docs/alttaskforcereport.pdf

50 See Report: https://ncsc.contentdm.oclc.org/digital/collection/spcts/id/303/ 

51 SAMSHA, Empowering Communities to Address Health Disparities: Practical Steps to Take at the Local Level (October 2016), https://www.samhsa.gov/capt/tools-learning-resources/empowering-communities-address-health-disparities-practical-steps-take

An important component for sustainability that informs regular reviews and 

targets appropriate responses and adjustments is evaluation. Evaluation 

should be built into the protocols. A successful strategy will document the 

intervention’s desired impact on stated objectives and outcomes.

You should use data from evaluations to secure stable funding allocations. 

As an example, researchers have noted the importance and impact of 

using data (e.g., impact of housing stabilization on arrests) to inform crisis 

response system reform.45 Creating outcome measures, evaluation 

frameworks, and carrying out evaluations is critical. 

You should explore funding strategies and grant opportunities to help 

support development efforts. National efforts in place to support and sustain local efforts include the Improving 

the Justice System Response to Mental Illness National Initiative, Substance Abuse and Mental Health Services 

Administration (SAMSHA), Stepping Up Initiative, and the MacArthur Safety and Justice Challenge. In recent 

years, state responses have moved to the forefront. These also include state efforts, including ones in Arizona, 

Texas, and Ohio,46 which have built on the experiences of states like California,47 Delaware,48 and Wisconsin49 

that have done earlier state-wide planning. 

Dedicated mental health liaisons can also help ensure continued attention to mental health responses in your 

community. Cross-agency coalitions, as used in Minnesota, may be a worthwhile strategy for securing funding 

from the legislature.50

Effective training and coordination ensure support by leadership and improves chances of successful 

implementation. For example, Virginia and Massachusetts have successfully implemented “train-the-trainer” 

approaches to mental health responses. 

There are various forums at the national level to elevate mental and behavioral health issues and share 

solutions at the national level. For example, the National Association for Court Management (NACM) and the 

National Association of Presiding Judges and Court Executive Officers (NAPCO) host annual conferences. 

The Substance Abuse and Mental Health Services Administration (SAMSHA) also provides trainings that are 

designed for addressing substance abuse and mental health issues at the local level.51 

Local Considerations

Obtaining stakeholder 

feedback is an important 

part of protocol evaluation. 

Jurisdictions with fewer 

stakeholders might find 

more informal feedback 

channels more effective and 

timely.
Central to securing leadership support, funding, and sustainable collaborative responses is communication and 

outreach. You should carefully consider how best to communicate response plans. There are several national 

resources available to help guide and inform communication efforts.52 This may include asking stakeholders to 

submit pieces to relevant newsletters or listservs and reaching out to local media contacts for press releases. The 

court’s website is also a great place to get the word out.

One national resource comes from efforts to achieve legislative reform. The Toolkit for Legislative Reform: 

Improving Criminal Justice Responses to Mental Illness in Rural States provides a number of excellent 

references and tools to consider for group composition, identifying problems, communications needs and 

strategies, stakeholder engagement, and setting the stage for sustainability.53

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52 See Stepping Up Initiative, Talking to the Media and the Public about People with Mental Illness in their Jail (2018), https://stepuptogether.org/wp-content/uploads/2018/04/Elected-Officials-Guide-to-Talking-to-the-Media_4-10-18.pdf; Barbara Peirce, A Toolkit for Legislative Reform: Improving Criminal Justice Responses to Mental Illness in Rural States, http://www.crj.org/

assets/2017/10/CJ-Responses-to-MH-Toolkit-Sept-2017_Final.pdf (2017). 

53 Id.
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Improving the court and community’s response to mental health needs is a difficult but 

rewarding undertaking. This guide is designed to help you start the conversation and 

begin the movement towards change, but this effort will take hard work and perseverance 

that will likely continue for many years. These issues will not be resolved after one 

meeting with stakeholders or one assessment of the community’s needs. Nevertheless, 

every effort you and your community partners make will benefit your community.

For additional guidance, please refer to the National Initiative’s website.54 There you will 

find links to state-specific and national resources, an assessment tool to further help you 

decide where to begin your efforts, workshops, and much more.55

Finally, please share your challenges and successes with NCSC through the National 

Initiative website. Together, state by state and community by community, we will learn to 

improve our court and community responses to those with mental health and co-occurring 

disorders.

54 http://www.ncsc.org/mentalhealth

55 http://www.ncsc.org/mentalhealth

A Concluding Reminder
NCSC | Leading Change 26

Appendix A. Draft Invitation and Agendas 

Judicial Letterhead

Dear _________________, 

As you might know, I am currently participating in an effort to convene and engage key 

community members in identifying strategies and ideas to improve our court and community 

responses to those with mental health issues. This effort is very important to me because 

_________________________________. 

You have been identified as/ I know you are an important person to involve in this effort and 

would make significant contributions given your 

_________________________________________________. 

I am convening a first meeting of community members ___________________ at 

______________am/pm at the ________________ County Courthouse (Address) and I am 

hoping you can join me. Please RSVP to Court Administrator ___________________ at 

______________________. 

Thank you for your consideration and please call me or the Court Administrator if we can answer 

any questions that you might have. 

Sincerely,

Judge 

CC: Court Administrator
NCSC | Leading Change 27

Appendix A. Draft Invitation and Agendas 

Sample Agenda for a First Meeting

Expanding the Court and Community Response to Mental Health Issues

_____________County 

[Date]

[Time]

[Location] 

1. Welcome Remarks and Introductions

Hon. ________________, Judge

(The Judge will welcome all the participants/stakeholders and describe the purpose of the 

effort and why it is important to the Judge. The Judge should convey the status of 

statewide efforts and the development of the Guide. Next, the Judge should ask each 

participant to introduce themselves and describe his or role and responsibilities.)

2. Purpose of the Meeting/Committee/Task Force

Goal (The Judge and Court Administrator should articulate in writing a goal for the

Meeting/Committee/Task Force and include it here.)

Invite Feedback (The Judge should engage the stakeholders in the purpose of the effort

and invite their feedback.)

Anyone Missing? (The Judge should ask the stakeholders if any community members are

missing and if any additional members should be added.)

3. How Should Our Work Be Organized?

Proposal (The Judge and Court Administrator should articulate in writing a proposed

approach and strategy to move forward. Consider coordination/differentiation of related

ongoing efforts. For example, is a separate mapping workshop advisable or can you build

on prior mapping efforts? Is there already an established working group to improve

responses to those with mental health issues or some sort of multi-disciplinary workgroup

that could be expanded?)

4. Moving Forward

(The Judge should lead a discussion about the frequency of meetings and a potential

meeting schedule. Most importantly, the Judge should obtain a commitment from each

stakeholder.)

Appendix A. Draft Invitation and Agendas

Sample Agenda for Subsequent Meetings
NCSC | Leading Change 27

Expanding the Court and Community Response to Mental Health Issues

__________________County 

[Date]

[Time]

[Location] 

1. Welcome Remarks and Introductions

Hon. _______________________, Judge

(A second and subsequent meeting agendas will vary depending upon the extent of

community “mapping” that may have already occurred. Generally, either a separate

Sequential Intercept Mapping (SIM) workshop will be scheduled or you will build upon

prior mapping efforts.)

2. Mapping the System

(The “mapping exercise” facilitates collaboration and what is called cross-system

communication. An experienced facilitator is recommended to promote communication

and to strengthen local strategies. The mapping exercise is generally scheduled for at

least a day if it has not been completed before.)

3. Prioritizing the Gaps and Opportunities

(As you “map” each of the intercepts, you will identify gaps in the community and court

response. Talk about what ideas and strategies could be implemented in your community.

Turn the gaps into opportunities based upon your discussions.)

4. Action Planning

(The action planning will identify both short- and long-range goals. Action plans will

identify priority areas, strategic objectives, and action steps, and also identify the who

and the when.)

5. Recommendations

(In addition to the action plans, the participants will identify next steps and other

recommendations for moving forward. A summary of the mapping exercise and a list of

participants is recommended to accurately document the workshop or planning activity.)
NCSC | Leading Change 28

Appendix B. Checklist of Judge Action Steps 

 Review this guide and talk with your court

administrator.

 Together, discuss the status of your court and

community response to those with mental health

issues.

 What is the status of any other prior efforts

undertaken in your county?

 Who has been involved and provided leadership on

key efforts in this area?

 Consider the many stakeholders who could be

involved and identify stakeholders relevant to

your jurisdiction. See the list of potential

stakeholders included in this Guide.

 Plan a first meeting, create an agenda, and invite

stakeholders. Sample agenda(s) are included in this

guide.

 Convene the workgroup of stakeholders to assist

you in this important effort.

 Engage your stakeholders; do a lot of active

listening. Ask stakeholders how to think outside

the box to find solutions.

 Propose a “mapping process” with your

stakeholders to understand where you are and

where you need to go to improve court and

community responses.

 If not already completed in your county, map your

community’s resources. Recognize that completing

the mapping process may take a number of

meetings and effort by separate workgroups.

CONVENE STAKEHOLDERS

AT YOUR FIRST MEETING

GETTING STARTED
NCSC | Leading Change 29

 Decide the frequency of agendas and meetings to

lead change in your community.

 Create a communication plan for sustained

collaboration with stakeholders.

 Examine the existing responses at each intercept

point; document those responses.

 Identify any gaps in the community and court

processes for those with mental health issues.

 Consider adapting protocols that have been

developed in other counties and states to meet your

needs.

 Develop protocols to address identified gaps.

 Solicit viewpoints and ensure “buy-in” of all

stakeholders at every step.

 Decide what data are important to collect to

measure and assess effective responses.

 Identify which agency(cies) will be responsible for

the collection of the data and reporting to the

workgroup.

 Secure necessary data sharing agreements.

 Leverage technology whenever possible.

 Develop an action plan, strategies, and timelines

for implementation of responses.

 Identify plans to secure full leadership support.

 Identify strategies to overcome substantial barriers,

including a need for financial support.

ASSESS THE LANDSCAPE

COLLECT DATA

IMPLEMENT IMPROVED RESPONSES
NCSC | Leading Change 30

 Discuss and document shared goals. Use these as a

starting point for implementing strategies toward

solutions.

 Consider grant and funding opportunities to enable

you to accomplish your goals and action plans.

 Conduct regular reviews through workgroup

meeting agendas, adjust plans if necessary.

 Identify and implement outcome measures

relevant to data collection

 Reach out to the community on an ongoing basis

through an established communication plan.

 Continue to engage your stakeholders; regularly

review list of stakeholders for

additions/adjustments.

 Discuss and agree upon effective communication

strategies, such as enlisting leadership support and

identifying a point of contact for regular

communication.

 Establish a regular schedule to assess and reassess

your response efforts.

 Facilitate necessary training (and cross-training)

for the workgroup members and others involved in

improving responses.

SUSTAIN YOUR EFFORTS
NCSC | Leading Change 31

Appendix C. Sample Planning Materials for Sequential Intercept 

Mapping 
NCSC | Leading Change 32

Appendix C. Sample Planning Materials for Sequential Intercept 

Mapping 
NCSC | Leading Change 33

Appendix C. Sample Planning Materials for Sequential Intercept 

Mapping 
NCSC | Leading Change 34

Appendix C. Sample Planning Materials for Sequential Intercept 

Mapping 
NCSC | Leading Change 35

Appendix D. Sample Assessment Questions

 What resources are available in the community to provide behavioral health services?

 What mental health awareness information is provided during routine medical visits?

 What types of mental health or co-occurring disorder screenings are done during routine medical

visits?

 What public benefit assistance is available for behavioral health services? What assistance exists

for obtaining and maintaining it?

 What practices are in place to identify individuals with behavioral health needs?

 What screening or assessment tools are used to identify behavioral health needs? Are these tools

validated on the population of those with mental health issues?

 What organizations are working with people with a mental health or co-occurring disorder (e.g.,

syringe exchanges, business community, faith-based community, homeless shelters, food banks)?

Physical and Behavioral Health

Pre-Crisis Community Resources
NCSC | Leading Change 36

 What housing resources are available in the jurisdiction?

 Does the community have adequate, affordable, and convenient transportation services?

 Does the community have food banks? Supported employment services? Education services?

 Is information available to the public about what resources are available in the community and how

to access those services?

 Are services co-located?

 What public outreach on mental health currently exists (e.g. awareness campaigns, hotlines, health

fairs)?

 Does your community have a local National Alliance on Mental Illness chapter? Do they provide

training, classes, or support groups?

 What resources and treatment are available for families? Are there residential programs that allow

parents to bring their children?

 What resources are available on advanced directives, power of attorney, and other prospective legal

planning? Where is this information provided? Is legal aid assistance available? Are private

attorneys trained?

 What options exist for establishing advanced directives (e.g., guardianships) for individuals at risk

for mental crises?

 What proactive measures are available to establish advanced directives/guardianship?

 What processes are in place to initiate a civil commitment? Are family and the public made aware

of these processes and accompanying services?

 Are relevant providers aware of and trained on data-sharing best practices, including applicable

federal and state laws on privacy?

 What data sharing practices currently exist? What are additional data sharing priorities?

 What, if any, data are collected on mental health issues during law enforcement responses? How

are such data shared across agencies?

Family and Public Outreach

Civil Justice

Data and Information Sharing
NCSC | Leading Change 37

 What information sharing protocols and agreements are established to access mental health

information (e.g., past evaluations) across agencies?

 What protocols are established to reduce redundancy in conducting and maintaining assessment

and evaluation results?

 Are in-custody or inpatient beds available if required? What are the discharge practices? Who is

notified, when, and what resources are in place upon discharge (e.g., plans for medication

continuity, housing, transportation, clothing)?

 What are the potential referral sources for individuals seeking behavioral health treatment and

services?

 What efforts are in place to increase public and referral source awareness of treatment and service

options?

 Are service providers trained in de-escalation techniques and tactics? Are community resources

aware of and trained on appropriate practices for responding to individuals with mental or

behavioral health needs?

 Are any organizations working to identify high utilizers of the justice, healthcare, and/or

behavioral health systems and provide coordinated care management?

 What training do emergency room staff have regarding mental health, substance use disorders, and

trauma?

 What pre-arrest diversion, deflection, or redirection options are available in the community?

 What law enforcement and first responder training and efforts are available and offered for

effective responses to crisis intervention (e.g., CIT, mental health first aid)?

 Are dedicated stabilization units established in the community to handle mental and behavioral

crises? Are there stabilization units dedicated to co-occurring substance abuse/mental health

crises?

 What protocols are in place to identify mental and behavioral health needs upon intake to

detention?

INTERCEPT 0: COMMUNITY SERVICES

INTERCEPT 1: CONTACT WITH LAW ENFORCEMENT

INTERCEPT 2: INITIAL DETENTION AND COURT HEARINGS
NCSC | Leading Change 38

 What screening or assessment tools are used to identify mental or behavioral health needs? Are

these tools validated on the population of those with mental health issues?

 How and when do courts identify individuals with mental or behavioral health needs?

 How are mental and behavioral health needs communicated to providers? How are individuals

connected to providers?

 Has your community planned and established co-located services? What (additional) opportunities

exist for co-locating services?

 How can justice stakeholders identify high system utilizers? What criteria should be applied to

identify high utilizers?

 How are justice system stakeholders and individuals informed of diversion options?

 What services are available to law enforcement for someone who is in a behavioral health crisis

while detained?

 Is there a mental health liaison position in the courts to connect with detention facilities and/or

conduct evaluations?

 Who are the referral sources (e.g., prosecutors, defense attorneys, judges)? Are they familiar with

identification of individuals with mental health issues, and do they understand potential judicial

responses?

 Does a mental health court operate in your community? Are referral sources informed about

eligibility criteria?

 Is the referral process to a mental health court established in writing and shared with referral

sources?

 Are judges aware of alternative sentencing options?

 How are individuals identified and referred for competency evaluations? Are the processes

efficient? What competency restoration, treatment, and education services are provided?

 What outpatient restoration services are available? What, if any, restoration processes differ for

lower level offenses?

 What mental health information is provided to judges for pretrial release or sentencing decisions?

 Are mental health screens presented to the judge as part of the pre-sentence investigations?

 Is prescription continuity ensured during incarceration and while awaiting disposition? This

includes from the community to jail, from jail to competency restoration, from competency

restoration back to jail, and from jail to the community.

INTERCEPT 3: COURTS AND JAILS
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 Do people participating in problem-solving/treatment courts have to plead guilty to felony

offenses to participate? If yes, what rights are in jeopardy for that individual (e.g., voting, housing,

employment, etc.)?

 Do problem-solving courts utilize graduated sanctions to assist persons in getting needed treatment

and assistance after a rule or law violation?

 What mental health and co-occurring disorder assessment and treatment is provided during

incarceration?

 Are individualized re-entry plans developed that include treatment and social services? Do

individuals actively participate in the development of plans?

 What is done to facilitate benefit (re)enrollment upon re-entry?

 Have you worked with the state Medicaid system to ensure that a person’s Medicaid status is only

suspended and not terminated upon incarceration?

 What community-based treatment resources are available to sustain long-term support for

individuals with mental health issues?

 What are potential remote service opportunities?

 Are wrap-around services coordinated for individuals? Are “warm hand-offs” available upon

release?

 What strategies and supports are available upon re-entry to improve long-term outcomes (e.g.,

employment, education, or pro-social activities)?

 How are medication transitions into the community handled? What services are available for

someone who needs to refill a prescription quickly (e.g., a bridge clinic)?

 For someone leaving incarceration with probation conditions, is the reentry plan shared with the

probation officer? Is the probation officer involved in reentry planning?

 Does probation offer a specialized caseload or specialized probation officers to be assigned to

work with individuals with mental health issues?

 What screening and treatment/service coordination is conducted by probation? Does probation

have specialized units with probation officers trained to work with individuals with mental health

issues?

INTERCEPT 4: RE-ENTRY

INTERCEPT 5: PAROLE AND PROBATION
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 What pro-social behaviors or wellness indicators are monitored by supervision agencies (e.g.,

housing, health, peer support)?

 Are there specialized units or trained probation/parole officers to assign individuals to with mental

health issues?

 Are parole/probation officers trained on risk/needs models and responsivity?

 Do community-based treatment providers understand criminogenic risk and evidence-based

strategies to address risk factors?

 How are transportation issues addressed for individuals who are required to go to treatment and

services as conditions of their probation or parole?
NCSC | Leading Change 41

Appendix E. Glossary

Co-location of services: Co-location occurs when several service or resource providers are 

housed in the same physical space. An example of this is a jail giving satellite office space to 

housing, employment, and education service providers for the accessibility of recently 

discharged individuals. 

Co-occurring disorder: Co-occurring disorders refers to an individual diagnosed with both a 

mental health disorder and a substance use disorder. 

Intercept: In the Sequential Intercept Model, intercept or intercept point refer to the particular 

points where an individual with mental health needs can be intercepted and prevented from 

continuing to penetrate the criminal justice system. The intercepts include community services, 

law enforcement, initial detention and court hearing, jail and courts, reentry, and community 

corrections. 

Mapping: Resource mapping is a tool for identifying available resources and gaps within a 

community while also encouraging collaboration and priority planning. 

Person-first language: A way of acknowledging mental health disorders and other disabilities 

by referring to the individual first and the disorder second (e.g., “a person living with 

schizophrenia” as opposed to “a schizophrenic”). This is the preferred method for 

communicating about mental health needs. 

Sequential Intercept Model: A conceptual model developed to inform community-based 

response to the involvement of people with mental and substance use disorders in the criminal 

justice system. See https://www.prainc.com/sim/.