Federal Investigative Services

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Frequently Asked Questions
Suitability Adjudications

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OPM has authority under 5 CFR 731 to determine an individual’s suitability for employment in the competitive service. This includes rating applications ineligible, directing removal, and/or debarring individuals from examination for or appointment to any position in the competitive Federal service for a period not to exceed three years from the date of the decision. The Suitability Adjudications Branch (SAB) of the Investigations Service, located at the Federal Investigations Processing Center (FIPC) in Boyers, PA, handles these cases. Our phone number at FIPC is 724-794-5612.

Some of the questions most commonly received by SAB include:

1. What should I do if I discover falsification or fraud in examination or appointment?

Agencies should closely review all application material (i.e., SF 171, resume, OF 306, etc.), results of any completed background investigation, for indications of material and intentional falsification/fraud (whether it relates to responses to the suitability questions or to qualifications, bogus degrees, or other types of merit system fraud). A case should be referred to OPM-IS-SAB when it involves the examination or appointment process (i.e., initial appointment or reinstatement to a competitive position). OPM may assume jurisdiction and take a removal and/or debarment action, or coordinate adjudication with the agency if the agency wishes to take the action. Call us with any questions or to discuss a case.

2. How should I handle an Applicant Suitability case (i.e., when suitability issues are admitted on application material)?

The guidance issued in the Federal Investigations Notice United States Office of Personnel Management, Letter No. 95-1, dated January 19, 1995, remains in effect. Agencies should to use the Suitability Referral Chart to decide whether an applicant suitability determination is needed. The information required for Suitability Referrals shows the forms and information you will need to send to OPM when requesting a suitability determination.

3. How do I report an action my agency takes based on an OPM Report of Investigation (ROI)?

Under the provisions of 5 CFR 731 and 732, agencies are required to report to OPM their final adjudicative actions. The INV FORM 79A is included with closed OPM ROIs for this purpose. Agencies should follow the instructions provided on the form and return it to OPM. In some cases, agencies will also be asked to contact OPM to coordinate adjudication. Occasionally the agency may be contacted by OPM if we decide to assume jurisdiction and adjudicate the case. To coordinate adjudication or if you have questions, please call us.

4. What can I do if the NACI or BI I received from OPM does not provide sufficient information to adjudicate the case?

1) Reopen NACI’s or BI’s: Agencies may request SAB to reopen a NACI for issue resolution. The agency should submit a written request to reopen the case and show what issues need to be resolved. Include the name and telephone number of the requesting official and copies of pertinent documents. Requests to reopen investigations other than NACI’s should be sent to OPM’s Contract Management Branch (CMB). If you have any questions, you may reach either CMB or SAB at 724-794-5612.

Send requests to:

SAB (or CMB)
OPM-FIPC
PO Box 618
Boyers, PA 16018-0618

2) Request an RSI: A Reimbursable Suitability or Security Investigation (RSI) consists of a focused investigation to provide additional information to resolve an issue developed about an individual. The RSI may be requested when an agency needs additional investigation to resolve issues that fall outside the scope of the investigation, or to establish a history or pattern of behavior. The price of the RSI varies depending on the work needed to resolve the issues.

To initiate an RSI, an agency needs only to submit a letter or memo with the following information:

• Specifics of the request
• Subject identifiers
• Agency's SOI or SON
• Signature and telephone number of the requesting official
• Copies of any pertinent documents

SAB handles RSI requests based on NACs or NACIs, or when there is no prior OPM investigation. Requests based on other background investigation types are handled by OPM’s Contract Management Branch(CMB).

Send request to:

SAB (or CMB)
OPM-FIPC
PO Box 618
Boyers, PA 16018-0618

For additional information, please refer to Federal Investigation Notice, Letter No. 97-2, dated July 29, 1997, and Federal Investigation Notice, Letter No. 93-4, dated June 14, 1993, or you may call SAB or CMB.

5. Where do I send a request involving a medical passover or objection?

For medical passover/objection requests, complete Side B of the SF 62 and send to:

OPM Employment Services
Staffing Reinvention Office
Room 6A12 Medical Section
1900 E St., NW
Washington, DC 20415-0001

For information, please refer to Memorandum for Directors of Personnel dated March 14, 1997, regarding OPM Adjudication of Medical Disqualification to Preference Eligibles, or contact Staffing Reinvention Office, at 202-606-1389.

 

6. What do I do in cases involving an applicant who did not register with the Selective Service System?

An individual’s failure to register with the Selective Service is considered a qualifications issue and agencies should follow the guidance provided in 5 CFR 300.701-707 when considering such individuals for appointment. Questions may be directed to 202-606-1892, or you may write to:

OPM Employment Services
Staffing Reinvention Office
Room 6A12
1900 E St., NW
Washington, DC 20415-0001

7. When and why does OPM assume adjudication responsibility in agency BI and NACI cases?

• OPM has delegated to agencies the authority to adjudicate the suitability of cases involving applicants and appointees who have undergone the required investigation for appointments subject to investigation by OPM. However, when serious issues are developed in these cases, and the cases are characterized during the OPM review process at the "D", or major issue, level, OPM will determine jurisdiction and whether to take an action under 5 CFR 731. OPM will assume responsibility when the issues warrant a lengthy, across agency lines, debarment action by OPM.
• In investigated applicant and appointee (where the person has been employed less than one year) cases, we normally assume jurisdiction in "D" issue cases that include either:

1. Material and intentional falsification Normally, we look for "face value" materiality of falsification involving suitability or qualifications when the unadmitted suitability issue is serious and occurred within three years from the date of the appointment forms, or the falsified qualification claim(s) clearly should have made a difference in the selection process.

Or

2. Serious enough issues to warrant debarment from all competitive positions. In an appointee case, the "D" issue must warrant a maximum 36-month debarment, and there must be at least 6 months remaining in the first year of the appointment. In appropriate cases, OPM must ensure we make our final decision within the first year, and it takes several months for us to go through the procedures required by 5 CFR 731.

• In employee (where the person has been employed more than a year) cases, our jurisdiction is limited to cases involving material and intentional falsification.
• In any specific case where the agency disagrees with the decision not to assume jurisdiction, you can request, by telephone or in writing, reconsideration of the decision. In cases where you consider the falsification to be material, but we did not, you would also normally be requested to provide a written explanation. OPM relies on the information provided by the agency to adjudicate the case. If we stand by the initial decision, we will explain our reasons for not adjudicating.
  

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