Suitability Adjudications
Overview
Under title 5, Code of Federal Regulations, part 731 (5 CFR 731), OPM and agencies with delegated authority can make suitability determinations and take suitability actions in cases involving covered positions that are subject to investigation. Positions covered by 5 CFR 731 are those in the competitive service, those in the excepted service where the incumbent can be noncompetitively converted to the competitive service, or a career appointment to the Senior Executive Service. The subject to investigation requirements are described at 5 CFR 731.104. Under 5 CFR 731, if an unfavorable suitability determination is made, the following actions may be applicable: cancellation of eligibility; removal; cancellation of reinstatement eligibility; and debarment.
The Suitability Adjudications office of OPM's SuitEA handles those cases in which OPM has retained jurisdiction to make a suitability determination and take a suitability action. The office is also available to assist agencies with matters related to suitability adjudications.
Within SuitEA, certain components process requests to pass over a preference‑eligible veteran with a 30% or more compensable disability when the basis for the pass over is conduct‑related, consistent with OPM’s regulatory responsibilities. More information is available under the Pass Overs tab.
For more information on submitting referrals, see the Referral Guidance tab
For more information on submitting Pass Over requests, see the Pass Over Requests tab
Referral Guidance
Note: The forms and submission requirements on this page reflect the final rule amending 5 CFR Part 731, which is effective July 30, 2026. For any referrals submitted prior to July 30, 2026, agencies should ensure the referral reflects the version of 5 CFR Part 731 in effect before the final rule. See the Referrals tab for guidance on when and what to submit for each referral type.
Making Referrals to OPM-SuitEA
The following definitions, drawn from 5 C.F.R. § 731.101(a), identify the categories of individuals covered by OPM's suitability referral requirements.
Competitive service or career Senior Executive Service, for the purposes of this part, refers to a position in the competitive service, a position in the excepted service where the incumbent can be noncompetitively converted to the competitive service, and a career appointment to a position in the Senior Executive Service.
Applicant means an individual who is being considered or has been considered for employment in the competitive service or career Senior Executive Service.
Appointee means an individual who has entered on duty and is in the first year of employment in a competitive service or career Senior Executive Service position when it is employment subject to investigation. When the individual is serving a probationary or trial period, the individual's status as an appointee will extend through the end of the initial probationary/trial period, if longer than one year.
Employee means an individual who has completed the first year of an appointment in the competitive service or career Senior Executive Service when it is employment subject to investigation and is no longer serving the initial probation or trial period, if applicable. In the case of an appointee whose initial probation or trial period is for more than one year, the individual will be considered an employee at the completion of the initial probation or trial period.
Agencies must refer a matter to OPM when substantiated conduct implicates one or more suitability factors and may warrant an unfavorable suitability determination, or when the conduct falls within OPM's retained jurisdiction (see Suitability and Fitness Processing Manual).
Referrals may involve:
- Applicants who have not yet been investigated
- Individuals for whom a background investigation has been initiated or completed
- Post-appointment conduct when the agency decides to have OPM take action under 5 CFR 731 (EFFECTIVE JULY 30, 2026)
For post-appointment matters (effective July 30, 2026), OPM may take a suitability action only upon receipt of a proper and sufficient referral from the employing agency. When an agency plans to take disciplinary action under other authorities (e.g., 5 C.F.R. parts 752 or 359), based on a suitability concern or factor, the agency must notify OPM in accordance with 5 C.F.R. 731.103.
A complete referral package must include documentation and evidence that:
- Substantiate the conduct at issue, and
- Explain why OPM review is required, including alignment with OPM referral criteria.
Guidance for preparing complete and supportable referrals is provided in the Referral Documents tab. The SFPM Referral Addendum includes the Referral Package Cover Sheet, checklists that outline documentation expectations, and tools to help agencies prepare consistent and timely submissions.
Once a referral is received, SuitEA will review the submission. SuitEA retains discretion to determine whether to proceed with a suitability action and will notify the agency of its determination.
Agencies must use the SuitEA Guide for Referring to OPM, Referral Package Cover Sheet, and Referral Checklists (all included in the SFPM Referral Addendum) to prepare and submit referral packages. Separate checklists are provided to address the distinct requirements for:
- Initial vetting matters (in connection with application, examination or appointment), and
- Post-appointment‑ conduct cases
These tools help agencies ensure completeness, accuracy, and consistency across all referrals.
Agencies are also encouraged to review the Frequently Asked Questions (FAQ) and examples included in the FAQ tab or in the SFPM Referral Addendum for additional support, especially when situations are complex, unclear, or atypical.
Referral instructions and resources are available on the OPM SuitEA website. Agencies may also contact the SuitEA Helpline at 202-599‑0090 for further assistance.
Required Referrals — Agencies Must Refer These Cases
Agencies have jurisdiction for making suitability determinations and taking actions for applicants and appointees in the competitive service and career Senior Executive Service. When an agency encounters a case containing evidence of conduct falling within one of the following factors, it must refer the matter to OPM:
- Material, intentional false statement, or deception or fraud in examination or appointment
- Knowing and willful engagement in acts or activities designed to overthrow the U.S. Government by force.
- Conduct where a governmentwide debarment may be appropriate
If for any of the above factors an agency wants to take or has taken an action under another authority it must also provide notification to OPM.
Cases Where Agencies May Refer - Effective July 30, 2026
If an agency identifies post-appointment conduct on employees that may warrant an unfavorable suitability determination and decides to refer the case to OPM to take action under 5 CFR 731, the head of the agency or designee will, in its sole and exclusive discretion, make a proper and sufficient referral to OPM for consideration. A proper and sufficient referral includes the documentation and evidentiary support described in the SFPM Referral Addendum in the Referral Documents tab. Under 5 C.F.R. § 731.103, only OPM may take a suitability action against an employee based on post-appointment conduct. Agencies may address the conduct under other authorities (e.g., parts 752 or 359), as appropriate, but must notify OPM when they intend to do so (see the Report an Action tab). The individual’s resignation, transfer, or attempt to obtain employment at another agency does not negate OPM’s authority to adjudicate the matter, including the authority to impose governmentwide debarment when warranted.
General Questions
For guidance on individual cases or general suitability matters, please contact SuitEA at 202-599-0090.
Referral Documents
Note: The forms and submission requirements on this page reflect the final rule amending 5 CFR Part 731, which is effective July 30, 2026. For any referrals submitted prior to July 30, 2026, agencies should ensure the referral reflects the version of 5 CFR Part 731 in effect before the final rule.
Referrals Prior to July 30, 2026
Cases involving Competitive Service or career Senior Executive Service positions (as defined in 5 CFR 731) made subject to investigation by 5 CFR 731.104, to include cases of individuals investigated by agencies with delegated investigative authority, must be referred to OPM as follows:
- There is evidence of material intentional falsification, or deception or fraud in examination or appointment;
- Knowing and willful engagement in acts or activities designed to overthrow the U.S. Government by force
- A potential Governmentwide debarment is indicated
The following information must be submitted with the referral:
- A completed INV 60 Request for Determination or Advisory OR a statement outlining the basis for the referral. The referring official’s contact information and SOI/SON must be included with the submission. (Note: The referral cannot be based upon information that was obtained solely from a confidential source.)
- The subject's application, OF 306, and related papers (including supplements, amendments, and attachments to forms), including any documentation either provided by the subject or obtained by the agency that specifically relates to and/or supports the issues and establishes the basis for the referral (i.e., evidence of the matter falsified, details establishing the conduct potentially warranting government-wide debarment from all or specific positions, etc.).
- Permission to confront the subject with the information from your agency-conducted investigation and to directly release the information to the subject upon his/her request and/or to all necessary parties in the event of an appeal of an unfavorable suitability action to the Merit Systems Protection Board (only applies to agencies with delegated investigative authority).
- Information to establish the position is Competitive Service or career Senior Executive Service (i.e. legal hiring authority, etc.), involves an appointment that is subject-to-investigation per 5 CFR 731.104, and if the subject has been appointed, the appointment SF 50.
Referral Guide - Effective July 30, 2026
Before downloading and completing any forms, consult the Guide for Referring to OPM for step-by-step instructions on preparing a complete referral package for your referral type. These can also be found in the Referral Addendum (linked below) to the Suitability Fitness and Processing Manual.
Referral Forms & Templates - Effective July 30, 2026
See the SFPM Referral Addendum for complete referral instructions and guidance. The forms below are extracted forms from the SFPM Referral Addendum - download and complete them to prepare your referral package. Further information about required documents can be found in the SFPM Referral Addendum.
- Referral Package Cover Sheet
Required for every referral.
- Initial Vetting Referral Package Checklist
Required documentation for applicant and new hire cases.
- Post-Appointment Conduct Referral Package Checklist
Required documentation for onboard employee cases.
Submission Methods
NP2 Secure Portal
Submit a referral or agency action notification through the NP2 Secure Portal using the secure messaging feature. In the "To" line, type "Suitability Referrals" and select the Suitability Referrals mailbox. Mark the message High Priority.
NOTE: You must be a member of the secure portal to use this submission method. If you are not member and would like information on how to become one, please contact your agency point of contact or your Agency Liaison at the Defense Counterintelligence and Security Agency (DCSA).
Send to:
U.S. Office of Personnel Management
Suitability Executive Agent Programs - Operations (Adjudications)
PO Box 699
Slippery Rock, PA 16057
Fax
Send to: 724-997-3682
Pass Over Requests
Requests to Pass Over a CPS Preference Eligible Based on Conduct
Under 5 U.S.C. 3318(c), an agency may request to pass over a preference eligible veteran who has been certified for appointment in order to select an individual who is not a preference eligible. The Suitability Adjudications office handles pass over requests involving a preference eligible veteran with a 30% or more compensable service-connected disability when the reason for the pass over is conduct-based, processed under Title 5, Code of Federal Regulations, Part 731.
Conduct-Based Pass Over Requests — Submission Requirements
When submitting a conduct-based pass over request, agencies must send the following to VPOR@OPM.GOV. The subject line should read: Conduct-Based Pass Over Request – [Agency Name]
- Standard Form 62 (SF-62), Agency Request to Pass Over a Preference Eligible or Object to an Eligible — completed and signed by the agency appointing official. Agencies should complete Part A and check the box indicating the reason for the pass over is Conduct (under 5 CFR 731);
- A copy of the certificate of eligibles that shows non-preference eligibles are within reach, as applicable;
- A description of the conduct giving rise to the pass over request, stated specifically and clearly (note: the reasons are not confidential and the preference eligible has the right to request and review them);
- Supporting documentation related to the conduct (e.g., investigation reports, disciplinary records, or other relevant agency records)
- A copy of the notification sent to the preference eligible — agencies must simultaneously notify the preference eligible of the proposed pass-over, the reasons for it, and their right to respond to OPM within 15 days of notification, in accordance with 5 U.S.C. 3318(c)(2); and
- The name and contact information of the agency appointing official
OPM will review the submission — including any response received from the preference eligible — and notify the agency of its determination. The agency shall comply with OPM's findings.
NOTE: The request may only be sustained if it is based on proper and adequate reasons. The request cannot be based upon information obtained solely from a confidential source.
Please refer all requests to:
U.S. Office of Personnel Management
Suitability Executive Agent Programs - Operations (Adjudications)
PO Box 699
Slippery Rock, PA 16057
Questions can be directed to 202-599-0090, option 3. For information on submitting a pass over request of a CPS preference eligible based upon qualifications or medical reasons, please refer to the SF 62 and the Delegated Examining Operations Handbook located on the OPM website.
Report an Action
Note: The information on this page reflects the final rule amending 5 CFR Part 731, which is effective July 30, 2026.
Reporting Requirements for Investigations and Suitability and Fitness Determinations
Agencies are required to report into the governmentwide repository(ies) any unfavorable suitability actions taken under 5 C.F.R. part 731 within 30 days after the action is taken. All actions must be reported as soon as possible or no later than 90 days after receipt of the final report of investigation.
How to report: Use INV Form 79A (Report of Agency Adjudicative Action on Personnel Investigations) for investigated cases, or INV Form 79C for uninvestigated applicants. For step-by-step instructions, refer to DCSA guidance.
Post-Appointment Conduct Cases
When OPM takes the suitability action, OPM SuitEA records the action in the repository. The employing agency is still responsible for submitting the separation SF-50 and closing any open referral records. If the agency takes action under its own authority (such as 5 C.F.R. part 752 or 359) instead of referring the matter to OPM, the agency must notify OPM using the Agency Action Notification Form found here and in the Addendum to the Suitability and Fitness Processing Manual located under the Policy section.. This notification is required even when the agency acts before making a referral to OPM.
How to report: Submit the agency action notification form through the OPM Secure Portal using the secure messaging feature. In the "To" line, type "Suitability Referrals" and select the Suitability Referrals mailbox. For more information on reporting agency actions, view our guidance.
FAQs
5 CFR Part 731 - Suitability Referral Submission
Answer: Agencies must refer conduct when:
- The employee is in the competitive service or career SES;
- The conduct occurred after entry on duty;
- The conduct implicates one or more suitability factors under 5 CFR 731; and
- The conduct is serious, repeated, or egregious enough to be material.
Additionally, agencies should refer cases only when there is sufficient, supported, substantiated conduct. Referrals should be submitted after key facts are established and evidence is available, unless delaying submission poses a mission, safety, or trust risk. Unsubstantiated or anonymous allegations alone are not a referral basis; they may be included only as context.
Answer: Not all conduct that connects to a suitability factor under 5 CFR 731 requires an OPM referral. Issues not arising to the level of raising genuine suitability concerns, or performance‑related issues should be handled through normal HR/ER channels—not suitability. Agencies should refer only when the conduct is material enough to raise genuine suitability concerns.
When deciding whether a referral is appropriate, consider:
- Severity, recency, and frequency of the conduct
- Position sensitivity level and the employee’s access
- Whether the conduct is substantiated or remains under investigation
- Potential mission or trust impact if the issue is not referred
- Whether the conduct would normally result only in progressive discipline rather than removal
If conduct merely touches a suitability factor but is minor, isolated, or best addressed administratively, agencies should manage it internally. Referral is appropriate only when the conduct is serious, repeated, egregious, or otherwise significant enough to implicate the efficiency of the service.
Answer: Use the following routing guidance:
- OIG: Criminal activity, fraud, waste, abuse, or misuse of government systems or property.
- DOJ: Conduct potentially criminal in nature requiring prosecutorial review (e.g., threats, assault, theft).
- Security Office: Clearance or trust concerns, CV alerts, mishandling of sensitive information.
These actions may occur in parallel with a suitability referral when the conduct also implicates a suitability factor. Suitability determinations remain the responsibility of the agency’s suitability program and, for employees, OPM.
Answer: The Referral Package clarifies:
- Initial Vetting: Applicants, tentative selectees, probationary employees; conduct occurring before application or appointment.
- Post‑Appointment: Employees already serving in competitive or career SES positions; conduct occurring after entry on duty.
Agencies should select the referral type that matches the employee’s status, as it drives jurisdiction and evidence requirements.
Answer: Agencies may delay referral when:
- An investigation is pending
- Allegations remain uncorroborated
- Progressive discipline may be more appropriate
Referrals should generally be based on completed, substantiated findings, unless delay poses mission, safety, or trust related risks. Ensure you document the date the issue was first identified.
Answer: Agencies must only include materials relied upon to support the referral, such as:
- Required HR documentation (e.g., SF‑50s, PDs)
- OF-306 forms (all versions used)
- Relevant, substantiated, credible and curated evidence (e.g., investigative records, witness statements, audit logs, disciplinary files)
- RSI materials if the referral is based on a CV alert
- A clear timeline of when the agency learned of the conduct
Submitting irrelevant or excessive documentation creates delays and is considered insufficient. Clear, curated evidence improves adjudication speed. Omit unrelated or duplicative records.
Answer: Evidence must clearly show:
- What happened
- When it occurred
- How the issue was discovered
- Why it implicates a suitability factor
Unsupported allegations, anonymous complaints without verification, and incomplete investigations are insufficient.
Answer: OPM will:
- Acknowledge receipt
- Conduct an initial sufficiency review
- Request additional information or clarity, if necessary
- Determine whether to maintain or not maintain the individual for suitability action
- Provide notification of decision to maintain or not maintain
- Provide updates on the due process actions as the case is processed (e.g., proposed action, final determination, etc.)
If the referral is incomplete, OPM will request supplemental materials and place the case in pending status until received.
Answer: Yes. We understand agencies want visibility into the status of referrals and may also wish to contact OPM SuitEA with questions. Agencies may consult OPM for suitability specific questions, including determining whether conduct implicates suitability factors, questions about documentation requirements, understanding referral timelines or expectations, and for case statuses or updates. Contact OPM SuitEA with these questions at 202-599-0090.
Answer: No. Agencies must review CV alerts to determine:
- Whether the conduct falls under a suitability factor;
- Whether the issue is sufficiently serious or material; and
- Whether an internal investigation is needed before deciding referral.
Only substantiated, suitability‑relevant misconduct triggers referral.
Answer: OPM does not direct interim measures. Agencies are responsible for managing:
- Duty status adjustments limiting access to sensitive information or systems
- Details/Reassignment to another unit or low-risk function
- Administrative Leave (paid or unpaid, based on agency authorities)
- Risk mitigation steps
- Restricted building or system access
- Enhanced supervisory oversight or check-ins
- Remove or limit access to systems, data, or equipment through HR/ER, security, or legal processes.
Agencies may consult OPM for suitability specific questions.
Answer: Agencies should evaluate interim actions when any of the following apply:
- Conduct implicates public trust or safety, such as threats, violence, or serious misconduct.
- There are ongoing misconduct or unresolved concerns during evidence-gathering.
- An internal investigation is still pending, leaving facts unconfirmed.
- The agency determines that keeping the employee in place may pose mission, operational, security, or reputational risks.
- Parallel processes (OIG, DOJ, Security, HR/ER) are underway and risks must be managed during coordination.
Interim actions ensure workplace safety and continuity while not prejudging the outcome of any suitability or administrative process. Interim actions may be lifted or modified when:
- Evidence no longer supports risk
- Investigations conclude
- HR/ER processes replace suitability involvement
- An OPM suitability determination (Maintain / Do Not Maintain) is issued
Answer: Agencies should promptly supplement the record. OPM adjudicators rely on the most complete evidence set available; therefore, timely updates ensure accuracy and reduce delays.
Answer: OPM may continue adjudication when the conduct is serious and may warrant government‑wide debarment, because such determinations protect the broader civil service, not just the employing agency. If an individual separates, please communicate the individual’s status to OPM, as appropriate.
Answer: Applies to non‑convertible excepted service positions, contractors, and NAF employees. These cases remain agency‑handled and do not fall under SuitEA’s suitability authority. Agencies must follow their fitness standards with due regard to 5 CFR Part 731 principles and the SFPM. Although adjudicative principles (whole‑person, relevance, fairness) are consistent, the authorities, terminology, and outcomes differ.
Answer: Some examples of common errors in referral submissions include:
- Missing required HR documentation (e.g., SF‑50s)
- No evidence showing when the agency learned of the conduct
- Unsupported allegations or incomplete investigations
- Excessive unrelated records that obscure the fact pattern
- Misclassifying a performance/misconduct issue as suitability
- Sending referrals before internal inquiries are complete
Answer:
Use Part 752 / ER–LR when:
- The conduct does not implicate the suitability factors or is performance‑related
- Progressive discipline is appropriate
- Investigation is ongoing or facts are incomplete
- Conduct was known prior to a favorable determination (cannot be used for suitability)
Refer to OPM when:
- Conduct occurred post‑appointment
- Conduct is serious, repeated, egregious, and clearly implicates a 731 factor
- Conduct might warrant government‑wide debarment
- The agency believes the behavior raises character integrity concerns that extend beyond workplace discipline
- The evidence is complete, supported, substantiated, and curated