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. Our phone number is 202-599-0090.

The Suitability Adjudications office also handles requests to pass over preference eligible with a 30% or more compensable disability when the referral is for reasons based on conduct.  

Frequently Asked Questions (FAQs)

Information Requirements for Suitability Referrals to OPM

How to make:

• Referrals for Applicant Suitability Review
• Referrals Based on Agency-Conducted Investigations
• Referrals on OPM Conducted Investigations
• Requests Based upon Conduct to Pass over a Preference Eligible with a 30% or More Compensable Disability 

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.

Referral Guidance

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 scenarios, it must refer the matter to OPM and notify OPM if it is wanting to take, or has taken, action under another authority:

• There is evidence of falsification or fraud relating to examination or appointment at any point when information giving rise to such a charge is discovered.
• There is evidence of knowing and willful engagement in acts or activities designed to overthrow the U.S. Government by force.
• A governmentwide debarment may be appropriate

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 above and the Suitability and Fitness Processing Manual).

 Referrals may involve:

• Applicants who have not yet been investigated
• Individuals for whom a background investigation has been completed

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.

If an agency receives the results of a background investigation in which there are issues that meet the criteria for OPM adjudication under 5 CFR 731, and OPM has not made contact to coordinate adjudication, the agency should request OPM’s Adjudications office to evaluate the issues and consider assuming jurisdiction. To make a referral, please submit the following information:

• Contact information for the requestor
• Case serial number (CSN) and last name of the subject of the investigation
• Information to establish the position is Competitive Service or career Senior Executive Service (i.e. legal hiring authority) and involves an appointment that is subject-to-investigation per 5 CFR 731.104. (If the person has been appointed, please also submit the initial appointment SF 50)
• A description of the suitability issues potentially warranting OPM’s involvement
• Any additional documentation or application materials not originally submitted with the background investigation request and/or that support the presence of suitability issues

Questions regarding referrals can be directed to 202-599-0090. Referrals can be submitted via the NP2 secure portal, fax, or mail as follows:

NP2 Secure Portal

Using the secure messaging feature on the OPM Secure Portal, send the required information high priority to the Suitability Referrals mailbox.

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).

Mail

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

Requests to Pass Over a CPS Preference Eligible Based on Conduct

Per 5 USC 3318, an appointment official must request to pass over a preference eligible prior to selecting a non-preference eligible. Requests to pass over preference eligibles (having compensable service-connected disabilities of 30 percent or more) must be referred to OPM. Requests to pass over a preference eligible  for reasons based on conduct are handled by the SuitEA Suitability Adjudications office. When submitting these requests, the agency must complete and provide:

• an SF 62 and any supporting documentation. Position sensitivity and risk level must also be shown;
• a copy of the certificate of eligibles that shows non-preference eligibles are within reach, as applicable; and 
• a copy of the letter sent to the preference eligible notifying him/her of the request and  the reason for it and of the right to respond to the Office of Personnel Management within 15 days in accordance with 5 USC 3318(b)(2).

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. 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.

General Questions

To discuss/seek advice on a specific case or for general questions related to suitability adjudication matters, agency representatives can contact 202-599-0090.

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