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 the OPM Federal Investigative Services, 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 (724) 794-5612, extension 7400.

Frequently Asked Questions (FAQs)

Information Requirements for Suitability Referrals to OPM

How to make:

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

Suitability Referral Chart – Agencies may use this chart to determine which issues or combinations of issues warrant referral to the agency adjudications office for suitability review, adjudication, and potential agency debarment or referral to OPM for debarment consideration.

Information Requirements for Suitability Referrals to OPM

1. Referrals for Applicant Suitability Review
2. Expedited Requests
3. Referrals Based on Agency-Conducted Investigations
4. Referrals for OPM Conducted Investigations
5. Advisory Opinions
6. CPS Passovers Based on Conduct

Referrals for Applicant Suitability Review

OPM will receive the following types of referrals for applicant suitability review and adjudication:

• Cases in which there is evidence of material, intentional falsification, deception or fraud in the initial application or examination process; and/or
• Cases in which the suitability evaluation indicates a Government wide debarment should be imposed.

Agencies are required to submit the following to the address on the INV 60 when requesting OPM debarment

• INV 60, Request for Determination or Advisory, indicating the case is being referred for debarment consideration
• A statement on the INV 60 or in a separate letter explaining the reasons for the agency's determination that OPM Government-wide debarment is warranted and their application of the additional considerations listed in 5 CFR 731.202(c)
• The subject's application, OF 306, and related papers (including supplements, amendments, and attachments to forms)
• Information to establish the position is a covered position (i.e. legal hiring authority, etc.) and involves an appointment that is subject-to-investigation per 5 CFR 731.104
• Sufficient information to establish the conduct and seriousness of the issues, such as a statement signed by the subject or inquiries conducted to obtain details of the conduct. Any sources of information must have been administered a Privacy Act notification. Permission to confront the subject with the information provided and to directly release the information to the subject upon request and to all parties involved in the event of an appeal to the Merit Systems Protection Board. Note: the basis for the request cannot be from a confidential source.

Expedited Requests

An expedited request is made when there are limited vacancies to be filled with no further appointments anticipated in the near future or when there will be no further employment opportunities as a result of immediate certification. When submitting expedited requests meeting this criteria, the INV 60 should be prominently marked "EXPEDITED REQUEST - SPECIAL HANDLING." Include the name and telephone number of the requesting official, so that he/she can be notified of OPM's decision.

Referrals Based on Agency-Conducted Investigations

If an agency is authorized by law or agreement with OPM to conduct background investigations and through the process of suitability evaluation determines referral to OPM is warranted because the case contains evidence of material, intentional falsification, deception or fraud in the initial application or examination process and/or the issue(s) indicates a Government-wide debarment should be imposed, the following should be submitted to the address on the INV 60:

• INV 60, Request for Determination or Advisory, indicating the case is being referred for debarment consideration
• A statement on the INV 60 or in a separate letter explaining the reasons for the agency's determination that OPM Government wide debarment is warranted and their application of the additional considerations listed in 5 CFR 731.202(c)
• The subject's application, OF 306, and related papers (including supplements, amendments, and attachments to forms)
• Information to establish the position is a covered position (i.e. legal hiring authority, etc.) and involves an appointment that is subject-to-investigation per 5 CFR 731.104
• Sufficient information to establish the conduct and seriousness of the issues, such as a statement signed by the subject or inquiries conducted to obtain details of the conduct. Any sources of information must have been administered a Privacy Act notification. Permission to confront the subject with the information provided and to directly release the information to the subject upon request and to all parties involved int eh event of an appeal to the Merit Systems Protection Board. Note: the basis for the request cannot be from a confidential source.

Referrals Based on OPM-Conducted Investigations

If an agency receives the results of an OPM conducted 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 contact Suitability Adjudications via phone to discuss referring the case to OPM for debarment consideration. If it is determined the case should be reopened for possible OPM adjudication, Suitability Adjudications may request copies of application materials, information to support the position is one covered by 5 CFR 731, and any additional information the agency may have relevant to possible adjudication of the case by OPM.

Advisory Opinions

Agencies may request an advisory opinion from OPM on matters related to suitability adjudication. An advisory opinion may be obtained by submitting a written request to OPM-FIS, Suitability Adjudications. , P.O. Box 618, Boyers, PA 16018-0618. The request must include the agency's Submitting Office Number (SON) and Security Office Indicator (SOI), if known,, the specific question area, and any supporting information (such as forms completed or issue resolution investigation conducted).

For general questions on suitability adjudications matters or those on which the agency is not seeking a written advisory opinion, agency representatives can contact Suitability Adjudications by phone at (724) 794-5612, extension 7400.

Requests Based on Conduct to Pass Over Veterans with a 30% Compensable Disability

Per 5 USC 3318, passover requests of preference eligibles having compensable service-connected disabilities of 30 percent or more, must be referred to OPM. OPM will determine if the request to pass over the preference eligible is based on proper and adequate reason. Passover requests based on conduct must be referred to OPM Suitability Adjudications. (Note: Objections based on a perceived lack of ability, education, experience, or unsatisfactory performance evaluation should be submitted as a Qualification Passover requests to OPM Merit System Audit and Compliance.) The objecting agency must complete and provide:

• An SF 62, INV 60 and any supporting documentation. Position sensitivity and risk level must be shown on the INV 60.
• Proof of the disability dated within the past year, and
• A copy of letter sent to the preference eligible notifying the request, 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:

OPM-FIS
Suitability Adjudications
P.O. Box 618
Boyers, PA 16018-0618

Questions can be directed Suitability Adjudications at 724-794-5612, extension 7400.

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Agencies may use the chart that follows, or develop their own more specific referral guidelines, to determine which issues or combinations of issues warrant referral to the agency adjudications office for suitability review, adjudication, and potential agency debarment or referral to OPM for debarment consideration.

For any issues not shown on the chart, look for a similar issue or consult the agency's department or office responsible for adjudication for guidance on whether or not referral is necessary.