Section 1. Suitability Determinations for Employment

(1) This transmits revised IRM 6.731.1, Suitability Determinations for Employment.

Material Changes

(1) Applicable employment suitability subsections incorporated into IRM 6.731.1, Suitability Determinations for Employment from IRM 10.23.3, Personnel Security/Suitability for Employment and Personnel Security Operations. Some subsections were renumbered and retitled, and content rearranged to improve flow.

(2) Applicable guidance about new hire eligibility and pre-employment review moved from IRM 6.731.1, Suitability Determinations for Employment, to IRM 6.332.2, New Hire and Pre-Employment Review.

(3) IRM 6.731.1.1 Added internal controls from IRM 10.23.3 and updated content, including Authority; Roles and Responsibilities (added Defense Counterintelligence and Security Agency); Terms and Definitions; Related Resources.

(4) IRM 6.731.1.2 Added guidance from IRM 10.23.3 for appointments that require a new investigation.

(5) IRM 6.731.1.3 Added position risk designation guidance from IRM 10.23.3. Moved position risk level guidance to appropriate section and merged with content from IRM 10.23.3. Also added chart and examples of duties for the position risk levels; updated guidance about position risk level codes being documented on the Optional Form 8, Position Description, and the Request for Personnel Action; moved content on appointments subject to a new investigation to appropriate subsection; and added risk level for IT privileged access guidance from IRM 10.23.3.

(6) IRM 6.731.1.4 Added and updated investigation requirement guidance from IRM 10.23.3, which includes investigative tiers, requests for investigations, change in risk level and reinvestigation requirements.

(7) IRM 6.731.1.5 Added credit check guidance from IRM 10.23.3.

(8) IRM 6.731.1.6 Added guidance for acceptance of prior investigations and determination from IRM 10.23.3.

(9) IRM 6.731.1.7 Removed guidance for when a new investigation and/or determination is required, guidance covered under reciprocity section. Also updated language for making suitability determinations, removed IRS Suitability Chart (operational procedures to be included in a standard operating procedure, or desk guide); added determinations guidance from IRM 10.23.3; added guidance on suitability adjudication; removed content about objection and pass over - guidance covered in IRM 6.332.2. Updated/condensed language for suitability due process: added respondent can elect a representative at their own expense.

(10) IRM 6.731.1.7.3 Added content from Interim Guidance Memorandum HCO-06-0321-0006, Adding Procedures on Addressing Unsuitable Hires, dated 03-25-2021.

(11) IRM 6.731.1.8 Added IRS debarment guidance from IRM 10.23.3, which includes delegation authority, imposing debarment, referrals to OPM, due process, and appeal rights.

(12) Citizenship Verification and New Hire Tax Check information was moved to new IRM 6.332.2, per Memorandum HCO-06-0820-0018, Interim Guidance on Changes to the U.S. Citizenship Verification and New Hire Tax Check.

(13) Juvenile Hiring Suitability information was moved to new IRM 6.332.2, per Memorandum HCO-06-0221-0003, Interim Guidance on Juvenile Hiring Suitability. Form 13094, Recommendation for Juvenile Employment with the IRS, was eliminated.

(14) Exhibits – Removed Suitability Referral Chart, Objections and Pass Over Chart, and Information Requirements for Suitability Referrals to OPM. Operational content is being removed from this IRM, and will be included in HCO desk guides or standard operating procedures

(15) Throughout the IRM, editorial corrections include reformatted information, revised/condensed language to improve readability; updated organizational titles and website links; and corrected clerical errors.

Effect on Other Documents

IRM 6.731.1, Suitability Determinations for Employment, dated 11-03-2009, is superseded. Text from subsections of IRM 10.23.3, Personnel Security/Suitability for Employment and Personnel Security Operations, dated 05-09-2019, has been incorporated. Portions of 6.731.1, dated 11-03-2009, were moved to new IRM 6.332.2. IRM 6.731.1 incorporates Interim Guidance Memorandum HCO-06-0321-0006, Adding Procedures on Addressing Unsuitable Hires, dated March 25, 2021.

Audience

All Business Units

Effective Date

Traci M. DiMartini
IRS Human Capital Officer

6.731.1.1 (07-31-2023)

Program Scope and Objectives

  1. Purpose: This revised IRM provides policy and requirements for suitability determinations for employment in the IRS, and includes position risk levels, investigation requirements, credit checks, and debarment authority.
  2. Audience: Unless otherwise indicated, the policies, authorities, procedures, and instructions contained in this IRM apply to all operating divisions and functions. Bargaining unit employees should review negotiated agreement provisions relating to subjects in this IRM. Should any of these instructions conflict with a provision of a negotiated agreement, the agreement prevails.
  3. Policy Owner: IRS Human Capital Officer
  4. Program Owner: Office of HR Operations (OHRO), Talent Acquisition (TA) Division, Personnel Security (PS) Office
  5. Primary Stakeholders: Human Capital Office (HCO), PS, and TA Employment Operations
  6. Contact Information: HCO, TA, Personnel Security https://irssource.web.irs.gov/HCO/SitePages/PersonnelSecurity.aspx
6.731.1.1.1 (07-31-2023)

Background

  1. Every position within IRS requires potential employees undergo a suitability screening and/or investigation conducted by an appropriate government authority. The investigation is based on the position risk or sensitivity level and/or the requirements of Homeland Security Presidential Directive (HSPD-12).
  2. The investigative requirements must be consistent with the Office of Personnel Management (OPM) guidance. The suitability investigation is the first step to ensure the highest standards of integrity and security among employees for the IRS to carry out its mission.
6.731.1.1.2 (07-31-2023)

Authority

  1. EO 12968, Access to Classified Information, August 7, 1995:https://www.federalregister.gov/d/95-19654
  2. EO 13467, Reforming Processes Related to Suitability for Government Employment, Fitness for Contractor Employees, and Eligibility for Access to Classified National Security Information, June 30, 2008:https://www.federalregister.gov/d/08-1409
  3. EO 13488, Granting Reciprocity on Excepted Service and Federal Contractor Employee Fitness and Reinvestigating Individuals in Positions of Public Trust, January 16, 2009:https://federalregister.gov/d/E9-1574
  4. EO 13526, Classified National Security Information, December 29, 2009: https://www.federalregister.gov/d/E9-31418
  5. EO 13764, Amending the Civil Service Rules, Executive Order 13488, and Executive Order 13467 To Modernize the Executive Branch-Wide Governance Structure and Processes for Security Clearances, Suitability and Fitness for Employment, and Credentialing, and Related Matters, January 17, 2017: https://www.federalregister.gov/d/2017-01623
  6. EO 13869, Transferring Responsibility for Background Investigations to the Department of Defense, April 24, 2019: https://www.federalregister.gov/d/2019-08797
  1. 5 USC 1302, Government Organization and Employees, Part II, Civil Service Functions and Responsibilities, Chapter 13, Special Authority, Section 1302-Regulations:https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title5-section1302&num=0&edition=prelim
  2. 5 USC 3301, Government Organization and Employees, Part III-Employees, Subpart B, Employment and Retention, Chapter 33, Examination, Selection, and Placement, Section 3301 - Civil Service, Generally:https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title5-section3301&num=0&edition=prelim
  3. 5 USC 7301, Government Organization and Employees, Part III-Employees, Subpart F, Labor Management and Employee Relations, Chapter 73, Suitability, Security, and Conduct, Sec. 7301 Presidential Regulations: https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title5-section7301&num=0&edition=prelim
  4. 5 USC 9202, Government Organization and Employees, Part III-Employees, Subpart H, Access to Criminal History Record Information, Chapter 92, Prohibition on Criminal History Inquires Prior to Conditional Offer, Sec. 9202 Limitations on Requests for Criminal History Record Information:https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title5-section9202&num=0&edition=prelim
  1. 5 CFR 731, Title 5, Chapter 1, Subpart B, Part 731, Suitability:https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731
  2. 5 CFR 330.1300, Title 5, Chapter 1, Subpart M, Part 330.1300, Timing of Suitability Inquires in Competitive Hiring:https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-330/subpart-M/section-330.1300
  1. Homeland Security Presidential Directive 12 (HSPD-12): Policy for a Common Identification Standard for Federal Employees and Contractors: https://www.dhs.gov/homeland-security-presidential-directive-12
  2. Treasury Order 102-17, Delegation of Authority Concerning the Personnel Security Program, April 1, 2020: https://home.treasury.gov/about/general-information/orders-and-directives/treasury-order-102-17
  3. IRS Delegation Order (DO) 10-1, Perform Operating Functions Relating to Personnel Security: IRM 1.2.2.11.1
  4. IRS DO 6-25, Delegation of Authority to Approve, Sign, or Deny IRS Debarment Requests: IRM 1.2.2.7.15
6.731.1.1.3 (07-31-2023)

Roles and Responsibilities

  1. HCO PS determines if an individual is suitable for employment with the IRS and ensures these individuals are of the highest integrity and character. The suitability determination is based on the results of preliminary security checks and investigations, which are adjudicated by trained PS adjudicators. For appointees with less than one current continuous year of service, the Associate Director, PS, has delegated authority to make suitability determinations and propose suitability actions under 5 CFR Part 731, except for those cases that must be referred to OPM as described in paragraph (3) of this section. Refer to IRM 1.2.2.16.1 Delegation Order 10-1, Perform Operating Functions Relating to Personnel Security.
  2. HCO TA oversees the recruitment and hiring process. The servicing Employment Office determines the eligibility and qualifications for external applicants. For the hiring office’s roles and responsibilities, refer to IRM 6.332.2, New Hire, Eligibility and Pre-Employment Review. The Director, TA, has the delegated authority to take suitability actions, except for cases that must be referred to OPM as described in paragraph (3) of this section.
  3. HCO TA Position Management and Classification office develops and issues position management and classification operational and policy guidance, and determines all data elements associated with the position, including the risk/sensitivity level.
  4. OPM retains jurisdiction for adjudicating suitability in all competitive service cases involving the issues listed below. Refer to 5 CFR 731.103, Suitability, Delegation to agencies:https://www.ecfr.gov/current/title-5/chapter-I/subchapter-B/part-731/subpart-A/section-731.103
  1. Evidence of material, intentional false statements, deception, or fraud in examination or appointment, including senior executive service (SES) career appointments.
  2. Refusal to furnish testimony when required by the Office, the Merit Systems Protection Board, or the Special Counsel of the Merit Systems Protection Board, or by authorized representatives of these bodies.
  3. Statutory or regulatory bar which prevents the person’s lawful employment.
  4. Suitability action against an employee after the first year of employment.
  5. Governmentwide debarment.

Note:

OPM has jurisdiction for investigations on all applicants and appointees serving a probationary or trial period and on any case under its authority, as deemed necessary (5 CFR 731.104, 5 CFR 731.105, 5 CFR 731.202).