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Answer: The Tur (Orach Chayim 606) cites the minhag to immerse before Yom Kippur, based on direct sources from the Geonim, and the Shulchan Aruch (OC 606:4) treats it as a fact. Regarding Rosh Hashana, the earliest sources are from Ashkenazi Rishonim, and it is cited by the Rama (OC 581:4), not the Shulchan Aruch, and as a minhag that some follow. The minhag has spread to most Sephardim, and the majority of people who do one, do both.
Bemare Habazak - Rabbis Questions (657)
Rabbi Daniel Mann
329 - Paying for Unscheduled Entertainment
330 - Men Going to the Mikveh before Rosh Hashana
331 - Tosefet Yom Kippur
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The rule of thumb is that one does not have to do more than Ezra required. Therefore, since one with a discharge could suffice with nine kabin (approximately, 12 liters) of water being poured over his head, this also suffices for the Yamim Nora’im (Rama, ibid.). The Magen Avraham (ad loc. 9) limits this leniency to cases in which going to the mikveh includes hardship; the Rama’s opinion on this is unclear (see Machatzit Hashekel ad loc.). An average shower in which one stays under the water flow throughout definitely has enough water. One can be lenient to assume that the fact that the water flows itself without being poured by a human is not a problem in this context (see Torat Hamoadim, ibid. p. 29). Thus, even one who does not go to the mikveh likely fulfills the minhag’s main element.
There are different opinions as to when the proper time to go to the mikveh is before Yom Kippur. The Shulchan Aruch says that any time of day is fine, but some say it should be before Mincha, which has elements of Yom Kippur tefilla (see Mishna Berura 606:18). The Chayei Adam (II, 144:7) says that it should not be done earlier than an hour before chatzot. Logic dictates that any time after the night solves the problem of discharges, which hints that the Yom Kippur minhag likely has other elements to it.
The Tur cites Pirkei D’Rabbi Eliezer (45) as a reason for the tevilla, comparing our spiritual purity on Yom Kippur to that of angels. The Maharil (see Darchei Moshe, OC 606:3) compares it to the immersion of a convert and says that one should therefore not rely on the pre-Rosh Hashana tevilla even if he had no discharges between then and Yom Kippur. The Magen Avraham (606:8) explains that halacha as being because the tevilla is part of the teshuva process, which he also views as a reason to dunk three times (others suggest, based on Kabbalistic sources, higher numbers and the recitation of viduy in the water).
The additional elements apply to Yom Kippur more than to Rosh Hashana. Nevertheless, the Mishna Berura (581:26) applies the matter of timing to Rosh Hashana as well, and the Kaf Hachayim (OC 581:82-83) suggests multiple dunkings with different contemplations for Rosh Hashana as well.
In short, if one is in a community in which most men go to the mikveh before Rosh Hashana, it is proper but not a fully required practice for individuals to do so. A chazan or ba’al tokei’ah should definitely go to the mikveh (see Magen Avraham 581:9).
Bemare Habazak - Rabbis Questions Ask the Rabbi: Having a Non-Jew Build a Sukka and Assemble Arba’a Minim
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