Preliminary Inquiry and Command Options - S-1 Procedural Page

Role and responsibility

The cognizant officer runs the preliminary inquiry per JAGINST 5800.7GJAGINST 5800.7G Chapter II section 0203.b (Responsibility). The convening authority (CA) selects an investigation type per section 0204 (Command Options) and signs the convening order per section 0206 (Convening Orders). The S-1 officer signs by direction on the convening order routing. The S-1 chief tracks the preliminary inquiry against the time limits in section 0203.e. The legal advisor reviews the command-options decision per section 0204.e (Review).

Source documents flow from the underlying incident, the preliminary inquiry documentation per Appendix A-2-d (Sample Documentation of Preliminary Inquiry), the litigation or claims posture check per section 0203.d, the major-incident analysis per section 0203.f, the cross-command coordination per section 0205, and the convening order per Appendix A-2-e (command investigation) or Appendix A-2-g (litigation-report). Preliminary inquiry and command-options outputs include the preliminary inquiry documentation, the CA's command-options decision, the signed convening order, the IO designation, the major-incident routing notification when applicable, and any amendments to the convening order per section 0206.d.

Per JAGMAN section 0203 (Preliminary Inquiry), the preliminary inquiry gathers initial facts to inform the CA's command-options decision. Per section 0204 (Command Options), the CA selects from no investigation, command investigation (Type One per 0209), litigation-report investigation (Type Two per 0210), or court of inquiry / board of inquiry (Type Three per 0211). Per section 0206 (Convening Orders), the CA issues a written convening order with the IO designation, scope, and time limits.

Trigger events

• Incident occurs requiring initial fact-finding.
• Notification arrives from a subordinate command, another command, or external authority.
• Casualty notification per MCO 3040.4 cross-reference triggers death-case preliminary inquiry.
• Major incident threshold met per JAGMAN 0203.f.
• Cross-command incident requires JAGMAN 0205.b cooperation.
• Reservist incident triggers JAGMAN 0205.f routing.
• Litigation or claims posture surfaces during the preliminary inquiry per JAGMAN 0203.d.

Processing workflow

1. Open the preliminary inquiry. Per JAGINST 5800.7GJAGINST 5800.7G Chapter II section 0203.a (Purpose), the inquiry gathers initial facts. Per section 0203.b (Responsibility), the cognizant officer or designated representative runs the inquiry. Per section 0203.c (Method), the inquiry method matches the matter (informal interviews, document review, site walk-through).
2. Document the preliminary inquiry. Per Appendix A-2-d (Sample Documentation of Preliminary Inquiry), capture the findings of the preliminary inquiry in a memorandum.
3. Apply the litigation or claims posture check. Per JAGMAN section 0203.d, the cognizant officer identifies whether the matter carries litigation or claims potential. The presence drives Type Two routing per section 0210.
4. Track time limits. Per JAGMAN section 0203.e (Time Limitations), the preliminary inquiry runs to support timely command-options decision. Major incidents per 0203.f run on accelerated timelines.
5. Apply major-incident routing. Per JAGMAN section 0203.f (Major Incidents), the CA notifies higher authority and considers Type Three convening per section 0231.
6. Select command options. Per JAGMAN section 0204 (Command Options) with subsections 0204.b (Options), 0204.c (Factors to Consider), 0204.d (Commander's Action), and 0204.e (Review), the CA selects no investigation, Type One, Type Two, or Type Three.
7. Apply command responsibilities. Per JAGMAN section 0205 (Command Responsibilities), the CA confirms cross-command coordination per 0205.b, applies the Marine Corps rules per 0205.e, the reservist rules per 0205.f, and the costs per 0205.g.
8. Issue the convening order. Per JAGMAN section 0206 (Convening Orders), the CA issues the order. Use Appendix A-2-e for command investigation or Appendix A-2-g for litigation-report.
9. Designate the IO. Per JAGMAN section 0206.b (Designation), the order designates the IO by name and grade. The order includes the elements per 0206.c.
10. Process amendments. Per JAGMAN section 0206.d (Amendments), the CA amends the convening order when the scope, IO, or time limits change.

Systems of record and forms

Systems

• Convening Authority Legal Records. Holds the preliminary inquiry record and the convening order.
• IO Working File (post-convening). Receives the convening order and scope.
• Legal Advisor File. Holds the command-options review per JAGMAN 0204.e.
• Major-Incident Notification Channel. Per JAGMAN 0203.f and 0231.
• Cross-Command Coordination Channel. Per JAGMAN 0205.b.

Forms

• Documentation of Preliminary Inquiry. Per Appendix A-2-d.
• Command Investigation Convening Order. Per Appendix A-2-e.
• Litigation-Report Investigation Convening Order. Per Appendix A-2-g.
• Convening Order Amendment. Per JAGMAN 0206.d.
• IO Designation Letter. Embedded in the convening order per 0206.b.
• Cross-Command Coordination Memorandum. Per JAGMAN 0205.b.

Common pitfalls

• Preliminary inquiry skipped. Per JAGINST 5800.7GJAGINST 5800.7G Chapter II section 0203, the inquiry informs the command-options decision. Skipping it leads to incorrect type selection.
• Litigation or claims posture missed. Per JAGMAN section 0203.d, the check runs during preliminary inquiry. A missed check defaults to Type One when Type Two applies and loses the litigation-privilege framework.
• Major-incident routing skipped. Per JAGMAN section 0203.f and 0231, major incidents engage higher authority. A missed major-incident notification breaks the routing chain.
• Convening order missing required elements. Per JAGMAN section 0206.c (Elements of a Convening Order), the order includes IO designation, scope, witnesses, time limits, and any specific direction. A defective order invalidates downstream work.
• Cross-command coordination skipped. Per JAGMAN section 0205.b, when multiple commands are involved, the CAs coordinate per the section. Unilateral action breaks cross-command alignment.
• Reservist case routed under active rules. Per JAGMAN section 0205.f and section 0224, reservist cases run specific routing.

Decision points

• Investigation type selection. Per JAGINST 5800.7GJAGINST 5800.7G Chapter II section 0204.c (Factors to Consider), the CA weighs the matter's seriousness, the potential litigation or claims exposure, and the major-incident criteria. Type One suits routine matters, Type Two suits litigation or claims matters, and Type Three suits major incidents.
• Cross-command request. Per JAGMAN section 0205.b, the originating CA is permitted to request another command to investigate when the other command has better resources or jurisdiction.
• Amendment versus reissue. Per JAGMAN section 0206.d, the CA amends for scope, IO, or time-limit changes. Major changes warrant a reissued convening order.
• Costs allocation. Per JAGMAN section 0205.g, costs (witness travel, evidence collection, transcription) allocate per the section rules and the cross-command agreement when applicable.

Authority

This sub-page sits under JAGINST 5800.7GJAGINST 5800.7G Chapter II section 0203 (Preliminary Inquiry), section 0204 (Command Options), section 0205 (Command Responsibilities), and section 0206 (Convening Orders). Appendix A-2-d provides the preliminary inquiry sample. Appendix A-2-e provides the command investigation convening order sample. Appendix A-2-g provides the litigation-report convening order sample. Section 0203.f and section 0231 cross-reference major incident routing. Section 0224 cross-references reserve component routing. MCO 5800.16MCO 5800.16 Volume 11 supplements at the Marine Corps level. S-1 responsibilities sit at MCO 5000.14DMCO 5000.14D MCAP enclosure 4. The processing workflow maps to NAVMC 3500.3E T-R event 0102-GENA-1012.

Related references

• JAGMAN sections 0203-0206. Authoritative preliminary inquiry, command options, command responsibilities, and convening order rules.
• JAGMAN Appendices A-2-d, A-2-e, A-2-g. Sample preliminary inquiry, command investigation convening order, litigation-report convening order.
• JAGMAN sections 0231 and 0224. Major incident and reserve component cross-references.
• MCO 5800.16 Volume 11. Marine Corps admin separations and investigations supplement.
• MCO 5000.14D MCAP enclosure 4. S-1 investigation responsibilities.
• NAVMC 3500.3E. T-R event 0102-GENA-1012.