House Appropriations Committee Surveys and Investigations Staff (S&IS) Visits

Role and responsibility

HQMC Code RFR-43 owns the Marine Corps HAC S&IS program. The action officer designated by ASN (FM&C) on a Marine Corps-cognizance investigation runs the day-to-day coordination. The commander of the Marine Corps activity receiving the S&IS visit provides briefings, working space, records access, and the post-visit report to CMC Code RFR. The S-1 officer at the receiving activity supports the commander on documentation control.

Source documents flow from the ASN (FM&C) S&IS announcement letter, the Marine Corps action officer designation memorandum, the briefing slides, the records and reports requested by S&IS, the classified material handling record, the historical file, and the post-visit report. Outputs include the action officer designation memorandum, the briefing record, the records release log, the post-visit report to CMC Code RFR, and the certified historical file copy.

MCO 5740.4B is narrow in scope. The order covers only HAC S&IS investigations. General congressional constituent inquiries route under SECNAVINST 5730.5 and the general Marine Corps Office of Legislative Affairs framework.

Trigger events

• ASN (FM&C) issues an S&IS announcement letter affecting Marine Corps operations.
• HQMC Code RFR-43 disseminates the S&IS announcement letter to affected Marine Corps activities.
• CMC Code RFR nominates a Marine Corps action officer to ASN (FM&C) for a Marine Corps-cognizance investigation.
• S&IS schedules a visit to a Marine Corps activity.
• Receiving activity completes the S&IS visit and prepares the post-visit report.
• S&IS reports interim adverse findings during the investigation.

Processing workflow

1. Receive the S&IS announcement letter. HQMC Code RFR-43 receives the announcement letter from ASN (FM&C) per MCO 5740.4BMCO 5740.4B Paragraph 4a(2).
2. Disseminate to affected activities. Code RFR-43 routes the letter to the affected Marine Corps activities with names of staff members, security clearances, purpose of the visit, and approximate length.
3. Nominate the action officer for Marine Corps-cognizance investigations. Code RFR nominates a Marine Corps action officer to ASN (FM&C) for designation as the primary point of contact per MCO 5740.4BMCO 5740.4B Paragraph 4a(2)(b).
4. Brief investigators. The action officer briefs S&IS investigators as necessary on the Marine Corps subject area, the planned scope, and the points of contact.
5. Arrange the visit. The action officer coordinates visits to HQMC and field activities. Notification to field activities covers staff member names, security clearances, purpose of the visit, and approximate length per MCO 5740.4BMCO 5740.4B Paragraph 4a(2)(b)(1)(b).
6. Provide working space and facilities. The receiving activity provides adequate working space and facilities for S&IS members during the visit per MCO 5740.4BMCO 5740.4B Paragraph 4b(1)(a)(b).
7. Release records and reports. Copies of records and reports route to S&IS members subject to the provisions of SECNAVINST 5740.29 and the classified material rules in MCO 5740.4BMCO 5740.4B Paragraph 4c(1).
8. Handle classified information. Classified information routes to S&IS investigators only when necessary to conduct the investigation. Each investigator receives a classification briefing and acknowledges the legal requirement to safeguard classified information per MCO 5740.4BMCO 5740.4B Paragraph 4c(1)(a). Physical exchange of classified and sensitive documents routes through the assigned action officer.
9. Submit the post-visit report. The receiving activity submits a report to CMC Code RFR upon completion of the S&IS visit with dates of arrival and departure, summary of subject areas discussed, problems encountered, and any findings of S&IS resulting in adverse budgetary actions per MCO 5740.4BMCO 5740.4B Paragraph 5a.
10. Submit interim reports on adverse findings. Interim reports route when potentially adverse findings are discovered by S&IS per MCO 5740.4BMCO 5740.4B Paragraph 5b.

Systems of record and forms

Systems

• HQMC Code RFR-43 historical file. Master file of S&IS investigations involving the Marine Corps per MCO 5740.4B Paragraph 4a(2)(c).
• ASN (FM&C). S&IS announcement letter source and action officer designation authority.
• HAC Surveys and Investigations Staff. Investigation team and committee representative.
• Receiving activity records system. Local complete file on the investigation per MCO 5740.4B Paragraph 4b(1)(d).

Forms

• S&IS Announcement Letter. ASN (FM&C) letter announcing the investigation.
• Action Officer Designation Memorandum. CMC Code RFR nomination to ASN (FM&C).
• Briefing Record. Local record of investigator briefings.
• Records Release Log. Local log of records released to S&IS members.
• Classified Material Handling Record. Tracks classified information routed to investigators.
• Post-Visit Report. Receiving activity report to CMC Code RFR per MCO 5740.4B Paragraph 5a.
• Interim Adverse Finding Report. Triggered report on adverse findings.

Common pitfalls

• Receiving activity skips action officer coordination. Records release routes through the activity without the action officer routing record. Run all classified document exchange through the assigned action officer per MCO 5740.4BMCO 5740.4B Paragraph 4c(1)(a).
• Classification briefing skipped on classified release. Each S&IS investigator receives the classification briefing and acknowledges the legal requirement to safeguard. Skipping the briefing creates statutory exposure.
• Post-visit report submitted late or skipped. CMC Code RFR loses the historical record. Submit the report at completion of the S&IS visit per MCO 5740.4BMCO 5740.4B Paragraph 5a.
• Interim adverse finding report missed. CMC Code RFR loses early warning on adverse findings. Submit the interim report on detection of potentially adverse findings per MCO 5740.4BMCO 5740.4B Paragraph 5b.
• General congressional inquiry routed through 5740.4B. The order covers only HAC S&IS investigations. General congressional constituent inquiries route under SECNAVINST 5730.5 and the Marine Corps Office of Legislative Affairs framework.

Decision points

• Classified release necessity. The classification routes only when necessary to conduct the investigation per MCO 5740.4BMCO 5740.4B Paragraph 4c(1)(a). The action officer assesses necessity and routes through the security manager.
• Records release question. The receiving activity encounters a question on whether to release the requested records. Information routes to CMC Code RFR for the appropriate determination per MCO 5740.4BMCO 5740.4B Paragraph 4c(1)(e).
• Adverse finding interim report timing. The S&IS surfaces a potential adverse finding. The receiving activity routes the interim report at detection per MCO 5740.4BMCO 5740.4B Paragraph 5b.

Authority

This sub-page maps to NAVMC 3500.3E T-R event 0102-GENA-1003 Supervise Congressional or Special Interest Inquiries. The processing workflow sits under MCO 5740.4BMCO 5740.4B Relationship with the Surveys and Investigations Staff House Appropriations Committee, SECNAVINST 5740.29 Surveys and Investigations Staff Inquiries (parent DON instruction), and Public Law 601 79th Congress (statutory authority for the Committee on Appropriations studies and examinations). MCO 5510.18 Marine Corps Information and Personnel Security Program covers the classified information handling.

Related references

• MCO 5740.4B Relationship with the Surveys and Investigations Staff, House Appropriations Committee. Primary order.
• SECNAVINST 5740.29 Surveys and Investigations Staff Inquiries. Parent DON instruction.
• SECNAVINST 5730.5 Procedures for Handling Congressional Affairs Matters. General congressional inquiry framework.
• Public Law 601 79th Congress. Statutory authority for the Committee on Appropriations studies and examinations.
• MCO 5510.18 Marine Corps Information and Personnel Security Program. Classified material handling.