19.1 What a substantiated concern is
It is a duly reasoned claim, based on objective and verifiable information, of non-compliance with the Regulation that may require intervention by the authorities (Article 2, point 31). Any natural or legal person may raise one — NGOs, journalists, competitors, communities, workers (Article 31(1)).
19.2 Quality requirements (FAQ 4.15)
- Duly reasoned: transparent, concrete, logical and defensible reasoning that allows the reader to reconstruct how the conclusions were reached.
- Objective and verifiable: supported by evidence as far as possible.
- Specific: it must identify who, how and when the possible non-compliance occurs. A generic modus operandi or a general trade flow is not enough. Pointing to illegal harvesting in a country where the company buys, without linking the cases to that company's operations, is not a substantiated concern.
Recommended elements: identification of the target; identification of the person raising the concern (unless that would put their safety at risk); the alleged breach; the law of the country of production that was breached, where illegality is alleged; where and when it occurred; the consignments, species or quantities involved; evidence (photographs, reports, witnesses, data from authorities or civil society, certification audits); and any other useful information.
19.3 Who it goes to and what happens next
- To the competent authority: which assesses it diligently and impartially, takes measures — checks, hearings, interim measures — and informs the person who raised it of the follow-up, with reasons, within 30 days, unless national law provides otherwise. Member States protect the identity of the person raising the concern (Article 31(2) to (4)).
- To the company itself: which must inform the authorities and, where applicable, the mitigation measures taken (Articles 4(5) and 5(5) and (6)).
19.4 Access to justice (Article 32)
Persons with a sufficient interest, including those who raised a concern, have access to administrative or judicial procedures to challenge decisions, acts or omissions of the competent authorities, in accordance with national law.