ASA CAP Code substantiation checklist

The CAP Code expects you to hold documentary evidence for any objective claim before you make it. Most teams don't fall down because the evidence doesn't exist. They fall down because it isn't connected to the exact wording, the market, the channel and the person who approved it. To find the claims to check, run your copy through the free claim checker.

What does substantiation mean under the CAP Code?

Rule 3.7 of the CAP Code says that before distributing or submitting a marketing communication, marketers must hold documentary evidence to prove claims that consumers are likely to regard as objective and that are capable of objective substantiation.

In practice, the evidence has to support the claim as your audience will read it, not as your team meant it. A lab test in ideal conditions may not support an unqualified claim about everyday use.

• It must exist before the claim is published
• It must cover the product as sold
• It must match the strength of the wording
• It must still be current

Which marketing claims need evidence?

Any statement that can be proved or disproved. If a reasonable reader would take it as fact, assume you need proof.

• Performance: "removes 99% of dust", "40% faster"
• Comparisons: "quieter than our previous model", "better than X"
• Superlatives: "No.1", "best-selling", "the first"
• Health and beauty: "clinically proven", "dermatologically tested"
• Environmental: "30% recycled", "carbon neutral"
• Testimonials and reviews, which need a real source and consent

Obvious puffery ("a joy to use") usually needs no evidence. But puffery that implies a measurable advantage ("the smartest purifier you can buy") can be treated as objective.

How do you check that evidence fits the claim?

Write down what a typical reader would understand the claim to mean. Then ask:

• Does the evidence support the whole claim, or only part of it?
• Was it produced on the same product, in the same conditions?
• Who produced it, and how independent are they?
• Does the claim need a qualification to be accurate?

Example: a performance claim

The test was run in a sealed 20 m² chamber on the highest setting. The approved wording states the conditions the result depends on, and Legal attaches a condition that the room size is shown beside the claim wherever it's used.

What should you keep on record?

A record that someone outside your team can follow, months later, without asking anyone:

• The final wording, and where it will be used
• The evidence, with who produced it and when
• Who reviewed it, their decision and their reason
• Any conditions on how the wording can be used
• When the evidence needs reviewing again

Email threads and a thumbs-up in chat are weak records. They are hard to find, and rarely keep the wording, the evidence and the decision together.

If you're choosing software to keep these records, our buyer's guide to marketing compliance software sets out what to look for.

The ASA CAP Code substantiation checklist

• Have we found every objective claim in the copy?
• Does each claim have evidence before publication?
• Does the evidence support the exact wording, as a reader would understand it?
• Does it cover the product as sold, and the markets and channels it will appear in?
• Have we stated the conditions the result depends on?
• Have we removed or qualified unsupported superlatives?
• Has a named reviewer approved the wording, with any conditions recorded?
• Have we set a date to review evidence that can go out of date?

Questions

Can we publish first and gather evidence later?
No. The CAP Code requires the evidence to be held before the claim is made. If it isn't ready, soften or remove the claim.

Do B2B claims need substantiation?
Yes. The CAP Code applies to business-to-business marketing too.

Is Veridat an ASA compliance checker?
Veridat shows which rules apply to a claim and keeps the evidence and sign-off together. It doesn't make legal decisions; your reviewers do.

This checklist is for information only and is not legal advice. For decisions about specific claims, speak to a qualified adviser.