Customs Broker Authorization for CAPE Filing: Power of Attorney Guide

Guide

Learn how to authorize your customs broker to file CAPE declarations on your behalf. Covers CBP Power of Attorney, ACE delegation, and key requirements.

Many importers work with licensed customs brokers to handle their CAPE filings. If you plan to have your broker file CAPE declarations on your behalf, proper authorization must be in place before they can act.

This guide explains the authorization requirements and the steps to get your broker set up for CAPE filing.

Who Can File a CAPE Declaration?

Under the CAPE system, only two parties can submit declarations:

  1. The importer of record (IOR) — filing directly through their own ACE Portal account
  2. The original filing broker — the licensed customs broker who filed the original entry summaries

This is an important distinction: only the broker who originally filed the entries can submit the CAPE declaration for those entries. If you used different brokers for different entries, each broker can only file for the entries they originally submitted.

Source: CBP CAPE guidance specifies that the filer must be the importer of record or the broker who filed the original entry. See our CAPE Phase 1 details for full eligibility rules.

The Customs Power of Attorney

A Customs Power of Attorney (POA) is the legal document that authorizes a customs broker to transact customs business on behalf of an importer. For CAPE filings, there are two common forms:

CBP Form 5291 — Power of Attorney

This is the standard CBP power of attorney form. Key points:

  • Authorizes the broker to act as your agent for customs transactions
  • Can be general (covers all customs business) or limited (specific transactions only)
  • Must be signed by an authorized officer of the importing company
  • Remains in effect until formally revoked
  • The broker retains the original; provide a copy for your records

If your broker already filed your original entries, they likely have a POA on file. Confirm with your broker that the existing POA covers CAPE-related filings.

Corporate Resolution or Letter of Authorization

As an alternative to CBP Form 5291, some importers use:

  • A corporate resolution from the board of directors authorizing the broker
  • A letter of authorization on company letterhead

These must clearly identify the broker, the scope of authorization, and be signed by a company officer with binding authority.

Step-by-Step: Authorizing Your Broker for CAPE

Step 1: Confirm Your Broker’s Eligibility

Contact your broker and verify:

  • They are a licensed customs broker with an active CBP license
  • They filed the original entry summaries for the entries you want to include in CAPE
  • They have ACE Portal access with CAPE filing capabilities
  • They have an active Power of Attorney from your company on file

If you used multiple brokers, you’ll need to coordinate with each one separately.

Step 2: Review or Update Your Power of Attorney

If your POA is outdated or doesn’t cover CAPE filings:

  1. Request a new CBP Form 5291 from your broker (most brokers provide their own template)
  2. Have it signed by an authorized officer of your company (CEO, President, VP, or other officer with binding authority)
  3. Return the signed original to your broker
  4. Keep a copy for your records

Step 3: Designate the Refund Recipient

CAPE refunds are paid via ACH direct deposit. You need to determine who receives the refund:

  • IOR receives refund — The refund goes to the importer of record’s ACH account registered in ACE
  • Designee receives refund — The IOR can designate another party (such as the broker) to receive the refund

To set up or verify your ACH refund account, see our ACE Portal setup guide.

Important: The refund recipient’s ACH account must be registered in ACE before the CAPE declaration is submitted. Refunds cannot be issued by check.

Step 4: Grant Entry Visibility in ACE

If your broker filed the entries but you also need to see them in your ACE account:

  1. Log in to ACE Portal
  2. Navigate to Account Management → Entry Visibility
  3. Ensure your IOR number is linked to the relevant entries
  4. Your broker may need to coordinate with CBP to ensure proper entry visibility

Step 5: Coordinate the Filing

Before your broker submits the CAPE declaration:

  1. Review the entry list — Confirm which entries are being included
  2. Verify no open protests — Entries with pending protests cannot be filed through CAPE (withdraw protests first if needed)
  3. Check for exclusions — Confirm none of the entries fall into excluded categories (AD/CVD, drawback, reconciliation)
  4. Agree on timing — CAPE declarations cannot be modified after submission, so ensure the entry list is final
  5. Confirm the filing — Your broker should provide confirmation once the CAPE declaration is submitted

Working with Multiple Brokers

If you used different brokers for different entries:

BrokerCan File CAPE For
Broker AOnly entries originally filed by Broker A
Broker BOnly entries originally filed by Broker B
You (IOR)Entries you filed directly

Each broker submits a separate CAPE declaration for their respective entries. There is no way to consolidate entries filed by different brokers into a single declaration.

Key Considerations

  • 9,999 entry limit per declaration. If a single broker has more than 9,999 entries, they’ll need to file multiple declarations.
  • No duplicate entries. Each entry can only appear in one CAPE declaration. CBP will reject duplicates across declarations.
  • No modifications after submission. Once a CAPE declaration is submitted, it cannot be amended. Double-check the entry list before filing.
  • Protest coordination. If you’ve filed protective protests, withdraw them through ACE before your broker submits the CAPE declaration for those entries. See our protest filing guide for details.

Questions to Ask Your Broker

Before proceeding, ask your broker these questions:

  1. Do you have the original entry data for all my IEEPA entries?
  2. Is our Power of Attorney current and does it cover CAPE filings?
  3. How many of my entries qualify for CAPE Phase 1?
  4. Are there any entries with complications (AD/CVD, open protests, reconciliation)?
  5. What is your timeline for filing the CAPE declaration?
  6. What are your fees for CAPE filing services?

Next Steps

  1. Contact your broker to confirm they can file CAPE on your behalf
  2. Verify your POA is current and covers CAPE transactions
  3. Register your ACH account in ACE if you haven’t already
  4. Need help evaluating your situation? Request a free assessment from a vetted trade law professional

Disclaimer: This article is for educational purposes only and does not constitute legal advice. We are not a law firm, customs brokerage, or government agency. Consult a qualified trade law attorney or licensed customs broker for advice specific to your situation.

← Back to Blog