CAPE Declaration Filing: Templates for Communicating with Your Customs Broker

Informational only — not legal advice.

Why broker communication is the critical path for CAPE

CAPE is not a self-service portal where any importer can log in and submit a refund request for any entry. CBP's design restricts who can file:

• The Importer of Record can file directly, or
• The customs broker who filed the original entries can file on the IOR's behalf

That matters for two reasons:

1. Many importers are not the IOR on their own entries — the broker or a carrier brokerage often appears as the filer on the entry summary. If you are not the IOR, you generally cannot file CAPE yourself without a broker's involvement.
2. Even if you are the IOR, the broker likely holds the entry data you need. CAPE requires a CSV upload with entry-level detail — data that lives in broker systems, not in your inbox.

Getting ahead of this conversation before April 20 is the difference between filing in Phase 1 and waiting for a later phase.

What you need before reaching out

Before contacting your broker, gather what you have so the conversation is productive:

• Legal company name and EIN / importer number
• Date range for potentially affected entries: February 4, 2025 – February 24, 2026
• Shipment identifiers you have (tracking/AWB, commercial invoice numbers, PO numbers)
• Whether you have any entry numbers already (from 7501s, duty invoices, or prior broker communications)
• Whether ACH is set up for your organization with CBP (see CBP ACH Refunds FAQs)

If you don't have entry numbers yet, that's fine — the broker can look them up. Lead with what you have.

---

Template 1: Initial outreach — will your broker file CAPE on your behalf?

Send this before April 20. The purpose is to confirm: (a) does the broker intend to file, and (b) what does the broker need from you to proceed.

---

Subject: CAPE Declaration Filing — [Your Company Name] — Request to File on Our Behalf

Hi [Broker contact name],

I'm following up on the CBP CAPE Declaration program, which CBP has indicated will open for Phase 1 filing on April 20, 2026.

My understanding is that CAPE Phase 1 covers IEEPA-duty entries filed between February 4, 2025 and February 24, 2026, and that the filer must be either the Importer of Record or the customs broker who filed the original entries.

I'd like to discuss whether your firm will file CAPE declarations on our behalf for the entries you cleared during that period.

A few questions:

1. Does your firm plan to file CAPE declarations for brokerage clients?
2. If yes, what is your process — do you file automatically for all eligible entries, or does the client need to opt in?
3. If you need information or authorization from us to proceed, what specifically do you need and by when?
4. If your firm will not file, can you confirm the customs broker filer code and entry numbers for the affected entries so we can explore our options?

Our date range of interest is February 4, 2025 through February 24, 2026.

Legal company name: [Your legal entity name] EIN / importer number: [EIN or CBP importer number if known] Account / file reference: [Broker account number or reference if you have it]

Please let me know the best way to proceed.

Thank you, [Your name and title] [Company] [Phone / email]

---

Template 2: Verifying ACH enrollment and filer code

Send this once the broker confirms they will file (or as a parallel check). CAPE refunds are paid via ACH to the IOR or a Form 4811 designee. If ACH is not set up, the refund cannot be issued electronically.

---

Subject: CAPE Filing Prep — ACH Enrollment and Filer Code Verification — [Your Company Name]

Hi [Broker contact name],

As we prepare for CAPE Declaration filing, I want to make sure the payment side is set up correctly.

CBP has indicated that CAPE refunds will be issued via ACH to the Importer of Record or a designated payee. I want to confirm a few things before filing opens:

1. ACH enrollment: Is the IOR on our entries enrolled for ACH refunds with CBP? If not, what steps do we need to take before filing?
2. IOR identity: Can you confirm the Importer of Record name and importer number shown on our entry summaries for the February 4, 2025 – February 24, 2026 period? (We want to make sure we're looking at the right entity.)
3. Filer code: What is your firm's CBP filer code? (We may need this for our own records or if we engage a different party to file.)
4. Form 4811: If the ACH-registered entity is different from the IOR on file, do we need to file a CBP Form 4811 to designate a refund payee? If so, can your firm assist with that?

Please let me know if there are any enrollment steps we need to complete on our end before April 20.

Thank you, [Your name and title] [Company] [Phone / email]

---

Template 3: Providing entry data for CSV preparation

CAPE Phase 1 filing uses a CSV upload in the ACE Portal with up to 9,999 entries per declaration. Each declaration is per-IOR, so if you imported under multiple IOR identities, each requires a separate declaration. Use this template to ask the broker what data they need from you, and to share whatever identifiers you already have.

---

Subject: CAPE CSV Data Prep — Entry List for [Your Company Name] — [Date Range]

Hi [Broker contact name],

I want to make sure we have everything you need to prepare the CAPE Declaration CSV for our entries.

We believe the following entries may be in scope:

• IOR name and number: [Your legal entity name / EIN or importer number]
• Date range: February 4, 2025 – February 24, 2026
• Approximate number of entries: [Number if known, or "unknown — please advise"]
• Shipment identifiers we have: [List tracking numbers, AWBs, invoice numbers, or PO references you have]
• Entry numbers we have: [List if you have them, or "none — please look up from your records"]

A few questions as you prepare the CSV:

1. Does your system have all entries for this IOR and date range, or do you need us to provide a shipment list to cross-reference?
2. Are there entries where a different broker filed — and if so, can you identify which entries those are so we can follow up separately?
3. CAPE's 9,999-entry limit: if we have more entries than that, how do you plan to handle the filing in multiple declarations?
4. What is the deadline by which you need the above information from us to meet the April 20 opening?

Please let me know what format works best for sharing entry data back and forth.

Thank you, [Your name and title] [Company] [Phone / email]

---

Template 4: Post-launch follow-up — requesting filing confirmation

Send this on or shortly after April 20, 2026 if you have not received confirmation that the broker filed.

---

Subject: CAPE Declaration — Filing Status Confirmation — [Your Company Name]

Hi [Broker contact name],

CBP's CAPE Portal opened for Phase 1 filing on April 20, 2026. I want to confirm the status of our declaration(s).

Could you please provide:

1. Filing confirmation: Has a CAPE Declaration been submitted for our entries? If yes, on what date?
2. Declaration reference: Is there a confirmation number, ACE submission reference, or any other filing identifier we should retain for our records?
3. Entries included: How many entries were included in the declaration, and what is the total IEEPA duty amount reflected in the filing?
4. Entries excluded: Were any of our entries excluded from the filing? If so, why (e.g., already liquidated beyond Phase 1 cutoff, data issue, etc.)?
5. Next steps: Are there any actions required from us — document uploads, additional authorizations, or follow-up submissions — before refunds can be processed?

CBP has indicated refunds may take 60–90 days after filing. I want to make sure nothing on our end is holding up the process.

Please send written confirmation of the filing details at your earliest convenience.

Thank you, [Your name and title] [Company] [Phone / email]

---

What to do if your broker won't file or is unresponsive

Some brokers may decline to file CAPE on your behalf, charge a fee you consider unreasonable, or simply not respond. Here are your options:

Option 1: File directly as the IOR

If your company is the Importer of Record on the entries, you may be able to file the CAPE Declaration yourself through the ACE Portal. You will need:

• An active ACE Portal account with the relevant IOR
• The entry data to populate the CSV (which the broker may still need to provide)
• ACH enrollment for the IOR

Contact your broker to request the entry numbers and underlying entry data, even if they won't file on your behalf. They should still be able to produce that information.

Option 2: Engage a different licensed customs broker

A licensed customs broker can file CAPE on your behalf if they have the relevant entry data or can obtain it. To transfer the engagement:

• Request a complete entry list (entry numbers, dates, ports, and duty amounts) from your current broker for the affected period
• Confirm the IOR identity and importer number per entry
• Ask your current broker for the filer code(s) they used on the original entries (the CAPE system will validate entries against the original filer)

Note that CBP's design requires the filer to be the customs broker who filed the original entries, not just any broker. Verify with any new broker whether they can file CAPE for entries they did not originally clear.

Option 3: Escalate within your broker organization

If your direct contact is unresponsive, try:

• Your account manager or a senior contact at the brokerage
• The compliance or trade services team (most major brokerages have one)
• A written request sent via email with a specific deadline and a note that you are tracking the April 20 filing window

Document all communications in writing. If the broker declines to file, get that in writing too.

What Phase 1 ineligibility means

CAPE Phase 1 covers unliquidated entries and a subset of recently liquidated entries (approximately 63% of affected volume by CBP's estimates). If some of your entries fall outside Phase 1 scope — particularly older, fully liquidated entries — they may be addressed in a later CAPE phase or through the existing protest process. Ask your broker to identify which entries they classify as Phase 1-eligible versus ineligible.

---

Key questions to ask your broker

If you have a single call or meeting to cover the full CAPE situation, these are the most important questions:

On filing authority:

• Are you the filer of record on our ACE entries, or did a sub-agent or different broker file them?
• Will your firm file CAPE for these entries, and is there a fee?

On the IOR:

• Who is shown as the Importer of Record on our entry summaries?
• If it's not our company name, why — and does that affect our ability to receive the refund?

On ACH:

• Is the IOR enrolled for ACH refunds with CBP?
• Do we need to file a Form 4811 to designate a payee, and can you help with that?

On entry data:

• Can you provide a complete list of entry numbers, entry dates, ports, and IEEPA duty amounts for the February 4, 2025 – February 24, 2026 period?
• Are there any entries in that range that you did not file (e.g., entries filed by a different broker for the same IOR)?

On timeline:

• What is your deadline for receiving data from us to file by or shortly after April 20?
• How will you notify us when the declaration is submitted, and what confirmation documentation will you provide?

On exclusions:

• Which of our entries do you expect to be outside Phase 1 scope, and why?
• What is the plan for those entries?