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How to Upload Your CAPE Declaration — And Get It Right the First Time.

The CAPE upload process runs through the ACE Secure Data Portal — not a standalone government website. A single formatting error rejects your entire declaration. A file that passes upload validation still faces a second round of entry-level screening. Here is exactly what CBP requires before you upload a single file.

$166BRefund Pool
330K+Eligible Importers
60-90Day Payout Window
7%Annual Interest Rate

Three Reasons Your CAPE Upload Will Be Rejected.

CBP's CAPE system runs file-level validations before your declaration ever reaches entry screening. The three most common file-level rejection reasons: the file format is not CSV — saving as Excel or PDF causes immediate rejection with the message "Not a CSV file"; the file is empty or the header row is missing; or the entry numbers fail initial format validation — the system displays "Failed initial validation" when entry numbers are not exactly 11 alphanumeric characters or when the first three characters do not match your Filer Code.

If your upload passes file validation it proceeds to entry-level screening. Entry-level rejections display "Rejected by batch validation" and occur when the entry number does not exist in ACE, the IOR number of your account does not match the IOR number on the entry summary, or the entry number is duplicated from a prior declaration. The Validation Result File download shows the specific error for each rejected entry.

For file upload errors — correct the errors and upload the entire file again on a new CAPE Declaration. For entry-level errors — only upload the corrected entries. Do not resubmit the full declaration for individual entry corrections.
Where exactly do I upload my CAPE Declaration?
Log into the ACE Secure Data Portal at ace.cbp.dhs.gov. Navigate to your Importer sub-account. Click the More tab to find the CAPE tab in the dropdown. In the CAPE tab, the default view is the File Uploads subtab. Click the Upload button to open the CAPE Upload dialog. You cannot use the Automated Broker Interface for CAPE uploads — it must be done through the ACE Portal directly.
What does "Failed initial validation" mean?
Failed initial validation means your entry numbers have a format problem. Every entry number must be exactly 11 alphanumeric characters. Dashes are optional — any special characters are stripped before the 11-character check. For Filer and Organizational Broker accounts, the first three characters must match your Filer Code. Download the Validation Result File from the File Upload Job detail page to see which entry numbers failed and why.
What does "Rejected by batch validation" mean?
Rejected by batch validation means the entry number passed format checks but failed entry-level screening. Common causes: the entry number does not exist in ACE, the IOR number on your account does not match the IOR number on the entry summary (Account Mismatch), or the entry number was already included in a prior CAPE Declaration. For these errors only upload the corrected entries — do not resubmit the full declaration.
How do I check the status of my upload after submission?
In the CAPE tab, File Uploads subtab, click the File Upload Job number hyperlink to see detailed status. The File Upload Status column shows Accepted, Failed initial validation, or Rejected by batch validation. If applicable, click the Download File hyperlink in the Validation Result File field to download the Cape_Validation_Result.csv showing the status of every entry number in your declaration. Once accepted a Claim Number appears in the Claim Number column.
My upload was accepted but some entries were rejected — what now?
Navigate to the Claim Status subtab in the CAPE tab. Click the Claim Number hyperlink to download the Claim Details file. The Claim Status column shows Rejected if all entries failed, Accepted with Error(s) if at least one entry failed, or Accepted if all entries passed. The Claim Details file shows the status of every entry number including the specific error description for failed entries. For rejected entries, correct the issue and submit a new CAPE Declaration with only those entries.

Three Steps to a Successful CAPE Upload

Follow these steps exactly as described in the CBP ACE Portal CAPE Declarations Quick Reference Guide (Publication No. 5514-0426).

01

Download the CAPE Upload Template

In the ACE Secure Data Portal, navigate to the CAPE tab then the File Uploads subtab. Click the Upload button. In the CAPE Upload dialog box, click the CAPE Upload Template hyperlink. The Excel template file downloads automatically to your Downloads folder as ACEP_CapeEntryNumberUploadTemplate. Open it and enter your entry numbers in the first column starting in the second row below the header.

02

Save and Format Your File Correctly

In the File menu select Save As. The file must be saved as CSV (Comma delimited) format — not Excel, not PDF. The default filename and save location are correct. Enable macros in Excel so the CSV generates correctly on save. The file cannot exceed 1MB. Each entry number must be exactly 11 alphanumeric characters — dashes are stripped automatically but the result must still be 11 characters.

03

Upload, Acknowledge, and Submit

In the CAPE Upload dialog box, check the Acknowledge checkbox confirming you are legally authorized to make the filing — this must be checked to enable the Upload File button. Click Upload File or drag and drop your CSV. The CAPE Upload In Progress dialog shows the upload status. If an error occurs the Error Starting Upload Job dialog displays the specific reason. A successful upload shows Successfully Started Upload Job and assigns a File Upload Job number.


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Five Things Every Importer Must Know Before Uploading

The five technical pillars of IEEPA refund eligibility — covered in plain English. Liquidation status, ACH enrollment, entry formatting, interest calculation, and the Phase 1 exclusions that catch many filers off guard.

Read the Quick Guide
1. Liquidation Status — Only unliquidated entries and entries liquidated within 80 days qualify for Phase 1.

2. ACH Enrollment — You must have a U.S. bank account registered in the ACE Secure Data Portal. This account must be separate from any ACH account used to pay duties to CBP.

3. Entry Formatting — All entry numbers must be exact 11 alphanumeric characters. One bad character rejects the line.

4. Interest Calculation — Statutory interest accrues from the original entry payment date at 7% annually (non-corp) or 6% (corp), compounded quarterly per 19 U.S.C. 1505.

5. Phase 1 Exclusions — Reconciliation entries, drawback entries, AD/CVD entries, open protest entries, and entries not filed in ACE are excluded from Phase 1.

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Federal Statutory Interest Calculator

Calculated per 19 U.S.C. 1505 and 26 U.S.C. 6621 using IRS quarterly overpayment rates as published in Federal Register Vol. 90 No. 186. Not a simple interest estimate — a statutory refund calculation.

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Federal Statutory Interest Calculator — IEEPA Tariff Refund Overpayment Rates

Statutory interest on IEEPA tariff refunds accrues from the date the original duties were paid through the date CBP issues your refund. This is not optional — it is a legal entitlement under federal statute.

The applicable rates, confirmed across multiple Federal Register publications, are 7% annually for non-corporate importers and 6% annually for corporate importers, compounded quarterly.

For entries paid in April 2025, this means more than a full year of interest accrues on top of your principal refund amount before CBP issues payment.

Source: 19 U.S.C. 1505 · 26 U.S.C. 6621 · Federal Register Vol. 90 No. 186 (September 29, 2025) · Federal Register Document 2026-01175 (January 22, 2026) · Revenue Ruling 2025-22

IEEPA Refund + Statutory Interest Estimate
Principal (Duties Paid)
Statutory Interest Accrued
Total Owed to You
Daily Accrual Rate
Quarters Elapsed

Estimate based on statutory rates per 19 U.S.C. 1505 and 26 U.S.C. 6621, compounded quarterly. Actual amounts depend on entry-level CBP data and the refund process established by the Court of International Trade.

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