CAPE Declaration Rejected? Error Codes & How to Fix

Why is my CAPE declaration getting rejected?

A CAPE declaration is rejected when ACE cannot validate the file against CBP's CAPE Phase 1 rules, the most common triggers are entry-level mismatches (HTS sequence, FREE-rated 9903.01/.02 lines, out-of-scope liquidation dates) and account-level setup gaps (missing ACH refund details, filer code mismatch, duplicate EIN). Each rejection points to a different fix: re-file CAPE, switch to a Post Summary Correction, file a 19 USC 1514 protest, or escalate to CBP directly.

How do I tell which fix applies to a rejected CAPE entry?

Read the Validation Result File first. File-level errors (format, header, authorization) kill the whole declaration and you re-file once corrected. Entry-level errors reject only the affected lines, and the right next step depends on the liquidation clock: still inside Phase 1 scope means re-file CAPE, past 80 days but inside 180 means 19 USC 1514 protest, past 180 means CIT.

TL;DR

If your CAPE declaration came back rejected, the worst thing you can do is resubmit the same file. CBP's CAPE Declarations and Error Definitions guide splits errors into file-level (full declaration rejected) and entry-level (only specific lines rejected), and each error has a defined route back to a refund: re-file CAPE, switch to a Post Summary Correction, file a protest under 19 USC 1514, or escalate to IEEPARefunds@cbp.dhs.gov. GingerControl built the IEEPA refund mapping service because the difference between a fast refund and a forfeited claim is usually one routing decision made within a 180-day window.

Last updated: May 2026

The two layers of CAPE rejection

CAPE runs validation in two passes, and the layer that fails determines how much of your work you lose.

File-level validation checks the CSV itself: format, header row, submitter authorization, filer code association, and account banking setup. A failure here rejects the entire declaration. Nothing inside the file is preserved, and you upload a corrected version once the underlying issue is fixed.

Entry-level validation checks each entry number against ACE's record of that entry: does it exist, does it carry a 9903.01 or 9903.02 line, is the duty amount on that line greater than zero, is the entry within Phase 1's liquidation window, and was it already included in a prior declaration. Failures here only knock out the affected entries. Accepted entries continue processing.

The Validation Result File is the source of truth. Pull it from the File Upload Status column of the CAPE tab in ACE, open it alongside your original CSV, and match each rejected entry to its error code before doing anything else. As CBP states in its CAPE Phase 1 trade information notice, "file-level errors result in rejection of the entire CAPE Declaration and require resubmission of a corrected file, while entry-level errors result in rejection of only the affected entries."

The nine rejection patterns I keep seeing

Across the CAPE declarations I have helped importers and brokers map since Phase 1 opened on April 20, 2026, the rejected entries fall into a finite set of patterns. Each one has a specific diagnosis path and a specific fix.

1. HTS relationship/sequence mismatch (especially FTZ Type 06)

What triggers it. ACE cannot validate the order or relationship of the HTS lines on the entry. The most common version, documented across the trade bar since late April 2026, hits self-filing FTZ operators submitting CAPE on weekly Type 06 (FTZ withdrawal) entries. The same entry often shows "UNABLE TO CALCULATE DUTY" earlier in the week and then "HTS RELATIONSHIP/SEQUENCE MISMATCH" a day or two later.

Diagnose from ACE. Open the entry summary in ACE and look at the HTS line ordering against the Chapter 99 line. If the 9903.01 or 9903.02 line is out of sequence with the base HTS, or the duty calculation engine cannot resolve the high/low bound, this is a system-side issue rather than a filer error.

Fix. Do not resubmit. Per CBP's published guidance, email IEEPARefunds@cbp.dhs.gov with the entry numbers, the exact error text, and the FTZ Type 06 designation, and request written confirmation of receipt. CBP is treating this class of rejections as a system bug, not a denial of entitlement, and interest continues to accrue from the original payment date.

2. Entry has no IEEPA HTS line

What triggers it. The entry was filed with the IEEPA duty embedded in the base rate (or it was filed before importers and brokers began breaking IEEPA out as a separate Chapter 99 line). There is nothing for CAPE to refund because there is no 9903.01 or 9903.02 line to remove.

Diagnose from ACE. Pull the ES-003 report for the entry. If the IEEPA-affected line shows no 9903.01 or 9903.02 code, but you know IEEPA duty was paid on that entry, the duty is buried in the base HTS line.

Fix. Switch to a Post Summary Correction. PSC lets you amend the entry summary to add the missing Chapter 99 line, after which the entry becomes CAPE-eligible. PSC is available up to 300 days from entry date or before liquidation, whichever comes first. If the entry is already liquidated, the path is protest under 19 USC 1514 within 180 days, not CAPE.

3. 9903.01 or 9903.02 line shows $0 or FREE

What triggers it. The Chapter 99 line is on the entry but the duty amount is zero, either because a duty-free provision applied (de minimis, exclusion, FTA preference) or because the rate was coded FREE at the time of entry. CAPE will not refund what was not paid.

Diagnose from ACE. ES-003 shows the duty amount per line. If the 9903.01/.02 row reads $0 or FREE, this entry has nothing to recover under CAPE.

Fix. No CAPE path. If the entry was misclassified and IEEPA actually was paid in the base rate, route through PSC (unliquidated) or 1514 protest (liquidated) per pattern 2 above. Otherwise the entry simply does not belong on the declaration.

4. Entry outside Phase 1 scope (past 80 days liquidated)

What triggers it. Phase 1 accepts unliquidated entries and entries within 80 days of liquidation. An entry that liquidated more than 80 days ago is out of scope, and ACE rejects it on that basis.

Diagnose from ACE. Check the entry's liquidation date on the entry summary. Add 80 days. If today is after that, CAPE Phase 1 is not your route.

Fix. Switch to a formal protest under 19 USC 1514 if you are still within 180 days of liquidation. The protest is filed on CBP Form 19 and triggers a CBP review timeline of typically 6 to 18 months. Walk through the 1514 protest process for the specific filing mechanics. If the entry liquidated more than 180 days ago, the only remaining path is a complaint in the Court of International Trade.

5. Missing ACH refund banking details

What triggers it. The IOR sub-account in ACE does not have ACH Refund Authorization configured. CBP can accept the declaration but cannot pay the refund electronically, and in practice the system holds payment until banking is on file.

Diagnose from ACE. Log into the ACE Portal, navigate to the Importer sub-account, and check the ACH Refund Authorization tab. As the EisnerAmper IEEPA refund analysis notes, "the bank account you use to pay CBP import duties is not the account CBP uses to send you a refund. They are separate setups." A blank ACH Refund tab is the issue, even if ACH Debit (for paying duties) is fully configured.

Fix. Submit ACH Refund Authorization through the Importer sub-account. The form is short, but CBP processing takes 5 to 10 business days. Until the ACH Refund profile is active, your declaration may validate but the refund check will be paper, mailed to the address on file, with all the associated lag and lost-check risk.

6. Duplicate EIN on the importer sub-account

What triggers it. The same EIN appears under more than one ACE sub-account, often because a parent and a subsidiary, or two filer codes, both set up Importer sub-accounts and the ACE record now shows the EIN twice. CAPE cannot route the refund cleanly.

Diagnose from ACE. Pull the account hierarchy from the ACE Portal. If the EIN tied to the IOR on the rejected entries appears on more than one sub-account, this is the cause.

Fix. Consolidate to a single active Importer sub-account for the EIN, deactivate the duplicate, and update the IOR-to-sub-account mapping. Submit the corrected Form 5106 if the underlying IOR record needs updating. Re-file CAPE after CBP confirms the deduplication.

7. Wrong filer code (broker not authorized via Box 28)

What triggers it. CAPE requires that the first three characters of each entry number match the filer code of the submitting ACE account. A broker filing CAPE on behalf of an IOR must have been the broker of record on that entry. Box 28 on the entry summary establishes that authorization. If the broker now filing CAPE was not on Box 28, ACE rejects the entry on filer-code mismatch.

Diagnose from ACE. Look at the first three digits of the rejected entry numbers in your CSV and compare to the filer code of the ACE account that submitted the declaration. Any mismatch is the cause.

Fix. Either the IOR files CAPE directly from its own ACE account (which sidesteps the filer code rule because the IOR account is matched on EIN, not filer code), or the original broker of record files. If neither is feasible because the original broker has gone dark or the relationship has ended, a current power of attorney authorizing the new filer plus IOR-direct submission is the cleanest path. Switching filer code on the historical entry itself is not realistic.

8. Entry already on a prior CAPE declaration or under active protest

What triggers it. An entry can only sit on one open refund route at a time. If it was included on a prior CAPE declaration that has not been finally adjudicated, or if a 1514 protest is already pending on the same liquidation, the new declaration line is rejected to prevent conflicting refund routes.

Diagnose from ACE. Cross-check the entry against your prior CAPE submissions and your protest log. The Validation Result File typically flags the prior declaration ID or the protest reference if one is on file.

Fix. Decide which route you actually want and unwind the other. For a duplicate CAPE submission, wait for the first declaration to resolve. For a CAPE submission on an entry already under protest, either withdraw the protest (only sensible if the entry now qualifies for CAPE Phase 1 and Phase 1 is faster) or remove the entry from the CAPE declaration and let the protest run. Do not have both routes live on the same entry.

9. Entry date outside the IEEPA window

What triggers it. The entry date is before February 4, 2025, when the IEEPA Chapter 99 codes first took effect, or after early February 2026, when the Supreme Court struck them down. There is no IEEPA duty to refund on entries outside that window.

Diagnose from ACE. Check the entry date on the entry summary. Confirm against the IEEPA effective dates.

Fix. Remove the entry from the declaration. If duty was paid on a Chapter 99 code that is not 9903.01 or 9903.02, it is likely Section 301 (9903.88), Section 232 (9903.80/.81/.85), or Section 122 (9903.03), and those are not refundable through CAPE. Section 122 has its own refund path through liquidation monitoring and 1514 protest where applicable.

Comparison: which rejection routes to which fix

Rejection pattern	Route back to refund	Deadline that controls	Typical timeline
HTS relationship/sequence mismatch (FTZ Type 06)	Email IEEPARefunds@cbp.dhs.gov, do not resubmit	None, CBP system fix in progress	Unknown, interest accrues
No 9903.01/.02 line, unliquidated entry	Post Summary Correction, then re-file CAPE	300 days from entry or liquidation	60-90 days after CAPE acceptance
No 9903.01/.02 line, liquidated entry	19 USC 1514 protest	180 days from liquidation	6-18 months
9903.01/.02 line shows $0 or FREE	Remove from declaration, or PSC + re-file	Same as PSC/1514	Varies
Outside Phase 1 scope (past 80 days liquidated)	19 USC 1514 protest	180 days from liquidation	6-18 months
Past 180 days liquidated	CIT complaint	None statutory, but evidence ages	12-24+ months
Missing ACH refund details	Add ACH Refund Authorization, re-file	None procedural	5-10 business days for setup
Duplicate EIN on sub-account	Deduplicate sub-account, re-file	None procedural	Depends on CBP processing
Wrong filer code / Box 28 mismatch	IOR files direct, or original broker files	Same as underlying entry	Procedural
Entry already on prior CAPE or protest	Pick one route, unwind the other	Same as underlying entry	Depends on chosen route
Entry date outside Feb 4 2025 to Feb 2026	Remove from declaration	N/A	N/A

Bottom line: Every rejected CAPE entry maps to exactly one of these routes. The cost of getting the routing wrong is not a re-submission, it is a forfeited refund, because the protest clock and the CIT clock both keep running while you re-file a CAPE that ACE will reject again.

How GingerControl maps a rejected CAPE batch

GingerControl is AI global trade compliance infrastructure that helps importers, exporters, and customs brokers classify products, simulate tariff costs, and track policy changes. For CAPE rejections specifically, the IEEPA Refund Mapping service takes the Validation Result File plus the ES-003 report and produces a per-entry routing decision: re-file CAPE, file PSC then CAPE, file 1514 protest, prepare for CIT, or remove from scope. We then re-file the CAPE declarations on the entries that genuinely qualify, coordinate the protest filings on the past-80-day liquidated entries, and track CBP's phased refund payments through completion.

The reason this matters as a separate workflow: a 9,999-entry CAPE declaration that comes back with 1,800 rejected lines is not one problem, it is between four and nine problems, each with its own deadline. The diagnosis work is more analytically dense than the original filing.

What to do this week if you have a rejected declaration

A pragmatic sequence:

Pull the Validation Result File from the CAPE tab in ACE and the ES-003 report for the same period.
Tag every rejected entry with one of the nine patterns above.
Sort the rejected entries by liquidation date and flag every entry that is within 30 days of its 180-day protest deadline. Those become the highest priority because the protest route closes irrevocably.
For entries needing PSC, get the PSC drafted and filed before the entry liquidates. PSC is no longer available post-liquidation.
For FTZ Type 06 entries with the sequence mismatch error, send the IEEPARefunds@cbp.dhs.gov email today and log the confirmation.
Confirm ACH Refund Authorization is active on the IOR sub-account before refiling anything.
Re-file CAPE on the entries that are genuinely back in scope after the fixes.

FAQ

Why was my CAPE declaration rejected even though my entries paid IEEPA duties? A rejection does not mean the duties were not paid, it means ACE cannot validate one of the CAPE-specific requirements on the entry: HTS sequence, Chapter 99 line presence, duty amount, liquidation window, filer authorization, or account setup. GingerControl's IEEPA refund mapping reviews the Validation Result File against ES-003 and tells you which fix applies per entry, so you do not re-submit the same rejection.

Can I just resubmit a rejected CAPE declaration? Only if you have fixed the underlying error. Resubmitting the same file produces the same rejection. For HTS relationship/sequence mismatches on FTZ Type 06 entries specifically, CBP has instructed filers not to resubmit and to email IEEPARefunds@cbp.dhs.gov instead. GingerControl's service handles the per-entry triage so the resubmission actually clears validation.

What is the difference between a file-level and an entry-level CAPE rejection? File-level rejections (format, header row, authorization, filer code association) kill the entire declaration and require a full resubmission once corrected. Entry-level rejections only knock out the affected lines, and accepted entries continue processing. GingerControl reads both layers off the Validation Result File and routes each rejected entry to CAPE re-file, PSC, 1514 protest, or CIT based on its individual posture.

How do I fix a CAPE rejection where the entry is past the 80-day liquidation window? CAPE Phase 1 will not accept that entry. The fix is a protest under 19 USC 1514 filed within 180 days of liquidation. Past 180 days, the only path is a complaint in the Court of International Trade. GingerControl maps each rejected entry to its specific deadline and coordinates the protest filing or CIT preparation through our IEEPA refund recovery service.

Can a customs broker re-file my rejected CAPE declaration if they were not the original broker of record? Not directly through their filer code, because CAPE requires the first three characters of the entry number to match the submitting filer code. The workaround is for the IOR to file CAPE from its own ACE account, where matching is on EIN rather than filer code. GingerControl coordinates with the IOR's ACE account and the original broker's records to route every entry through the correct submission account.

Is interest still accruing on entries that have been rejected by CAPE? Yes for entries that remain entitled under the CIT order mandating nationwide refunds issued March 4, 2026. CBP has confirmed that processing rejections do not cancel the underlying entitlement, and interest accrues from the original payment date once the route is corrected. GingerControl tracks the interest accrual entry-by-entry inside the refund mapping workbook.

What happens if I have an entry on a CAPE declaration and a 1514 protest at the same time? ACE rejects the duplicate route. You pick one path and unwind the other: withdraw the protest if CAPE is faster and the entry qualifies, or remove the entry from CAPE and let the protest run if the entry is past the 80-day Phase 1 window. GingerControl's mapping flags every entry with conflicting routes and produces a per-entry routing decision before any refiling happens.

If your team is staring at a rejected CAPE declaration

Before re-filing, get an honest read on the size of the refund still recoverable across your rejected entries. The IEEPA refund toolkit on this page has two free calculators that size the opportunity in minutes. The ES-003 drop-in calculator parses your ACE export entirely in the browser (nothing uploads), classifies every line by Chapter 99 prefix, buckets entries by liquidation status, and returns total IEEPA duties paid plus estimated recoverable amount. The quiz-style estimator is the faster path if you do not have your ES-003 yet, a handful of questions and you get a directional estimate.

If you submitted a CAPE declaration and got a Validation Result File with hundreds or thousands of rejected lines, the routing decision per entry is the bottleneck, not the resubmission itself. GingerControl's IEEPA refund recovery service maps each entry to the right path: Post Summary Correction, 19 USC 1514 protest, CIT complaint coordination, or CBP phased refund tracking, and we re-file the CAPE declarations on the entries that come back into scope. We are the firm that turns a rejected declaration into a recovered refund, on the deadlines that actually control.

Map your rejected CAPE declaration

Talk to our team about CAPE rejection triage, PSC drafting, 1514 protest filing, or CIT preparation.

References

[REF 1] U.S. Customs and Border Protection, ACE Portal CAPE Declarations and Error Definitions Data cited: File-level vs entry-level validation, error message taxonomy, Validation Result File mechanics Source: CBP CAPE Declarations and Error Definitions Published: May 2026

[REF 2] U.S. Customs and Border Protection, CAPE Phase 1 Trade Information Notice Data cited: Phase 1 scope (unliquidated + 80 days post-liquidation), April 20 2026 launch, 60-90 day refund timeline Source: CBP CAPE Phase 1 Trade Information Notice Published: April 2026

[REF 3] U.S. Customs and Border Protection, IEEPA Duty Refunds program page Data cited: CAPE channel inside ACE, refund consolidation by Importer of Record, ACH refund setup requirement Source: CBP IEEPA Duty Refunds Published: 2026

[REF 4] Liberty Justice Center, CAPE Refund Process Data cited: March 4 2026 CIT order mandating nationwide refunds, interest accrual from original payment date Source: Liberty Justice Center CAPE Refund Process Published: 2026

[REF 5] Troutman Pepper Locke, CBP Issues Guidance on IEEPA Duty Refunds via New CAPE Process Data cited: Filer code matching rule, IOR vs broker authorization, ACE account preconditions Source: Troutman CBP Guidance on IEEPA Duty Refunds via CAPE Published: April 2026

[REF 6] EisnerAmper, IEEPA Tariff Refunds CAPE System Now Live Data cited: ACH Refund Authorization tab separate from ACH Debit, banking setup as gating issue Source: EisnerAmper IEEPA Tariff Refunds CAPE System Live Published: April 2026

[REF 7] White and Williams, IEEPA Tariff Refunds CBP Launches CAPE Process Data cited: CSV upload mechanics, 9,999-entry-per-declaration limit, Chapter 99 line removal mechanics Source: White and Williams IEEPA Tariff Refunds CAPE Process Published: 2026

[REF 8] 19 U.S.C. 1514, Protest provisions Data cited: 180-day protest deadline from liquidation Source: 19 USC 1514