How to Prepare Your CSV File for CAPE Filing

Filing a CAPE declaration requires uploading a properly formatted CSV file containing your qualifying entry numbers.

CBP’s April 13 guidance narrowed what that CSV should contain. Earlier summaries often implied you needed a full spreadsheet with entry metadata. For CAPE Phase 1, that is not the right starting point.

What CBP Requires Now

Each CAPE declaration accepts up to 9,999 entry numbers in a single CSV upload.

The current rule from CBP is simple:

• Use the template downloaded from the CAPE tab in ACE
• Include entry numbers only
• Keep one qualifying entry number per row
• Save the file as standard CSV (comma delimited)

File Format Rules

1. Use comma delimiters — not tabs, semicolons, or pipes
2. Do not add extra columns unless the official CAPE template explicitly includes them
3. No trailing commas or spreadsheet artifacts
4. No blank rows at the end of the file
5. Keep the row count at 9,999 or below
6. Do not mix multiple importers or unrelated filer ownership into one declaration

Step 1: Export Your Entry Data from ACE

Log into the ACE Portal and identify the entries you think may qualify.

Start with:

1. Entries from the IEEPA tariff period
2. Entries that show at least one IEEPA Chapter 99 number
3. Entries that are either still unliquidated or recently liquidated
4. Entries tied to the importer or broker account that will actually file the declaration

If your broker filed on your behalf, ask for the entry list from that broker. CBP’s current rule is that the submitting broker must be the broker that filed the entry summary.

Step 2: Verify Entry Numbers

Every entry number must be exactly 11 digits in the XXX-XXXXXXX-X format (3 digits, hyphen, 7 digits, hyphen, 1 check digit).

Common problems to check for:

• Leading zeros stripped — Spreadsheet software may remove leading zeros. Format the column as text before editing.
• Check digit errors — If the check digit is wrong, ACE will reject the entry.
• Duplicate entries — CAPE checks for duplicates both within a declaration and across prior declarations.

Quick Validation Formula (Excel)

To verify the 11-digit format in Excel, use this formula in a helper column:

=AND(LEN(A2)=13, MID(A2,4,1)="-", MID(A2,12,1)="-")

This checks that the entry number is 13 characters long, including the two hyphens.

Step 3: Filter Out Entries That CAPE Will Reject

Before uploading, remove entries that fail the current Phase 1 rules:

Exclusion	How to Identify
No IEEPA line	Entry summary does not contain an IEEPA Chapter 99 number
Drawback claim	Entry is associated with drawback or is entry type 47
Open protest	Entry has an open or suspended protest
Reconciliation entries	Flagged as reconciliation in your ACE data
Duty deferral	Entry type 08 USMCA duty deferral
TIB	Temporary importation under bond
Too old	More than approximately 80 days past liquidation
Pending AD/CVD liquidation	Entry is in pending liquidation status with AD/CVD exposure

Step 4: Validate Liquidation Status

Phase 1 is built around two basic timing buckets:

1. Unliquidated entries — Set to liquidate 45 days from declaration acceptance
2. Recently liquidated entries — Liquidated within approximately 80 days of your filing date

Check each entry’s liquidation status in ACE. Remove entries that were liquidated more than 80 days before your planned filing date.

Also note the special cases:

• Warehouse entries may still move later, but not on the standard 45-day cycle
• Extended, suspended, or under-review entries keep that status after CAPE acceptance

Step 5: Final Checklist Before Upload

Before submitting your CSV to CAPE:

• All entry numbers are in valid 11-digit format
• No duplicate entry numbers
• File contains entry numbers only
• No CAPE blockers such as drawback, protest, reconciliation, type 08, TIB, or too-old liquidations
• Liquidation status verified
• Submitting party is the importer or the broker that filed the entries
• Refund recipient has ACH banking details set up in ACE
• CSV is comma-delimited
• Row count is 9,999 or less
• No blank rows or trailing commas

Common Errors and How to Fix Them

”Duplicate entry detected”

Remove the duplicate and recheck your declaration history so the same entry is not sitting on a prior CAPE claim.

”Invalid entry number format”

Re-format the entry number column as text and verify the XXX-XXXXXXX-X pattern.

”Entry not found in ACE”

The entry number may be wrong, or the entry may not belong to the importer or broker account that is attempting to file it.

”Entry rejected by CAPE validation”

The entry likely has a validation issue such as an open protest, drawback activity, reconciliation, or liquidation timing problem. Fix the underlying issue if possible, then resubmit that entry on a separate CAPE declaration.

Need Help?

Preparing a clean CAPE file is more about validation discipline than spreadsheet volume. If you want help screening entries before filing, get a free assessment.