What To Do If Your Entries Are Outside CAPE Phase 1

Strategy

If your entries fall outside CAPE Phase 1, this guide explains the main reasons why, what that means, and what importers should review before relying on protests or litigation.

One of the biggest CAPE misunderstandings is the idea that every IEEPA refund claim can simply be uploaded once the system is live.

That is not how Phase 1 works.

Some entries are in the current CAPE lane. Others are not. If your entries are outside that lane, the right move is not guesswork. It is classification.

Step 1: Figure Out Why the Entry Is Outside Phase 1

An entry can fall outside CAPE Phase 1 for different reasons, and each reason leads to a different next step.

The most common reasons are:

  • the entry liquidated more than about 80 days ago
  • liquidation is already final
  • the entry is tied to an open protest
  • the entry is tied to drawback
  • the entry is flagged for reconciliation
  • the entry involves pending-liquidation AD/CVD
  • the entry is not properly reflected in ACE for CAPE processing

Do not treat these as one bucket. They are different problems.

Some entries are outside CAPE because of process.

Others are outside CAPE because of legal posture.

Administrative problem examples

  • missing or inconsistent ACE data
  • the wrong filer is trying to submit
  • the entry list was not cleaned before upload
  • the protest window is already running or closed
  • liquidation is final
  • the entry is in a category CBP excluded from Phase 1

If you mix those two categories together, you can lose time on the wrong fix.

Step 3: If the Entry Is More Than 80 Days Past Liquidation, Check the Protest Window Immediately

For many entries, the first question is not whether CAPE can help.

It is whether the importer is still inside the 180-day protest window.

If the answer is yes, timing matters. If the answer is no and liquidation is final, the entry may need a different path altogether, including possible Court of International Trade review.

Step 4: If There Is an Open Protest, Do Not Assume CAPE and Protest Can Run in Parallel

CBP’s public guidance makes clear that open protests can block CAPE processing for the same entry.

That does not mean protests are unnecessary. It means the importer needs a sequencing decision.

In some cases, if the protest was filed solely for IEEPA refund purposes and the entry is still inside the CAPE window, withdrawal and CAPE filing may be considered. In other cases, keeping the protest path alive may matter more.

Step 5: If the Entry Was Excluded for Category Reasons, Stop Treating CAPE as the Primary Answer

Some categories were intentionally left out of Phase 1.

That includes entries linked to:

  • drawback
  • reconciliation
  • certain AD/CVD situations
  • final liquidation

When that happens, the key question is no longer “How do I get this into CAPE?”

The better question is:

“What is the correct recovery strategy for this entry now?”

Step 6: Preserve the Facts Before You Choose the Path

Before moving to protest or litigation analysis, gather the file cleanly:

  1. entry number
  2. liquidation date and status
  3. filer identity
  4. IEEPA Chapter 99 line information
  5. protest status, if any
  6. drawback or reconciliation status, if any
  7. whether AD/CVD liquidation instructions are involved

Without that base record, the legal strategy discussion will be slower and less reliable.

Step 7: Do Not Assume a Future CAPE Phase Will Solve Everything For You

CBP has used a phased approach, but importers should not treat future expansion as a substitute for preserving rights today.

If your entries are outside the current lane, act based on the current facts and current deadlines, not on hope that a later phase will retroactively solve every problem.

What CBP Has Said About Phase 2 and Beyond

CBP’s IEEPA Duty Refunds FAQ E1 (posted in April 2026) lists the categories CBP is evaluating for inclusion in subsequent CAPE phases. CBP has not committed to dates, but knowing what is on the evaluation list helps you sort which non-Phase-1 entries are at least theoretically queued for a future administrative lane:

  1. Reconciliation entries and Entry Type 09
  2. Drawback entries
  3. Entries with an open protest
  4. Non-ACE entries and entries without an ACE liquidation status
  5. AD/CVD entries on which the Department of Commerce has issued liquidation instructions and that are pending liquidation under 19 USC § 1504(d)
  6. Finally liquidated entries

Source: CBP IEEPA Duty Refunds FAQ E1, accessed May 4, 2026.

Two things this list does not mean:

  • It is not a commitment. CBP says it is “evaluating” these categories. The evaluation may take months or longer, and not every category may end up in a future phase.
  • It is not a reason to wait. Your protest deadlines (180 days from liquidation under 19 USC § 1514) and your CIT options run on their own clock and do not pause for CBP’s evaluation.

If your entries fall into one of the six evaluation categories, the right move is usually to preserve rights now (protest, CIT analysis, file integrity), then reassess whether a future CAPE phase actually opens up your specific category.

Practical Takeaway

If your entries are outside CAPE Phase 1, the next move is usually one of these:

  1. clean up an administrative blocker
  2. decide how CAPE interacts with a protest
  3. evaluate whether a protest or CIT path matters more than waiting for CAPE expansion

That is exactly where a case-specific review becomes more valuable than generic guidance.

Read our full guide, start with the eligibility checker, or request a free assessment if your entries fall outside the standard CAPE lane.

Sources

Source: CBP CAPE Phase 1 Trade Information Notice, updated April 8, 2026.

Source: CBP Webinar, IEEPA Duty Refunds and CAPE, April 2026.

Source: CBP IEEPA FAQs and related April 2026 deployment guidance.

Source: trade law commentary on protests, final liquidation, and CAPE exclusions published in April 2026.

We are not a law firm, customs broker, or government agency. This article is educational only.

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