How to Monitor CAPE Refunds in ACE Reports
A practical guide to monitoring CAPE IEEPA refund claims with ACE reports ES-022, REV-603, REV-613, and REV-615 after filing.
Quick Answer
After you file a CAPE Declaration, the work shifts from entry identification to refund monitoring. CBP's May 4, 2026 guidance identifies four ACE reports for that job:
ES-022: links CAPE declarations, entries, and refund numbersREV-603: tracks Treasury refund statusREV-613: identifies ACH-rejected refundsREV-615: shows CAPE-specific refund details
CBP also said IEEPA refund ACH transactions can begin as early as May 12, 2026. These reports are for IEEPA CAPE claims, not Section 122 9903.03.* entries.
Informational only - not legal advice.
What changed on May 4
CBP's first CAPE guidance told importers how to file. The May 4 update tells importers how to monitor what happens after filing.
That matters because the refund process now has two separate data tasks:
| Phase | Main question | Primary data source |
|---|---|---|
| Before filing | Which entries are eligible for CAPE? | Entry Summary, Account Revenue, 7501s, broker data |
| After filing | Where is my declaration or refund? | CAPE tab and ACE Reports ES-022, REV-603, REV-613, REV-615 |
Do not wait until money is missing to run the refund reports. If ACH enrollment, Form 4811 routing, or Treasury status is wrong, you want to know before the refund cycle ages.
The four reports
| Report | Use it to answer | What to save |
|---|---|---|
ES-022 CAPE Entry Summary Report | Which CAPE declaration, entry, and refund numbers belong together? | Declaration number, entry number, refund number, principal amount, interest amount |
REV-603 Trade Refund Report | Has Treasury received, issued, diverted, or returned the refund? | Refund secondary status, Treasury status date, diverted or returned flags |
REV-613 ACH Rejected Refunds Report | Was the refund rejected because ACH enrollment is incomplete? | Entry/refund identifiers, rejection reason, account needing correction |
REV-615 CAPE Details Refunds Report | What entry-level refund detail has been sent to Treasury? | Entry summary number, declaration number, refund detail rows |
Recommended monitoring cadence
For a normal CAPE filing, use this schedule:
| Timing | Action |
|---|---|
| Same day as filing | Save the CAPE declaration confirmation and the accepted/rejected entry list. |
| Next business day | Run ES-022 to confirm accepted entries are linked to the declaration. |
| Weekly until liquidation/reliquidation | Run ES-022 and REV-615 to monitor entry-level progress. |
| Weekly once refunds are sent | Run REV-603 to track Treasury status. |
| Immediately if payment is missing | Run REV-613 and check REV-603 for Check/ACH Returned. |
CBP also recommends scheduling recurring reports when possible. For high-volume importers, scheduled reports are usually better than manual one-off exports.
What the refund statuses mean
CBP identifies these REV-603 refund secondary statuses:
| Status | Plain-English meaning | Next action |
|---|---|---|
| Sent to Treasury | CBP approved the refund claim and Treasury received it. | Monitor for issued, diverted, or returned status. |
| Treasury Issued | Treasury issued the refund. | Reconcile the ACH deposit to the refund number and entry list. |
| Funds Diverted | Funds were applied to an existing bill before the refund was issued. | Pull the bill/statement detail and reconcile the offset. |
| Check/ACH Returned | The refund was rejected, commonly because ACH refund enrollment is incomplete. | Fix ACH enrollment or routing, then monitor replacement refund instructions. |
Fields to preserve
For each CAPE refund batch, keep:
- CAPE declaration number
- Entry summary number
- Refund number
- IOR name and importer number
- Filer code
- Principal refund amount
- Interest amount
- Treasury status and status date
- ACH rejection or diversion reason, if any
- Form 4811 notify party name and number, if a designee is involved
This gives your finance, broker, and counsel teams the same reconciliation trail.
Keep Section 122 separate
Do not add Section 122 9903.03.* entries to your CAPE monitoring workflow. CAPE is for IEEPA refunds. The May 7 Section 122 ruling is a separate legal lane and does not create a general CAPE process for Section 122 duties.
Common problems to catch early
ACH enrollment is missing or incomplete
Run REV-613 and check REV-603 for Check/ACH Returned. Then verify ACH refund enrollment in ACE and any Form 4811 designee routing.
Refunds were diverted
REV-603 can show Funds Diverted, which means funds were applied to an existing bill after liquidation and before refund issuance. Reconcile the offset before treating the refund as missing.
Accepted entries do not appear in refund reports
Confirm the entry was accepted in the CAPE declaration, then use ES-022 to link declaration, entry, and refund identifiers. If the entry was rejected at validation, fix the cause and consider resubmission if eligible.
A broker or designee expects the payment
Add CF 4811 Notify Party Name and CF 4811 Notify Party Number to Entry Summary reports when refund routing matters. That helps distinguish refund entitlement from refund receipt.
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Last verified: 2026-05-07
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Upload DocumentsInformational only — not legal advice. RefundArrow is not a law firm, and this resource does not create an attorney‑client relationship with Himmelstein & Adkins, LLC. Tariff/refund outcomes depend on your facts, entry records, and evolving CBP/court guidance; consult qualified customs counsel for advice on your situation.