Roles and Responsibilities in the Electoral College Process

*On this page, "State" includes the District of Columbia and "Governor" includes the Mayor of the District of Columbia.

The U.S. Constitution and Federal law place certain Presidential election responsibilities on State executives and the electors for President and Vice President.

Appoint electors

The Constitution and Federal law do not prescribe the method of appointment other than requiring that electors must be appointed on the Tuesday after the first Monday in November (Election Day). In most States, the political parties nominate slates of electors at State conventions or central committee meetings. Then the citizens of each State appoint the electors by popular vote in the state-wide general election. However, State laws on the appointment of electors may vary.

Under the Constitution, State legislatures have broad powers to direct the process for selecting electors, with one exception regarding the qualifications of electors. Article II, section 1, clause 2 provides that “no Senator, Representative, or Person holding an Office of Trust or Profit under the United States” may be appointed as an elector.

Prepare the Certificate of Ascertainment

After the general election, the Governor of each State prepares at least seven** original Certificates of Ascertainment listing the persons appointed as electors. Since Federal law does not govern the general appearance of the Certificate of Ascertainment, the format can vary from State to State. However, Federal law requires that each Certificate of Ascertainment must:

• list the names of the electors chosen by the voters and the number of votes received.
• list the names of all other candidates for elector and the number of votes received.
• be signed by the Governor and carry the seal of the State.

**States have the option of creating nine original Certificates or seven original Certificates and two certified copies. They then send three original Certificates or one Certificate along with the two certified copies.

Distribute the Certificate of Ascertainment

Each State must send at least one Certificate of Ascertainment to the Archivist of the United States at OFR as soon as possible after the general election results are finalized. At the very latest, they must be prepared so that the electors are appointed by the meeting of the electors and sent to the Archivist with the Certificates of Vote.

Each State must retain the other six Certificates for legal sufficiency. Each State must retain the other six originals for the State’s meeting of the electors.

Hold the Meeting of electors

On the first Monday after the second Wednesday in December, the electors meet in their respective States. The State legislature designates where in the State the meeting will take place, usually in the State capital. At this meeting, the electors cast their votes for President and Vice President.

If any electors are unable to carry out their duties on the day of the Electoral College meeting, each State appoints substitute electors following its own laws and procedures. Each State must resolve any controversy or contest concerning the appointment of electors under under its own law at least six days before the meeting of the electors.

There is no Constitutional provision or Federal law requiring electors to vote in accordance with the popular vote in their States. But some States do have specific voting requirements.

Prepare the Certificate of Vote

Federal law does not govern the general appearance of the Certificate of Vote so the format can vary from State to State. The electors must execute six Certificates of Vote. Federal law requires that each Certificate of Vote must:

• contain two distinct lists, one for President and one for Vice President and must:
  • list all persons who received electoral votes for President and the number of electors who voted for each person.
  • list all persons who received votes for Vice President and the number of electors who voted for each person.
  • not contain the names of persons who did not receive electoral votes.
• be signed by all of the electors.
• be attached to an original Certificates of Ascertainment retained by the State.
• must be sealed and certified by the electors, after being paired with the Certificate of Ascertainment, as containing the list of electoral votes of that State for President and Vice President.

Distribute the Paired Certificates of Vote and Certificates of Ascertainment

Each State must send the six pairs of Certificates to designated Federal and State officials as soon as possible after the meeting of the electors because the statutory deadline for receipt the electoral votes is just over a week after the meeting of the electors. This is followed closely by the counting of electoral votes in Congress on January 6.

When the paired Certificates of Vote and Certificates of Ascertainment have been delivered to the designated Federal and State officials, the States' Electoral College duties are complete.

The Archivist of the United States is required by law to perform certain functions relating to the Electoral College (3 U.S.C. sections 6, 11, 12, 13). The Archivist has delegated the authority to carry out the administration of the Electoral College process to the Director of the Federal Register.

Before Election Day

In the months leading up to Election Day of each Presidential election year, the Archivist sends a letter to the Governor of each State and the Mayor of the District of Columbia referencing the States’ responsibilities regarding the Electoral College and directing them to this website. OFR prepares to receive the Electoral College Certificates from the States and contacts Congressional staff to make arrangements for the delivery of the Electoral College Certificates to Congress.

After Election Day

During the week following the general election, OFR contacts each State and the Mayor’s Office in the District of Columbia to make a personal contact with a person responsible for the Electoral College process.

Receipt of Certificates of Ascertainment

Certificates of Ascertainment should begin arriving at NARA and OFR within a few weeks after election day. NARA's mailroom makes a record of the Certificates of Ascertainment it receives and transmits them to the OFR. OFR logs receipt of the Certificates of Ascertainment it receives, whether from NARA's mailroom or directly from the States, and checks them for facial sufficiency. If there are any problems with a Certificate of Ascertainment, OFR tells the contact person in the State about the problem. After the Certificates of Ascertainment have been determined to be facially sufficient OFR posts them on this website.

Receipt of Certificates of Vote

Certificates of Vote begin arriving at NARA and OFR shortly after the Meeting of the Electors. NARA's mailroom makes a record of the Certificates of Vote it receives and transmits them to the OFR. OFR logs receipt of the Certificates of Vote it receives, whether from NARA's mailroom or directly from the States, and checks them for facial legal sufficiency. If there are any problems with a Certificate of Vote, OFR tells the contact person in the State about the problem. After the Certificates of Vote have been determined to be facially sufficient OFR posts them on its website.

Certificates of Vote Subject to the Call of the President of the Senate

OFR holds one of the two original Certificates of Vote subject to the call of the President of the Senate in case one or more of the Certificates of Vote fail to reach the Senate on time. If the Archivist does not receive a Certificate of Vote from a State by a week after the meeting of the electors, OFR calls that State's contact person to make sure the Certificates of Vote were sent and asks the State to trace the package. If OFR does not receive any Certificates of Vote from a State by the deadline for receipt of electoral votes, OFR gets a duplicate original from the Secretary of State of the State or the Federal District judge (3 U.S.C. sections 12 and 13).

Preserving Certificates

After Congress has met in joint session for the official counting of electoral votes, all Certificates of Ascertainment and Certificates of Vote remain available for public inspection at OFR for one year and then are transferred to NARA for permanent retention.

House and Senate staff meet with OFR staff to inspect the Certificates of Vote in late December. If any State’s Certificate fails to reach the President of the Senate, the President of the Senate calls on OFR to deliver duplicate originals in its possession to complete the set held by Congress.

Congress meets in joint session in the House of Representatives on January 6 to count the electoral votes. The Vice President, as President of the Senate, is the presiding officer. Tellers open, present, and record the votes of the States in alphabetical order. The President of the Senate announces the results of the State vote and then calls for any objections. To be recognized, an objection must be submitted in writing and be signed by at least one member of the House and one Senator. If an objection is recognized, the House and Senate withdraw to their respective chambers to consider the merits of any objections, following the process set out in 3 U.S.C. §15. After all the votes are recorded and counted, the President of the Senate declares which persons, if any, have been elected President and Vice President of the United States.