E l e c t o r a l C o l l e g e

Instructions to State Officials

Responsibilities of the States in the Presidential Election

The National Archives and Records Administration’s Office of the Federal Register prepared these instructions under the 

authority of 3 U.S.C. 6, 11, 12, and 13 to assist the States in performing their duties.

The term “Governor” includes the Mayor of the District of Columbia and the term “State” includes the District of 

Columbia.

1 . A p p o i n t E l e c t o r s

The United States 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 (November 

8, 2016). 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: 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. It is not 

settled as to whether this restriction extends to all Federal officials regardless of their level of authority or 

the capacity in which they serve, but we advise the States that the restriction could disqualify any person 

who holds a Federal government job from serving as an elector. 

2 . P r e p a r e C e r t i f i c a t e s o f A s c e r t a i n m e n t

After the general election, the Governor of each State prepares no less than SEVEN original Certificates of 

Ascertainment along with two certified copies. Alternatively, the Governor may prepare NINE original

Certificates of Ascertainment. 

Federal law does not govern the general appearance of the Certificate of Ascertainment. The format 

varies, conforming to State law or custom. However, Federal law does require that the original 

Certificates of Ascertainment be prepared and authenticated in the following manner:

E a c h o f t h e S E V E N o r N I N E o r i g i n a l C e r t i f i c a t e s M U S T

 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 (auto-pen signatures or stamps are not permitted).

 Carry the State seal. 
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3 . D i s t r i b u t e C e r t i f i c a t e s o f A s c e r t a i n m e n t

One of the seven original Certificates of 

Ascertainment along with two certified copies (or

three originals, if nine were prepared) must be sent 

by registered mail or commercial carrier: Via 

USPS:

Via Commercial Carrier:

David S. Ferriero

Archivist of the United States

National Archives and Records Administration

c/o Office of the Federal Register (F)

8601 Adelphi Road

College Park, MD 20740-6001

Please contact OFR Legal for the best 

delivery address: 202-741-6030 or 

Electoral.College@nara.gov

These should be sent to the Archivist as soon as possible after the November 8 election results are 

finalized.

Upon receipt, the Legal Staff of the Office of the Federal Register will examine the Certificates of 

Ascertainment for legal sufficiency. If the certificates meet all requirements as required by law, the two 

certified copies (or two additional originals, if nine were prepared and three sent) will be delivered to the 

U.S. House and Senate. The Office of the Federal Register will retain one original Certificate of 

Ascertainment from each State.

If the certificates are not legally sufficient, Legal Staff from the Office of the Federal Register will notify 

the appropriate State official(s) and work together to resolve outstanding problems within the prescribed 

deadline.

The State must retain the other six original Certificates of Ascertainment for the meeting of the State’s 

electors on December 19, 2016. Those six originals will be paired and distributed with the Certificates of 

Vote executed at the Electoral College meeting. The paired Certificates must be submitted to the 

appropriate officials (designated in section 6 of this document) no later than December 20, 2016.

4 . H o l d t h e M e e t i n g o f E l e c t o r s

On the first Monday after the second Wednesday in December (December 19, 2016), the electors meet in 

their respective States. Federal law does not permit the States to choose an alternate date for the 

meeting of electors—it must be held on December 19, 2016. The State legislature may designate 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. 

There is no Constitutional provision or Federal law requiring electors to vote in accordance with the 

popular vote in their States. However, some States have such requirements. 

Any controversy or contest concerning the appointment of electors must be decided under State law at 

least six days before the meeting of the electors. (See Title 3, Section 6 of the U.S. Code.)

If a designated elector is unable to carry out the required duties on the day of the Electoral College 

meeting, the laws of each State govern the method for filling vacancies. 

5 . P r e p a r e t h e C e r t i f i c a t e s o f V o t e

The electors must execute SIX original Certificates of Vote. Federal law does not govern the general 

appearance of the Certificate of Vote. The format varies, conforming to State law or custom. However, 
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Federal law requires that the Certificates of Vote be prepared and authenticated in the following manner: 

E a c h o f t h e S I X o r i g i n a l C e r t i f i c a t e s M U S T

 Contain two distinct lists, one for President and one for Vice President:

 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.

 Do not include the names of persons who did not receive electoral votes.

 Be signed by all of the electors.

T H E N , p a i r t h e C e r t i f i c a t e s o f A s c e r t a i n m e n t a n d V o t e

 The SIX original Certificates of Ascertainment provided to the electors by the Governor must be 

paired with the SIX original Certificates of Vote.

E a c h o f t h e S I X p a i r s o f C e r t i f i c a t e s M U S T

 Be sealed and certified by the electors as containing the list of electoral votes of that State for 

President and Vice President.

6 . D i s t r i b u t e C e r t i f i c a t e s o f V o t e

The SIX pairs of Certificates must be sent to the designated Federal and State officials as follows:

One pair is sent by registered mail to: 

The Honorable Joseph R. Biden, Jr

President of the United States Senate 

United States Senate

Washington, DC 20510 

Two pairs are sent by registered mail or commercial carrier to: 

Via USPS: Via Commercial Carrier:

David S. Ferriero

Archivist of the United States

National Archives and Records Administration

c/o Office of the Federal Register (NF)

8601 Adelphi Road

College Park, MD 20740-6001

Please contact OFR Legal for the best 

delivery address: 202-741-6030 or 

Electoral.College@nara.gov

 One is held subject to the order of the President of the United States Senate in case the electoral 

votes fail to reach the Senate. 
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 The other is held by the Office of the Federal Register for public inspection for one year. 

Two pairs are sent by registered mail to:

The Secretary of State of each State.

 One is held subject to the order of the President of the United States Senate or the Archivist of 

the United States in case the electoral votes fail to reach the Senate or the Archivist. 

 The other is to be preserved by the Secretary of State for public inspection for one year. 

One pair is sent by registered mail to: 

The Chief Judge of the Federal District Court located where the electors meet.

 It is held subject to the order of the President of the United States Senate or the Archivist of the 

United States in case the electoral votes fail to reach the Senate or the Archivist.

The statutory deadline for the designated Federal and State officials to receive the electoral votes is 

December 28, 2016. Because of the very short time between the meetings of the electors in the States 

on December 19 and the December 28 statutory deadline, followed closely by the counting of 

electoral votes in Congress on January 6, 2017, it is imperative that the Certificates be sent as soon as 

possible. 

We strongly recommend that the sealed pairs of Certificates be taken to the Post Office or other 

commercial service on December 19, or no later than the morning of December 20, to minimize 

delays that could occur during the holiday mail season. Some States may find it useful to alert their 

local Postmaster to the extraordinarily important nature of the mailing. 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. 

Before the election this year, the Legal Staff of the Office of the Federal Register will telephone 

Secretaries of State and other election officials to establish contact with the States and assure the 

smooth operation of the Electoral College process. 

C o n t a c t s

For more information on the Electoral College and the election responsibilities of the States and the 

Archivist of the United States, contact the Office of the Federal Register: 

Telephone: 202-741-6030 

E-mail: Electoral.College@nara.gov 

Your Electoral College contacts at the Office of the Federal Register are: 

Amy Bunk, Director of Legal Affairs and Policy

Miriam Vincent, Staff Attorney