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Caltech Theses: Introduction

Ph.D. theses must be submitted in electronic form as part of the graduation requirements for Caltech. This guide serves as a stepping-off point for this process.

Caltech's Expectations for a Thesis

The degree of Doctor of Philosophy is conferred by the Institute primarily in recognition of breadth of scholarship, depth of research, and the power to investigate problems independently and efficiently, rather than for the completion of definite courses of study through a stated period of residence. The work for the degree must consist of systematic studies of an advanced character, of research and the preparation of a thesis describing these. A thesis is to be a substantial new contribution to the field that would be released into the stream of scholarship. In addition, the candidate must have clear self-expression in both oral and written English.

Caltech theses have a common format and there are regulations regarding the contents, submission, proofreading, and final disposition.  Please use the Grad Office's "Regulations for the Format and Presentation of a Graduate Thesis" as your primary guideline in formatting your thesis. 

Students are responsible for familiarizing themselves with the regulations, following the correct format, meeting deadlines, working with their advisor and dissertation committee to schedule the examination, providing timely copies of the thesis, and making requested revisions. 

Annual Deadlines

Final 2017 deadlines:

Please call the Graduate Office if you have any questions about these dates, or if you know you will not be able to meet theses deadlines!  It is easier for them to remove you from the graduation list than to add you!

IMPORTANT: The final, corrected thesis must be uploaded to the CaltechTHESIS by the fifth week of the succeeding term if the candidate defended his or her thesis during the previous summer or the first and second terms; or two weeks before the degree is to be conferred if the candidate defended during the month of May.

  • May 29, 2017: Last day to defend thesis. Defenses should generally be scheduled at least two weeks before the submission deadline. Contact Grad Office if cutting it close.
  • June 5, 2017: Last day to submit thesis to CaltechTHESIS
  • June 14, 2017: Last faculty meeting of the academic year ; includes final faculty approval for graduation.
  • June 16, 2017: Graduation

If you anticipate cutting it close, we highly recommend that you talk to the Grad Office.  They may be able to make special accommodations, especially if your defense date is what is causing the delay.

Required Documents

Official certification of degree completion will not be provided until all the steps have been completed.  Please contact the Graduate Office for the latest requirements.

  • Forms Available in REGIS:
    • Ph.D. Candidacy: Ph.D. Candidacy must be completed before beginning fourth year of residence.  Students should log on to the Graduate Degree Progress application within REGIS to schedule candidacy and obtain the necessary approvals.
    • Final Ph.D. Defense: Final exam committee - Students should log on to the Graduate Degree Progress application within REGIS to schedule the final exam and select an approved committee for the defense.  An approved committee consists of four total voting members, three of whom must be current Caltech faculty.  The chair of the committee must hold the rank of Professor, not including emeriti.
    • Masters Application: Master's applications must be submitted no later than Add Day of spring term for a June graduation.  Students should log on to the Graduate Degree Progress application within REGIS and click on the M.S. Candidacy tab and select the option and the year in which the M.S. is to be awarded.  Then, follow additional instructions for developing a plan of study and fulfilling Institute requirements.
  • Forms Available Outside of REGIS:
    • Proofreader Agreement:  You must turn this in with at least a draft copy (electronic or paper - call the Grad Office first) of your thesis to the Grad Office before your defense and at least 2 weeks ahead. You can make the recommended changes after you get it back either before or after your defense – discuss the best option for you with your advisor.
      •   You may send PDFs of both your thesis and the Proofreader's Agreement to the Grad Office either via email or via the Caltech Dropbox
    • Survey of Earned Doctorates (PhD only):   After your successful defense, fill out the electronic form and send an email notification of completion to Natalie Gilmore in the Grad Office.
    • CaltechTHESIS submission:  Deposit the final version of your thesis after your defense, and once all final edits have been made.

Documentation Timelines

Please note: If you are defending in April or May, expect that the Proofreader will need extra time, so adjust your timeline accordingly.

  • 2-4 weeks before the week of your defense:
    • Fill out Petition for Examination form in REGIS  to the Graduate Office:
    • Turn in your thesis for proofreading to the Grad Office.  An electronic copy is preferred.
      • Include your Proofreader Agreement form
      • The Monday 2 weeks before your defense date is the minimum recommended
      • Expect to turn it it in much sooner during the busy season (March-June, but especially May) if you want it back in time for your defense
  • 1-2 days before your defense:
    • Pick up from the Graduate Office:
      • Proof-read copy of thesis
      • Petition for Examination form
  • On the day of your defense:
    • Petition Examination form must be signed by each member of your committee
    • The result of your exam must be filled out and signed
    • If you have a subject minor:
      • A faculty representative of the minor option must sign Section VII on p. 4
  • After your defense:
    • Submit Petition for Examination form and final copy of your thesis to your Division Chair for approval
    • Return completed and signed Petition for Examination form to Graduate Office
    • Email a copy of the certificate of completion of the Survey of Earned Doctorates to the Graduate Office
  • After your final edits:

Librarian

Kathy Johnson
Contact:
Sherman Fairchild Library 1-43
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(626) 395-6065