Caltech Theses: Introduction

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. 

Final 2020 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!  They may also be able to make special accommodations, especially if your defense date is what is causing the delay.

IMPORTANT: The final corrected version of a thesis must be uploaded to 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.

• SPECIAL NOTICE for October 2020 conferral of graduate degrees: This year, in recognition of the impact of the coronavirus pandemic on graduate students' ability to complete their degree requirements by the June 8, 2020 deadline, the Institute has agreed to offer a second opportunity for graduate degree approval by the Board of Trustees. Those graduate students who will not be able to have their degrees awarded in June, but who complete their degree requirements by September 30, 2020, will have the opportunity to have their degree officially approved through a vote by the Board of Trustees at their annual October meeting. This will be a meeting for the Board of Trustees only and is not an in-person celebration event for graduating students. Diplomas will be mailed to all graduate students whose degrees have been approved at the October Board of Trustees meeting.
• September 29, 2020: Final deadline to submit thesis into CaltechTHESIS for October conferral of graduate degrees.
• September 30, 2020: Degree requirements must be competed. 

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.

• Grad Office information on degree tracking and degree completion:
  • All Grad Office forms: https://www.gradoffice.caltech.edu/current/forms
  • Dissertation/thesis information: https://www.gradoffice.caltech.edu/current/thesis
• 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 at least four total members.  At least three of the four or more committee members must be Caltech professorial faculty members 
    • The thesis advisor must be a Caltech professorial faculty member.
    • The chair of the committee must be a Caltech professorial faculty member, and cannot be the advisor.
  • 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 version (editable PDF copy) 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. A certificate of completion will be emailed directly 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. Upload both a PDF and the original format (Word, LaTeX, etc.) of your thesis - the original format one can be a zipped file if necessary.
• Forms Required of ALL students exiting campus:
  • Athenaeum Termination
  • Bursar Exit Interview—You must make arrangements to clear your student account before you leave Caltech.  The formal diploma may be held if accounts have not been cleared or a payment schedule agreed upon. 
  • Forwarding Information—Please supply a forwarding address via access.caltech.

• It is the student’s responsibility to ensure that all required information has been entered into REGIS and that committee members are sufficiently reminded to indicate the result of the defense.
• Once your thesis submission to CaltechTHESIS has been approved by the Grad Office, both you and the registrar's office will receive an automated email from CaltechTHESIS indicating your thesis has been approved.
• Once the registrar has noted the final thesis approval in your REGIS record, you should be able to access and download, within REGIS, a PDF copy of a letter of proof of degree completion.  This letter can be sent to future employers.