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Caltech Theses: Submission Process

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.

Submission Process

  1. Complete all necessary degree/exam information in REGIS.
    • See Caltech Grad Office Regulations on this guide for more details.
    • Some information is filled out directly on REGIS, while other forms can be downloaded separately from the Grad Office website.
  2. Make sure you have taken care of all copyright considerations related to your thesis. 
    • Publishers' policies vary on how they handle thesis copyright issues. 
    • Contact the copyright owners (usually the publishers) by email.  Save the email responses for future use.
    • You may need to get permission to use even uncopyrighted materials.  Ask us!
    • TIP: Call or email the library if you have any questions!
  3. At least two weeks before your defense, your thesis must be reviewed by a Proofreader in the Grad Office. 
    • Fill out the Proofreader  Agreement and give it to the Grad Office.
    • Deliver an electronic copy (editable PDF preferred.) of your thesis to the Grad Office to or via DropBox.
    • ​​TIP: Give yourself more time (at least 4 weeks) if you are defending within 6 weeks of graduation.
  4. Pick up your proofread thesis and your Proofreader Agreement about 2 days before your defense.
  5. Defend your thesis.  Good luck!
  6. Fill out the Survey of Earned DoctoratesThis is a required form.
  7. Make any necessary changes to your thesis, including those from both your proofreader and your committee. 
  8. If you and your advisor are thinking of restricting access to your thesis, please read the Thesis Dissemination Policy.  Further details and information are available on the same page.
    • Two forms are available if you decide it will be appropriate and necessary:
  9. Upload a final version of your thesis to CaltechTHESIS
    • ​​Log in with your IMSS credentials.
    • Upload both the PDF copy of your thesis as well as the original (source, pre-PDF) files. 
      • TIP: TeX files can be uploaded in a zip file.
      • Source files are always permanently embargoed. They are accessible only to Library staff who may use them to recreate the PDF if it is ever corrupted.
      • Upload any copyright or permissions documents. 
        • Briefly describe the contents of the files in the Description field (Click "Show Options" to see the field).
        • Data sets can be loaded or linked to as supplementary material. 
          • We highly recommend adding your datasets to CaltechDATA and linking them back to your thesis record. 
          • If you decide to add them to CaltechTHESIS, upload them as zipped files if they are extremely large (>100 Mb - use your judgment).
    • Deposit your record for review and approval.
  10. The thesis record and files is reviewed by the Library.  After any necessary corrections have been made, the Grad Office will be notified.
  11. The Grad Office notifies the Library once your thesis is approved.  The Library updates and releases the thesis record.
  12. The Registrar finalizes your REGIS account.  You will then be able to retrieve a Letter of Completion .  Congratulations!