Catalog Caltech

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S e c t i o n F o u r

Informationfor GraduateStudents

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Graduate Information


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The Institute offers graduate work leading to the degrees of Masterof Science and Doctor of Philosophy. In addition, it offers the fol-lowing intermediate degrees: Aerospace Engineer, and ElectricalEngineer.

The academic work of the Institute is organized into six divi-

sions: Biology; Chemistry and Chemical Engineering; Engineeringand Applied Science; Geological and Planetary Sciences; theHumanities and Social Sciences; and Physics, Mathematics andAstronomy.

Graduate work at the Institute is further organized into gradu-ate options, which are supervised by those professors whose inter-ests and research are closely related to the area of the option, withinthe administrative jurisdiction of one or more of the divisions. Thegraduate student working for an advanced degree in one of thegraduate options is associated with an informal group of those

professors who govern the option, other faculty including researchassociates and fellows, and other graduate students working forsimilar degrees.

A faculty member serves as the representative for an option.The option representative provides consultation on academicprograms, degree requirements, financial aid, etc., and providesgeneral supervision to graduate students in the option. TheCommittee on Graduate Studies, which includes the option repre-sentatives, elected members of the faculty at large, and graduatestudents appointed by the Graduate Student Council, exercisessupervision over the scholastic requirements established by the fac-ulty for all advanced degrees, provides policy guidance to the deanof graduate studies, and certifies all candidates for graduate degreesto the faculty for their approval. The option representatives for201213 are as follows:

Aerospace Prof. B. McKeonApplied and Computational

Mathematics Prof. H. OwhadiApplied Mechanics Profs. N. Lapusta and J. Hall

Applied Physics Prof. S. TroianAstrophysics Prof. C. HirataBehavioral and Social Neuroscience Prof. F. EcheniqueBiochemistry and Molecular

Biophysics Prof. D. ReesBioengineering Prof. N. PierceBiology Prof. B. Hay Chemical Engineering Prof. K. GiapisChemistry Prof. M. OkumuraCivil Engineering Prof. J. Hall

Computation and Neural Systems Prof. S. ShimojoComputer Science Prof. C. UmansControl and Dynamical Systems Prof. R. MurrayElectrical Engineering Prof. A. Hajimiri


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Environmental Science andEngineering Prof. J. Leadbetter

Geological and Planetary Sciences Prof. R. ClaytonMaterials Science Prof. S. HaileMathematics Prof. A. Kechris

Mechanical Engineering Prof. N. LapustaPhysics Prof. F. PorterSocial Science Prof. F. Echenique

GRADUATE POLICIES AND PROCEDURES

Admission to Graduate Standing

Application

An application for admission can be completed electronically athttp://www.gradoffice.caltech.edu. Admission will be granted onlyto a limited number of students of superior ability, and applicationshould be made by the posted deadlines. Completed applicationsare due in the Graduate Office between December 15 and January15. Please refer to http://www.gradoffice.caltech.edu for specificdeadlines. Some options will review an application received afterthe deadline, but that applicant may be at a disadvantage in theallocation of financial assistance or in the priority for admission. Ingeneral, admission to graduate standing is effective for enrollment

only at the beginning of the next academic year. The CaliforniaInstitute of Technology encourages applications from members ofgroups underrepresented in science and engineering, includingwomen. Applicants will automatically be considered for financialaid; no additional application is required.

To be admitted to graduate standing, an applicant must in gener-al have received a bachelors degree representing the completion ofan undergraduate course in science or engineering equivalent to oneof the options offered by the Institute. He or she must, moreover,have attained such a scholastic record and present such recommen-dations as to indicate fitness to pursue, with distinction, advancedstudy and research. Admission sometimes may have to be refusedsolely on the basis of limited facilities in the option concerned.

Required TestsThe verbal, quantitative, and writing components of the GraduateRecord Examination are required by all graduate options, and sub-ject scores are required by some options as part of the applicationfor graduate admission.

International StudentsIn order to be admitted for graduate study, students from non-English-speaking countries are expected to read, write, and speakEnglish and comprehend the spoken language. Although not

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requiredfor admission, it is important to demonstrate a strongcapability in English prior to admission to Caltech, as it is one ofthe criteria for admission and financial aid. In addition, to be acandidate for an advanced degree, the student must have acquiredthe power of clear and forceful self-expression in both oral and

written English.Applicants whose first or native language is not English are

required to take a test of English proficiency as part of the applica-tion procedure. These tests are given at centers throughout theworld, on several dates each year. Caltech recognizes scores fromthe Educational Testing Service (TOEFL), Pearson Test of EnglishAcademic (PTE Academic), and from the Cambridge Examinationsand the International English Language Testing System (IELTS).Applicants should arrange for the results of these tests to be sent tothe Office of the Dean of Graduate Studies (Graduate Office) prior

to the application deadline (institutional code 4034).The testing schedules for and information on the TOEFL may

be obtained by writing to TOEFL, Educational Testing Service,Princeton, NJ 08540. They are also available online athttp://www.toefl.org.

The testing schedules for and information on the IELTS exammay be obtained by writing to The British Council, BridgewaterHouse, 58 Whitworth Street, Manchester M1 6BB, UnitedKingdom. They are also available online at http://www.ielts.org.

It is strongly recommended that students who do not achieve ahigh score on these tests, or who have little opportunity to com-municate in English, make arrangements for intensive work duringthe summer preceding their registration. All international studentsare tested upon arrival at Caltech and, if found to be seriously defi-cient in their ability to communicate in English, must take specialcourses in English as a Second Language (ESL).

Visiting Student Appointments

Visiting student forms may be obtained from the Graduate Office

and must, before submission to the dean of graduate studies, includeappropriate documentation and carry the recommendation of theoption representative and the Caltech faculty host. Visiting studentsare categorized into two main classifications.

Special StudentsStudents who hold a bachelors degree or the equivalent may, inexceptional cases, be admitted as special graduate students to carryout full-time studies at the Institute. This status is restricted to stu-dents who are registered in, or are on sabbatical from, an advanced

degree program at another institution and who need to make use ofresources available at Caltech. Admission requires sponsorship by aCaltech faculty member, and application should be made directly tothe dean of graduate studies, following the visiting student instruc-

Graduate Policies and Procedures


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tions that may be obtained from the Graduate Office website(http://www.gradoffice.caltech.edu/admissions). Special students willnot be considered to be working toward a Caltech degree, andcourses taken under this program cannot be used to fulfill therequirements for a Caltech degree. Registration as a special student

does not count toward the minimum residency requirement for anadvanced degree.

Special students must be registered for a minimum of 36 unitseach term and may enroll in research and/or courses, which maybe transferred to their home institution. Special students are eligi-ble for Caltech benefits as defined by their enrollment status, andthose students who receive a salary will be billed for tuition andtuition remission will be deducted from the supporting grant.Special students who do not receive a Caltech salary will be billedthe minimum tuition rate. (For current rates, see the expense sum-

mary on page 283.)Special Student appointments are allowed for one year, renew-

able each year up to a maximum of three years.

Visiting Student ResearchersIn exceptional cases, students from other universities may visitCaltech to carry out research under the direction of a Caltech facultymember. This status is ordinarily restricted to those students who willnot be enrolled at Caltech and are registered in, or are on sabbaticalfrom, an advanced degree program at another institution and who needto make use of resources available at Caltech. Admission requires spon-sorship by a Caltech faculty member, and application should be madedirectly to the dean of graduate studies, following the visiting studentinstructions that may be obtained from the Graduate Office website(http://www.gradoffice.caltech.edu/admissions). Visiting studentresearchers will not receive academic credit from Caltech, are noteligible to receive a salary through the Institute payroll, and arenot eligible for Caltech benefits. Visiting student researchers arerequired to provide proof of insurance for the duration of the visit,

and they may be reimbursed for research-related expenses, but it isthe Caltech faculty members responsibility to ensure that the sup-porting grant can be used for such purposes and that there are norestrictions on spending. Visiting student researchers are requiredto check in with the Registrars Office upon arrival to obtain aCaltech identification card. (Students receiving a salary and requir-ing academic credit should be appointed as special students; see thespecial students section on page 265.)

This status is limited to short-term visits of one year or less,with no extensions.

Exchange ProgramsSome academic options have formal exchange programs that theyhave arranged with other institutions. Exchange students musthave a visiting student appointment, and the type of appointment



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will depend on the agreement negotiated for the particularexchange program. These programs are administered by theoption, and application should be made directly to the dean ofgraduate studies by completing a special form provided for thispurpose that may be obtained from the Graduate Office website

(http://www.gradoffice.caltech.edu/admissions).

Graduate Residence

One term of residence shall consist of one terms work of not fewerthan 36 units of advanced work in which a passing grade is record-ed. Advanced work is defined as study or research in courses whosedesignated course number is 100 or above. If fewer than 36 unitsare successfully carried, the residence will be regarded as short bythe same ratio, but the completion of a greater number of units in

any one term will not be regarded as increasing the residence. Ingeneral, the residency requirements are as follows: for Master ofScience, a minimum of three terms (one academic year) of gradu-ate work; for Aerospace Engineer, Civil Engineer, ElectricalEngineer, and Mechanical Engineer, a minimum of six terms (twoacademic years) of graduate work; and for Doctor of Philosophy, aminimum of nine terms (three academic years) of graduate work.

Registration

Graduate students are required to register for each term of resi-dence, whether they are attending a regular course of study, carry-ing research, doing independent reading, writing a thesis, or utiliz-ing any other academic service or campus facility.

A graduate student must be registered for 36 or more units tobe classified as a full-time student, but course loads greater than 45units are more common. A graduate student who registers for lessthan 36 units, or who undertakes activities related to the Instituteaggregating more than 62 hours per week (in class, research, andteaching assistantship units), must receive approval from the dean

of graduate studies. Petition forms for this purpose may beobtained from the Graduate Offices website and must carry therecommendation of the option representative of the studentsmajor option before submission to the dean of graduate studies.

Graduate students register during a two-week period each quar-ter. A late registration fee of $50 is assessed for failure to registeron time. Graduate students with a bursars bill balance of $1,500 ormore will have a hold placed on their registration for the subse-quent term the day before online registration opens. The hold willbe released once students have paid their bill or worked out a satis-

factory payment plan with the Bursars Office.Before registering, students should consult with members of theoption in which they are taking their major work to determine thestudies that they can pursue to the best advantage. An adviser is



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assigned to each entering graduate student by the option represen-tative. In most options, a new adviser is assigned when the studentbegins research. Only members of the professorial faculty mayserve as advisers. With the approval of the dean of graduate stud-ies, any graduate student whose work is not satisfactory may be

refused registration at the beginning of any term by the division inwhich the student is doing his or her major work.

In registering for research, students should indicate the name ofthe instructor in charge, and should consult with him or her todetermine the number of units to which the proposed work corre-sponds. At the end of the term, the instructor in charge maydecrease the number of units for which credit is given if he or shefeels that the progress of the research does not justify the full num-ber originally registered for.

Students will not receive credit for courses unless they are

properly registered. The students themselves are charged with theresponsibility of making certain that all grades to which they areentitled have been recorded.

All changes in registration must be reported, on drop or addcards, to the Registrars Office by the student. Such changes aregoverned by the last dates for adding or dropping courses as shownon the academic calendar on pages 4 and 5. A student may notwithdraw from or add a course after the last date for dropping oradding courses without his or her options consent, writtenapproval from the instructor of the relevant course, and theapproval of the dean of graduate studies.

If the withdrawal occurs after Add Day of any term, a W (stand-ing for withdrawn) will be recorded on the students transcript forall courses in which the student is enrolled. A grade of W is notincluded in the computation of the students grade-point average.

Academic Year and Summer RegistrationMost courses are taught during the three 12-week quarters thatmake up the academic year. However, doctoral-level students are

required to continue their research throughout the summer quar-ter. They are entitled to at least two weeks annual vacation (inaddition to Institute holidays), but they should arrange their vaca-tion schedules with their research advisers early in each academicyear. Any questions should be referred to the dean of graduatestudies.

All students in residence must be registered. There is no tuitioncharge for summer research units. To maintain full-time studentstatus, 36 units must be taken in the summer quarter.

SabbaticalGraduate students are required to maintain their admission statusuntil all requirements for a degree are fulfilled, whether by conti-nuity of registration or on the basis of an approved sabbatical. A


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sabbatical for medical or other reasons may be approved for up toone year at a time. An approved sabbatical indicates that the stu-dent can return to the option at the end of the sabbatical. A sab-batical for medical reasons requires a petition to the dean of gradu-ate studies, supported by a physician, prior to reinstatement.

In general, international students cannot take a sabbatical with-out jeopardizing their visa status. Students who hold nonimmigrantvisas must meet with an adviser in the International StudentPrograms Office to determine the impact that a sabbatical willhave on their immigration status.

Detached duty status continues registration for a student doingresearch at another location, such as a national facility, for anextended period. Reduced duty status continues registration for astudent who cannot carry a full load due to medical disability,including pregnancy.

Graduate students who become pregnant during their studiesare provided a minimum of six weeks of paid leave with full bene-fits and another six weeks of family bonding leave without pay butmaintaining full benefits. Family bonding leave without pay isavailable to the partner, if the partner is a graduate student atCaltech. The paid and unpaid leaves are intended to cover normalpregnancy and childbirth. If a longer leave is required due to med-ical complications, a six-month extension of leave beyond the 12weeks may be taken as a medical leave with approval of the dean ofgraduate studies.

Petition forms for an approved sabbatical, or detached orreduced duty status, may be obtained from the Graduate Officeswebsite and must, before submission to the dean of graduate stud-ies, carry the recommendations of the students option representa-tive and, where appropriate, the thesis adviser. In case of a lapse inadmission status, readmission must be sought before academicwork may be resumed or requirements for the degree completed.Registration is required for the quarter in which the thesis defenseis undertaken, with the exception of the first week of each quarter,

but is not normally allowed beyond the last date of the quarter.Approval of the dean of graduate studies is required for any stu-dent seeking to enroll for subsequent terms following the thesisdefense.

The dean of graduate studies may place a graduate student oninvoluntary sabbatical if persuaded by the evidence that such anaction is necessary for the protection of the Institute communityor for the personal safety or welfare of the student involved. Sucha decision by the dean is subject to automatic review within sevendays by the vice president for student affairs.

Guidelines for Graduate Student Advising

The relationship between a faculty adviser and graduate studentshould be founded on mutual respect and open communication.

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Advisers and students should discuss the nature of their workingrelationship early and continue this discussion throughout theirperiod of collaboration to ensure mutually understood and com-patible expectations. These discussions should be frequent andopen, and should include not only work, research goals, and per-

formance reviews, but also change of status, time for personal andfamily responsibilities, time off, and concerns about academic orwork situations. Both the student and adviser have the obligationto initiate meetings as necessary to ensure the success of therelationship.

After achieving candidacy, each Ph.D. student should beassigned a thesis advising committee of three or more facultymembers. This committee should meet informally at least oncea year beginning in the fourth year of graduate study.

The graduate studentfaculty adviser relationship should be

guided by norms of fairness and professionalism. Both faculty andgraduate students should avoid relationships that conflict withtheir respective roles and duties at Caltech. Both are bound by theprevailing policies prohibiting discrimination and harassment(pages 6263 and 7284). Concerns relating to academic or worksituations should be raised promptly between the persons directlyinvolved, and handled informally if possible. Both students andadvisers have the responsibility to raise and address concerns andconflicts promptly, honestly, and in a manner that conforms withacademic integrity and professionalism. Caltech policy requiresthat students concerns be addressed fairly and promptly, and pro-hibits retaliation or discrimination against students for appropri-ately voicing or raising a concern.

If a problem remains unresolved or if direct discussion is notpossible, a student can seek assistance from division officers (e.g.,option representatives) or the graduate deans. At any time, a stu-dent may request that discussions remain confidential. For moredetails about sources of assistance, consult the graduate option reg-ulations (pages 293369) and the Student Problem Resolution

Process (page 49).

Part-Time Programs

Part-time graduate study programs at the Institute are for graduatestudents who cannot devote full time to their studies and are allowedto register only under special arrangements with a sponsoring orga-nization, and such students are subject to the following rules:

Degree ProgramsI Applicants for the part-time program must submit a regu-

lar application form accompanied by a detailed plan formeeting the course requirements for the degree.I Any research work done for academic credit shall be

supervised by a Caltech faculty member.


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I In general, students admitted to the part-time programare required to take at least 27 units of graduate coursework or research work each term during the firstacademic year.

I Any option at the Institute retains the right to not partici-

pate in the program or to accept it under more stringentconditions.

Nondegree ProgramsCaltech employees, both campus and JPL, are eligible to apply totake one or more graduate courses for credit. Participants in thisprogram will not be considered to be working toward a Caltechdegree, in contrast to the part-time program for graduate degreesdescribed above, and courses taken under this program cannot beused to fulfill the requirements for a Caltech degree.

At least one month prior to the start of the term, the employeeshould have an initial discussion with the option representative ofthe option in which the course is to be taken. Application shouldbe made to the Graduate Office by completing the special formprovided for this purpose, and providing a transcript of academicwork and one letter of recommendation. The employee must meetthe prerequisites for the course, and must obtain the written per-mission of the instructor. The decision on admission to take eachcourse will be made by the course instructor and the option repre-sentative, with final approval by the dean of graduate studies.Taking an additional course at a later time will require full reappli-cation. It is the employees responsibility to arrange a revised workschedule with the appropriate supervisor. Approval of the employ-ees supervisor is required.

Part-time nondegree students are subject to the Honor System(see page 32) and are under the purview of the dean of graduatestudies. They may take only courses numbered 100 or higher.Research courses are excluded from the program. For courses inwhich a letter grade is offered, these students may not register to

receive a pass/fail grade in the course, nor can credit for the coursebe obtained by examination. The option may limit the number ofnondegree students admitted to any one course.

Conflict of Interest and Commitment of GraduateStudents

The Institute has a long-standing philosophy that all graduate stu-dents should be given the opportunity to be completely focused ongraduate studies and research. This is one of the unique aspects of

Caltechs graduate school and a key factor in the high level of pro-ductivity and accomplishment by our graduate students. To enablethis, the faculty and Institute provide financial aid in the form offellowships, tuition scholarships, graduate teaching, and research

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assistantships. The stipend and salary levels for students are modestbut sufficient for economical students to live debt-free during theirgraduate studies. The financial support provided by the Instituteand the requirements for continuous enrollment also enable almostall students to complete the degree programs in a timely manner.

In turn, the Institute expects that graduate students should be 100percent committed to graduate studies while enrolled in a graduateprogram. Graduate students are expected to be continuouslyenrolled full-time, year-round, until they complete their degreeprogram. In addition, graduate students should not accept employ-ment, start or run a business, or engage in any activity inside oroutside of the Institute that creates a conflict of commitment withtheir full-time, degree-seeking status.

ExceptionsThere are some very limited exceptions to this policy. TheInstitute encourages extracurricular activities that provide serviceto the community and do not impact the students academicprogress or full-time status. The Institute also recognizes thatsome students desire to gain experience as instructors or work inan educational or research setting outside of Caltech.

Outside EmploymentWith the permission of the dean of graduate studies, students mayaccept limited-duration, part-time employment for these purposes(see Financial Assistance, page 284). Students must declare to thedean of graduate studies all external funding, including fellowships,awards, or employment, part- or full-time, which supports theiracademic activities/research. The Institute may adjust Institutefinancial aid allocated accordingly to maintain the stipend withinthe Institute guidelines and to recover tuition from outside sourceswhenever possible. A students financial aid and/or Institute salarymay be reduced if the income is significant, and in the case oflong-term, unreported employment activities, the student may be

asked to repay financial aid.Students may not hold a position of line responsibility in anoutside enterprise for pay or profit. Students must have theapproval of their adviser, the option representative, and the dean ofgraduate studies in order to engage in any outside employmentactivities. International students on a visa are further required toconsult with the office of International Student Programs to deter-mine eligibility. Students must provide official documentation ofthe financial award or salary, as well as submit a request to theGraduate Office (petitions can be downloaded at http://www.grad-

office.caltech.edu/current/petitions) before accepting any employ-ment. Permission to engage in outside employment is contingenton the student maintaining satisfactory academic progress as deter-mined by the dean of graduate studies in consultation with theadviser and option representative.

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Non-Paid ActivitiesStudents must have the approval of their adviser, the option repre-sentative, and the dean of graduate studies in order to engage in orcontinue in any outside activities wherein the time committed tothose activities may impact the students progress toward comple-

tion of his or her degree.

Leave of AbsenceStudents who work full-time off campus in a commercial organiza-tion are advised to take a leave of absence (non-medical sabbatical).They will not be enrolled during this time, and the clock willstop on their graduate career. Taking a leave of absence in order towork requires the endorsement of the adviser and permission ofthe dean of graduate studies. A leave of absence is always requiredwhen the job is not research-related. Students who need to stop

their studies to address health issues should take a medical leave ofabsence, which requires the endorsement of the health and coun-seling centers as well as the permission of the dean of graduatestudies.

Detached DutyIn some cases, a student may be employed by a laboratory or

research institute but still engaged in research directly related tohis or her degree program. Another situation is that a student maybe invited to be a visiting researcher at another university, or thestudent may need to be working with a faculty member who hasleft Caltech and is working at another institution. Students mayalso be away from campus to participate in internships at commer-cial organizations as part of their research program.

Students may go on detached duty rather than on leave ofabsence if the adviser and dean of graduate studies approve andthere is documentation of an internship or research program andappropriate mentoring. The student should submit the documenta-tion and a petition form to the Graduate Office (petitions can be

downloaded at http://www.gradoffice.caltech.edu/current/peti-tions). Students on detached duty are still enrolled as full-time stu-dents but are in residence at another location. They may be paidby Caltech or through another organization. It is the studentsresponsibility to continue to be registered and in full-time statuswhile on detached duty. Detached duty petitions are usually onlyvalid for a limited time, less than one year, and can be renewedupon request.

Consulting and Other Entrepreneurial Activities

Graduate students are sometimes approached to perform paid con-sulting or are inspired to be entrepreneurs. In these cases, studentshave to be exceptionally careful not to create conflicts of commit-ment or conflicts of interest through these activities. Students con-



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sidering these activities should familiarize themselves with theCaltech policies on conflict of interest, outside employment orbusiness activity, and the Caltech ethics handbook. Students maynot engage in any consulting activities that interfere with their pri-mary graduate student activities of learning and research.

Scrupulous care must be taken to ensure that Caltechs name andits letterhead are used neither directly in any correspondencebetween the student and the company the student wishes to con-sult for, nor in any reports that student may submit to the compa-ny.

Of particular concern are students consulting or acceptingemployment from a company in which their adviser or otherCaltech faculty member directing a students research has a signifi-cant interest or is a paid consultant. In such cases, the divisionchair must approve any student involvement in the activities per-

formed for the company. The student must submit a written dis-closure, and a conflict management plan will be put in place.

Graduate students should not enter into any consulting oremployment agreement with intellectual property encumbrances orconfidentiality provisions that are in conflict with the studentscommitments to Caltech or that may compromise progress towardhis/her thesis.

Please refer to www.gradoffice.caltech.edu/policies/conflict forthe complete policy and regulations regarding conflicts of commit-ment and interest. If there are any questions about the propriety ofany outside activity or agreements, this should be discussed withthe Graduate Office and, if necessary, the Office of ResearchCompliance and the Office of the General Counsel.

Working at Special Laboratories

I Students who desire to take advantage of the unique opportuni-ties available at one of the special laboratories (e.g., JPL) forPh.D. thesis work may be allowed to do so, provided that theymaintain good contact with academic life on campus, and the

laboratory involved commits support for the duration of thethesis research, and provided that all Caltech graduate thesisresearch carried out at a special laboratory is under the supervi-sion of Caltech faculty members.

I A students request to carry out thesis work at a special labora-tory should be formally endorsed by the appropriate committeeof his or her option and by the special laboratory, on a petitionsubmitted through the option representative to the dean ofgraduate studies. The special laboratory should recognize itscommitment of special equipment or any other resources

required for the thesis work. Approval by the special laboratoryshould also indicate that the thesis topic is a sensible one, andthat it is not likely to be preempted by the laboratory.

I A student may take similar advantage of unique opportunities at

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a corporate or governmental research and development facilityunder the same conditions, providing that there exists a formalwritten agreement between the R&D facility and the studentsthesis adviser, and that advance written approval is obtainedfrom the dean of graduate studies. Such curricular practical

training may in some cases involve full-time employment atthe laboratory for a limited period of time for the purpose ofengaging in the essential data collection that is integral toa students doctoral dissertation. Typically, such students whoare not in a local laboratory are placed on detached duty status.

I Employment by a special laboratory of a graduate student forwork not connected with his or her thesis should be regardedas equivalent to other outside employment.

Exchange Program with Scripps Institution

of Oceanography

An exchange program has been established with the ScrippsInstitution of Oceanography (SIO), University of California, SanDiego, permitting Caltech graduate students to enroll in andreceive credit for graduate courses offered by SIO. Arrangementsshould be made through the students major option and theGraduate Office. The student must obtain the advance approval ofthe instructors of courses to be taken at SIO. In some cases, whenit is in the best interests of the student, arrangements may be made

for the student to be temporarily in full-time residence at SIO.Thesis research done partly at SIO may be arranged directly by

the students option and the staff of appropriate research laborato-ries at SIO, without the necessity of enrolling for SIO courses des-ignated for research; in this case the student will continue to beunder the supervision of his or her Caltech thesis adviser and willenroll for Caltech research units.

GENERAL REQUIREMENTS FOR GRADUATE

DEGREES

Degree of Master of Science

The Master of Science degree is a professional degree designed toprepare a student for teaching, for further graduate studies, or formore advanced work in industry. Detailed requirements are basedprimarily on professional studies, and the program should beplanned in consultation with the faculty in the appropriate disci-

pline. Under normal circumstances, the requirements for the M.S.degree can be completed in one academic year.A student who enters the Institute holding a masters degree

from another institution will not normally be awarded a second

Degree Requirements


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masters degree in the same field. A student may not normally beawarded two masters degrees from the Institute.

Special regulations for the masters degree are listed under eachgraduate option. Several options do not offer an M.S. degreeexcept in special circumstances.

Residence and Units of Graduate Work Required.At least one acad-emic year of residence at the Institute and a minimum of 135 unitsof graduate work at the Institute subsequent to the baccalaureatedegree are required for the masters degree. Included in these unitsare at least 27 units of free electives or of required studies in thehumanities numbered 100 or above. Courses taken while enrolledas a Caltech undergraduate student in excess of the bachelorsdegree requirements may be counted toward the masters degreerequirements with the approval of the academic option representa-tive and the dean of graduate studies.

To qualify for a masters degree, a student must complete thework indicated in the section on special regulations for his or heroption with a grade-point average for the approved M.S. candidacycourses of at least 1.9.

In special cases, with the approval of the instructor, option rep-resentative, and the dean of graduate studies, courses taken else-where before enrollment at the Institute may be offered in place ofspecifically required courses. An examination may be required todetermine the acceptability of such courses. Course credit, if grant-ed, shall not count toward the 135-unit and residency require-ments.

Joint B.S./M.S. Degree. In exceptional cases, undergraduatestudents may pursue a joint B.S./M.S. program of study. Severaloptions do not allow a joint B.S./M.S. degree. Students shouldcontact the graduate option representative to find out if the jointB.S./M.S. degree is possible in a particular option. Such studentsmust follow the normal procedures for admission to the M.S. pro-gram in the option of their choice. Students attending courses orcarrying out research toward an M.S. degree before completion of

their B.S. degree requirements will be considered as undergraduatestudents and will not be eligible for graduate financial aid, graduatehousing, or other graduate student privileges.

Admission to M.S. Candidacy. Before the midpoint of the firstterm of the academic year in which the student expects to receivethe degree, he or she should file in the Graduate Office an applica-tion for admission to candidacy for the degree desired. On theM.S. candidacy form, the student must submit a proposed plan ofstudy, which must have the approval of his or her option represen-tative and, if a thesis is required, of his or her research adviser.

Some options require a thesis or research report in addition tocourse requirements. The thesis or research report must beapproved by the research adviser no later than two weeks beforethe degree is to be conferred. This approved plan of study willconstitute the requirements for the degree. Any modifications must


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be approved by the option representative, and the plan of studyresubmitted to the Graduate Office at least two weeks before com-mencement.

Students enrolled for the joint B.S./M.S. program must com-plete a minimum of 486 units for the B.S. program and a minimum

of 135 units for the M.S. program with no overlapping of courses.

Engineers Degree

Engineers degrees are awarded in aerospace, and electrical engi-neering. The work for an engineers degree must consist ofadvanced studies and research in the field appropriate to the degreedesired. It must conform to the special requirements established forthat degree and should be planned in consultation with the mem-bers of the faculty concerned. Students who have been admitted to

the terminal masters degree and wish to pursue further studiesleading toward either the engineers or the doctors degree must filea new petition (and in some cases must file a new application) tocontinue graduate work toward the desired degree. Students whohave received an engineers degree will not in general be admittedfor the doctors degree.

Residence.At least six terms of graduate residence subsequent toa baccalaureate degree equivalent to that given by the Institute arerequired for an engineers degree. Of these, at least the last threeterms must be at Caltech. It must be understood that these are

minimum requirements, and students must often count on spend-ing a somewhat longer time on graduate work.

To qualify for an engineers degree, a student must complete thework prescribed by his or her supervising committee with a grade-point average of at least 1.9. Research work and the preparation ofa thesis must constitute no fewer than 55 units. More than 55 unitsmay be required by certain options, and the student should deter-mine the particular requirements of his or her option when estab-lishing a program.

Admission to Candidacy. Before the midpoint of the first term of

the academic year in which the student expects to receive thedegree, he or she must file in the Graduate Office an application foradmission to candidacy for the degree desired. Upon receipt of thisapplication, the dean of graduate studies, in consultation with thechair of the appropriate division, will appoint a committee of threemembers of the faculty to supervise the students work and to certifyits satisfactory completion. One of the members of the committeemust be in a field outside the students major field of study. The stu-dent should then consult with this committee in planning the detailsof his or her work. The schedule of work as approved by the com-

mittee shall be entered on the application form and shall then con-stitute a requirement for the degree. Changes in the schedule willnot be recognized unless initialed by the proper authority. Nocourse that appears on the approved schedule and for which the

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applicant is registered may be removed after the last date for drop-ping courses, as listed in the Catalog(see Academic Calendar, pages4 and 5).

The student will be admitted to candidacy for the degree whenthe supervising committee certifies (a) that all the special require-

ments for the desired degree have been met, with the exception thatcertain courses of not more than two terms in length may be takenafter admission to candidacy; (b) that the thesis research has beensatisfactorily started and can be finished at the expected date; (c) thatthe candidate demonstrates competence in oral and written English.

Admission to candidacy must be obtained by the midpoint ofthe term in which the degree is to be granted.

Thesis.At least two weeks before the degree is to be conferred,each student is required to submit to the dean of graduate studiestwo copies of his or her thesis in accordance with the regulations

that govern the preparation of doctoral dissertations. These regula-tions may be obtained from the Graduate Office. The candidatemust obtain written approval of the thesis by the chair of the divi-sion and the members of the supervising committee, on a formobtained from the Graduate Office.

The use of classified research as thesis material for any degreewill not be permitted. Exceptions to this rule can be made onlyunder special circumstances, and then only when approval is givenby the dean of graduate studies before the research is undertaken.

Examination.At the discretion of the option in which the degreeis desired, a final examination may be required. This examinationwould be conducted by a committee appointed by the candidatessupervising committee.

Degree of Doctor of Philosophy

The degree of Doctor of Philosophy is conferred by the Instituteprimarily in recognition of breadth of scholarship, depth ofresearch, and the power to investigate problems independently andefficiently, rather than for the completion of definite courses of

study through a stated period of residence. The work for thedegree must consist of research and the preparation of a thesisdescribing it, and of systematic studies of an advanced character,primarily in science or engineering. In addition, the candidatemust have acquired the power of clear and forceful self-expressionin both oral and written English.

Subject to the general supervision of the Committee on GraduateStudy, the students work for the degree of Doctor of Philosophy isspecifically directed by the division in which he or she has chosenthe major subject. Each student should consult his or her division

concerning special divisional and option requirements.Admission.With the approval of the dean of graduate studies,

students are admitted to graduate standing by the option in whichthey choose their major work toward the doctorate degree. In



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Degree Requirements

some cases, applicants for the doctorate degree may be required tocomplete requirements for the masters degree first; however, thisis not a general prerequisite for the doctorate degree. Studentswho have received an engineers degree will not, in general, beadmitted for the doctorate degree.

A student who holds a Ph.D. degree from another institutionwill not normally be admitted to graduate standing at Caltech topursue a second Ph.D. degree. A student will not normally beawarded two Ph.D. degrees from the Institute.

Minor Programs of Study.The Institute does not require a minorfor the Ph.D. degree, but the individual options may have minorrequirements as part of their requirements for the major.

A student may undertake a minor program of study in mostoptions as specified in this catalog under the section SpecialRegulations of Graduate Options. Completion of a minor pro-

gram of study is recognized on the Ph.D. diploma by the statementand by additional studies constituting a minor in [name ofoption].

A minor program of study should be at a level of study in theminor substantially beyond that typically acquired by students aspart of their major requirements. Most options require 45 units ormore, including at least one 200-level course and a coherent pro-gram of the supporting 100-level courses. The faculty of the minoroption may approve a proposed minor program on the basis ofoverall class performance and/or by an oral examination. Detailedrequirements for minor options are listed under the individualoptions. Students cannot use courses required by their majoroption in fulfillment of the minor requirement.

Residence.At least nine terms (three academic years) of residencesubsequent to a baccalaureate degree equivalent to that given bythe Institute are required for the doctorate degree. Of this, at leastone year must be in residence at the Institute. It should be under-stood that these are minimum requirements, and students mustusually count on spending a somewhat longer time in residence. A

student whose undergraduate work has been insufficient in amountor too narrowly specialized, or whose preparation in his or her spe-cial field is inadequate, must count upon spending increased timein work for the degree.

However, no student will be allowed to continue work towardthe doctorate degree for more than five academic years of graduateresidence, without a petition approved by the dean of graduatestudies. This petition must include a plan and schedule for comple-tion, agreed upon and signed by the student, the research adviser,and the option representative.

Registration. Continuity of registration must be maintained untilall requirements for the doctorate degree have been completed,with the exception of summer terms and authorized sabbaticals.Registration is required for the quarter in which the thesis defenseis undertaken.


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Admission to Candidacy. On the recommendation of the chair ofthe division concerned, the dean of graduate studies will admit astudent to candidacy for the degree of Doctor of Philosophy afterthe student has been admitted to work toward the doctorate degreeand has been in residence at least one term thereafter; has initiated

a program of study approved by the major option and, if needed,by the minor option; has satisfied by written or oral examinationthe several options concerned, or otherwise shown that he or shehas a comprehensive grasp of the major and minor subjects and ofsubjects fundamental to them; has demonstrated the ability forclear and forceful self-expression in both oral and written English;and has shown ability in carrying on research in a subject approvedby the chair of the division concerned. Option regulations con-cerning admission to candidacy are given in a later section.Members of the Institute staff of rank higher than that of assistant

professor are not admitted to candidacy for a higher degree.A form to apply for admission to candidacy can be obtained

from the Graduate Office website. Please refer to http://www.grad-office.caltech.edu/current/forms. Depending upon option regula-tions, candidates will either be assigned a candidacy committee bythe option representative or must independently select appropriatemembers to serve on the examination committee. An examinationcommittee should consist of a minimum of four voting members,three of whom must be Caltech faculty. Exceptions to this rulemust be approved by the dean of graduate studies in advance of thecandidacy examination. The student should ensure that all mem-bers of the examining committee are available during the examina-tion period and that they are willing to provide timely and appro-priate feedback. Admission to candidacy must be obtained beforethe close of the second term in which the degree is to be con-ferred. The student is responsible for seeing that admission is secured atthe proper time.A student not admitted to candidacy by the end ofthe third academic year of graduate residence at the Institute mustpetition the dean of graduate studies for permission to register for

further work.After achieving candidacy, each Ph.D. student should beassigned a thesis advising committee of three or more facultymembers. This committee should meet informally at least once ayear beginning in the fourth year of graduate study.

Candidacy (and permission to register) may be withdrawn byformal action of the option from a student whose research is notsatisfactory, or for other compelling reasons. However, the optionmust petition through its division chair to the dean of graduatestudies before taking such action.

Final Examination. Each doctoral candidate shall undergo broadoral examination on the major subject, the scope of the thesis, andits significance in relation to the major subject. The examination,subject to the approval of the dean of graduate studies, may betaken after admission to candidacy whenever the candidate is pre-


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pared; however, it must take place at least three weeks before thedegree is to be conferred.

The examination may be written in part, and may be subdividedinto parts or given all at one time at the discretion of the optionsconcerned. The student must petition for this examination, on a

form obtained from the Graduate Office, not less than two weeksbefore the date of the examination. An examination committeeshould consist of a minimum of four voting members, three ofwhom must be Caltech faculty. Exceptions to this rule must beapproved by the dean of graduate studies in advance of the defense.

Thesis.The candidate is to provide a draft copy of his or hercompleted thesis to the members of the examining committee atleast two weeks before the final oral examination. The date of theexamination and the composition of the examining committee willnot be approved by the dean of graduate studies until the thesis is

submitted in completed form, i.e., ready for review by the dean,the members of the examining committee, and the Graduate Officeproofreader. Registration is required for the term in which the the-sis defense is undertaken, but is not normally allowed beyond thelast date of the term. Approval of the dean of graduate studies isrequired for any student seeking to enroll for subsequent terms fol-lowing the thesis defense. A student may petition the dean of grad-uate studies for reduced tuition charges if the student supplies acopy of the thesis, schedules the examination, and submits the nec-essary petitions for the Ph.D. examination prior to 5:00 p.m. on thethird Friday of the term in which the examination will be taken.

The last date for submission of the final, corrected thesis to thedean of graduate studies is the fifth week of the succeeding term ifthe candidate defended his or her thesis during the previous sum-mer or the first or second terms; or two weeks before the degree isto be conferred if the candidate defended his or her thesis duringthe month of May. It is required that all doctoral candidates submitan electronic copy of their dissertation, which the Caltech LibrarySystem will then archive and make available online, as part of the

Networked Digital Library of Theses and Dissertations (NDLTD),an international organization that allows researchers to globallysearch a database of electronic theses and dissertations. For specialoption regulations concerning theses, see specific graduate options.

Before uploading the final, corrected thesis, the candidate mustobtain approval of the thesis by the chair of his or her division andthe members of the examining committee, on a form that can beobtained on the Graduate Office website. Plese refer tohttp://www.gradoffice.caltech.edu/current/forms.

With the approval of the option concerned, a portion of the

thesis may consist of one or more articles published jointly by thecandidate and members of the Institute staff or other coauthors. Inany case, however, a substantial portion of the thesis must be thecandidates own exposition of his or her own work.

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The use of classified research as thesis material for any degreeis not permitted. Exceptions to this rule can be made only underspecial circumstances, and then only when approval is given by thedean of graduate studies before the research is undertaken.

Regulations and directions for the preparation of theses may be

obtained from the Graduate Office, and should be followed care-fully by the candidate.

GRADUATE EXPENSES

The tuition and fees charge for all students registering for graduatework is currently $39,480 per academic year, payable at the begin-ning of each term, fall (10/1/12), winter (1/7/13), and spring

(4/1/13). Graduate students who cannot devote full time to theirstudies are allowed to register only under special circumstances.Students desiring permission to register for fewer than 36 unitsmust therefore petition on the form available from the GraduateOffice.

The payment of tuition by graduate students is required (a)without reference to the character of the work by the student,which may consist of research, independent reading, or writing athesis or other dissertation, as well as attendance at regular classes;(b) without reference to the number of terms in which the studenthas already been in residence; and (c) without reference to the sta-tus of the student as an appointee of the Institute, except thatmembers of the academic staff of rank of instructor or higher arenot required to pay tuition.

Unpaid Bills.All bills owed the Institute must be paid when due.Any student whose bills are past due may be refused registrationfor the following term. Graduate students with a bursars bill bal-ance of $1,500 or more will have a hold placed on their transcripts

and on their registration for the subsequent term the day beforeonline registration opens. The hold will be released once studentshave paid their bill with the Bursars Office. Official transcripts anddiplomas will not be released until the bursars account is paid infull.

Caltech ID Card Charges. If a graduate student owes more than$1,500 at the end of the term, the students ID card will be deacti-

vated on the seventh day of the following term and they will beunable to charge any new purchases. Cards will be reactivated once

students have paid their bill in full with the Bursars Office.

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Expense Summary 201213

General:Tuition and fees $39,480.00

Other:

Books and supplies (approx.) $1,198.00Room:

Avery HouseAvery House single room $678.00 per monthAvery House suite room $712.00 per month

Plus Avery meal plan $875.00 per term(MF)

Catalina apartments4 bedroom apt. $535.00 per person per month (plus utilities)2 bedroom apt. $635.00 per person per month (plus utilities)

1 bedroom apt. $1,077.00 per apt. per month (plus utilities)Contact Bursars Office for audit fee.

Fees are subject to change at the discretion of the Institute.

Fees for Late Registration. Registration is not complete until thestudent has registered for a program approved by his or her adviserand has paid tuition and other fees. A penalty fee of $50 is assessedfor failure to register within five days of the scheduled dates.

Honor System Matters.Monies owed to the Institute resulting

from a disciplinary matter may be collected through the BursarsOffice, at the request of the Office of Graduate Studies.

Housing Facilities.The Catalina Central complex providesapproximately 152 single rooms in four-bedroom furnished units.Another, Catalina North, has 156 single rooms in two-bedroomfurnished units, and Catalina South has 78 single rooms in two-bedroom furnished units, and 29 one-bedroom furnished units.These apartments are also available to married students. Inaddition, there are 12 spaces for graduate students in Avery House,an innovative residential community of faculty, undergraduates,

and graduate students (see page 30).Rates for housing vary, depending upon the accommodations

and services provided. A contract is required to live in these housesfor the academic year. Complete information can be obtained athttp://www.housing.caltech.edu.

The Institute also owns a limited number of apartments andsingle-family houses that are available for rental, on a lease basis,to single or married graduate students or graduate students withfamilies. Because of limited availability, there is a waiting list forthese properties. For additional information and sign-up forms, goto http://www.housing.caltech.edu.

Students preferring to live in non-Institute housing typicallypay approximately $550$600 per month in rent for a sharedapartment, and somewhat more for a private apartment. Please

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note that the Institute cannot make negotiations for individualhousing off campus.

Dining Facilities. Graduate students are granted the privilege ofjoining the Athenaeum (faculty club), which affords the possibilityof contact with fellow graduate students and with others using the

Athenaeum, including the Associates of Caltech, distinguishedvisitors, and members of the professional staffs of the HuntingtonLibrary and the California Institute of Technology.

The Chandler Dining Hall, located on the campus, is openMonday through Friday. Breakfast, lunch, and snacks are servedcafeteria style. Caf at Broad is open for lunch and dinner, Mondaythrough Friday.

Health Services. Health services available to graduate studentsare explained in section one of this catalog.

FINANCIAL ASSISTANCE

Caltech offers in each of its options a number of fellowships,tuition scholarships, and graduate assistantships. In general, tuitionscholarships may be for full or partial tuition charges; assistantshipsprovide stipends; and fellowships often provide both tuition schol-arship awards and stipends. Graduate assistants are eligible to beconsidered for special tuition awards.

Appointments to fellowships, scholarships, and assistantshipsare decided yearly by the students academic option.

Graduate students receiving any form of financial award fromthe Institute are required to report to the dean of graduate studiesany financial aid from other sources. With prior written approvalfrom the dean of graduate studies, students may be allowed toaccept outside employment if the time commitment does not inter-fere with their graduate studies. The number of hours per weekspent on outside employment must be reported to the dean of grad-

uate studies.

Graduate Assistantships

Graduate assistants help with teaching, laboratory work, or per-form research of a character that affords useful academic experi-ence while permitting a full academic schedule of courses. Thespecific research and teaching obligations of graduate assistants areagreed upon with the adviser.

Caltech graduate students often receive a combination of teach-ing and research assistantships; however, the total work commit-

ment cannot exceed 20 hours per week during the academic year.Summer appointments can be greater, with assignments up to 40hours per week. A graduate student who undertakes activities relat-ed to the Institute aggregating more than 62 hours per week (in


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class, research assistantship, and teaching assistantship hours) mustpetition the dean of graduate studies.

Graduate assistant stipends are based on four separate 12-weekquarters, resulting in a 48-week pay period, paid on the last payperiod of the month. Students are also entitled to two weeks of

annual vacation and Institute holidays. Students should prearrangetheir vacation schedule with their adviser and, when appropriate,may arrange longer or shorter appointments depending upondepartmental policy and the arrangements agreed upon betweenthe adviser and the student. In addition, when necessary, graduateassistants may arrange for short-term medical leave (includingparental leave). Any questions should be referred to the dean ofgraduate studies.

Teaching AssistantshipsA full teaching assistantship usually requires 12 to 15 hours perweek to be devoted to teaching and to the related activities of classpreparation, grading, and consulting with students. In general,teaching obligations are confined to the 12 weeks of the academicterms, excluding summer. A student may not, without advance per-mission from the dean of graduate studies, be a teaching assistantfor a course in which he or she is enrolled and receive credit. Onlyteaching assistants with good oral English are permitted to teachsections. Students may demonstrate competence by passing theEnglish proficiency screening during orientation, enrolling in andpassing ESL 101, or subsequently scoring at least 50 on the stan-dardized NTS (National Testing Service) SPEAK test beforeadmission to candidacy.

All teaching assistants are required to attend teaching-assistanttraining before payment can be processed. Training sessions occurin the first week of the fall term, typically during orientation, andat least once per term for continuing students, including under-graduate students with teaching responsibilities.

Teaching assistants must familiarize themselves with Caltechs

policy on harassment (see page 7284). Classes should foster acad-emic achievement in a hassle-free environment. Teaching assis-tants should not attempt to date a student in their class, and shoulddisqualify themselves from teaching a section in which a spouse orcurrent partner is enrolled.

Research AssistantshipsResearch assistantships typically are 15 to 20 hours per week dur-ing the academic year, but can be as much as 40 hours per weekduring the summer. The specific duties are decided upon by the

adviser.

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Graduate Scholarships, Fellowships, andResearch Funds

Students are strongly encouraged to apply for scholarships and fel-lowships from federal and private agencies and organizations to

support their graduate studies. In addition, the Institute offers alimited number of endowed fellowships and scholarships fortuition and/or stipends to graduate students of exceptional ability.

Loans

Several types of loans are available to graduate students. To qualifyfor any of these, a student must demonstrate financial need andmust maintain satisfactory academic progress in the course of studyfor which he or she is enrolled. Application forms and furtherinformation are available from the Financial Aid Office.

Satisfactory Academic Progress

In order to continue in a degree program and to receive financialaid at Caltech, graduate students must maintain satisfactory acade-mic progress toward completion of their degree. Continuity of reg-istration must be maintained until all requirements for the degreebeing sought have been completed, with the exception of autho-rized sabbaticals.

The Master of Science degree requires at least one academic

year of residence at the Institute and a minimum of 135 units ofgraduate work with a grade-point average of at least 1.9. Undernormal circumstances a masters degree requires a minimum ofthree academic terms (one year) and cannot take more than twoyears without a petition approved by the dean of graduate studies.

The engineers degree must consist of advanced studies andresearch in the field appropriate to the degree desired. At least sixterms (two years) of graduate residence are required with a mini-mum 1.9 overall grade-point average. The engineers degree can-not take more than three years to complete without a petition

approved by the dean of graduate studies.For the doctorate degree, at least nine terms (three years) of

residence are required, but the necessary study and research typi-cally require five or more years. The work for the degree consistsof research and the preparation of a thesis describing it, and of sys-tematic studies of an advanced character, primarily in science orengineering.

The requirements for each degree include special regulationsestablished by each option and detailed in the Institute catalog forthe year of initial registration. Many options require a C grade or

better in particular courses or groups of courses. Hence, a limitednumber of courses may be repeated while still maintaining a statusof satisfactory academic progress and would count toward the 36-unit-per-term requirement. A full-time graduate student must reg-ister for (and complete) 36 units per term, including the summer

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term. Approval of the dean of graduate studies is required beforedropping any course that brings a student below 36 units. Thetreatment of incomplete grades and withdrawals is specified onpages 4042. Satisfactory academic progress is checked each acade-mic term by the Graduate Office.

The special regulations for the options typically include thecompletion of specific courses, oral and/or written examinations,petitions, research requirements, etc., by specific times. Satisfac-tory academic progress is judged by the options against these regu-lations, and revocation of permission to register may be recom-mended by the option to the dean of graduate studies prior to or inresponse to the students petition for admission to candidacy.Further, even after admission to candidacy, the candidacy (and per-mission to register) may be withdrawn by formal action of an optionfor a student whose research is not satisfactory, or for other com-

pelling reasons. However, the option must petition through its divi-sion chair to the dean of graduate studies before taking such action.

A doctoral student who has not been admitted to candidacy bythe beginning of the fourth year must petition the dean of graduatestudies for permission to register for further work. In addition, nodoctoral student will be allowed to register for a sixth year withoutapproval of a petition by the dean of graduate studies.This petition must include a plan and schedule for completion,agreed upon and signed by the student, the thesis advising commit-tee, and the option representative.

Petitions approved by the option and the dean of graduatestudies reinstate student eligibility for all financial aid.

Refund and Repayment Policy

Caltech has established an equitable refund policy for students whofind it necessary to withdraw or take a sabbatical from the Institute.

Students who officially withdraw or take a sabbatical from theInstitute during an academic term may receive a tuition refund (seepages 166169). Students living in Caltech housing may also be

eligible for a partial refund from the Housing Office.When granting refunds to financial aid recipients or graduate

assistants, it is Caltechs policy to return the refund, in most cases,to the original account.

PRIZES

Tom Apostol Award for Excellence in Teaching in Mathematics

In 2010, the mathematics option set up the Apostol TeachingAward in honor of Tom Apostol, who was a great teacher atCaltech for over 50 years. Three to five awards are given each yearto recognize excellence in teaching by our graduate and under-graduate teaching assistants.

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Charles D. Babcock AwardThe Charles D. Babcock Award recognizes a student whoseachievements in teaching (or other ways of assisting students) havemade a significant contribution to the aeronautics department. Thecriteria for the award selection are as follows: The award can be

made as unscheduled support for a graduate student associatedwith aeronautics, e.g., for travel to a technical meeting for profes-sional advancement. All aeronautics-associated students are eligi-ble, with preference given to those in the structures and solidmechanics group. The award may be made yearly, as merited.The timing of the award will be as special recognition warrants.

The Charles D. Babcock Award was established in 1992 inmemory of Charles D. Babcock, who was professor of aeronauticsand applied mechanics until 1987; he served aeronautics as optionrepresentative and the Institute as vice provost.

William F. Ballhaus PrizeA prize will be awarded for an outstanding doctoral dissertation inaeronautics, to be selected by the aeronautics faculty. This award ismade possible by a gift from Dr. William F. Ballhaus,a California Institute of Technology alumnus who received hisPh.D. in aeronautics in 1947.

Bohnenblust Travel Grants in MathematicsSpecial grants may be awarded to outstanding graduate studentsin mathematics to enable them to travel in the United Statesor abroad to further their mathematical education. The mathe-matics faculty established these awards in 1978 to honor H. F.Bohnenblust, who served Caltech as professor of mathematics,executive officer for mathematics, and dean of graduate studies.Application forms and further details are available in themathematics office, 253 Sloan.

Rolf D. Buhler Memorial Award in Aeronautics

An award is made annually to a student in the aeronautics mastersprogram whose academic performance was exemplaryand who shows high potential for future achievements at Caltech.

The Rolf D. Buhler Memorial Award in Aeronautics was estab-lished in 1990 in memory of Rolf Buhler, a 1952 graduate ofGALCIT and professor of space flight at the Technical Universityof Stuttgart in Germany.

W. P. Carey & Co., Inc., Prizes in Applied MathematicsPrizes will be awarded by a faculty committee in applied mathe-

matics for outstanding doctoral dissertations. If there is no appro-priate candidate, then the awardee can be chosen from pure math.These awards have been made possible by gifts from William PolkCarey and from W. P. Carey & Co., Inc.

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Centennial Prize for the Best Thesis in Mechanical and CivilEngineeringAwarded each year to a candidate for the degree of Doctor ofPhilosophy in applied mechanics, civil engineering, or mechanicalengineering whose doctoral thesis is judged to be the most original

and significant by a faculty committee appointed annually by theexecutive officer for mechanical and civil engineering. The prizeconsists of a citation and a cash award and was established withgifts from alumni following the Mechanical EngineeringCentennial Celebration in 2007.

Richard Bruce Chapman Memorial AwardA prize will be awarded annually to a graduate student who has dis-tinguished himself or herself in research in the field of hydrody-namics.

Bruce Chapman was awarded an M.S. from Caltech in 1966 anda Ph.D. in 1970, both in engineering science. This award has beenestablished in his memory by his family and friends.

Milton and Francis Clauser Doctoral PrizeAn annual prize is awarded to the Ph.D. candidate whose researchis judged to exhibit the greatest degree of originality as evidencedby its potential for opening up new avenues of human thought andendeavor as well as by the ingenuity with which it has been carriedout. The Milton and Francis Clauser Doctoral Prize is made possi-ble by gifts from the family and friends of these twin alumni, whoreceived bachelors degrees in physics in 1934, masters degrees inmechanical engineering in 1935, and doctors degrees in aeronau-tics in 1937.

Donald Coles Prize in AeronauticsThe Donald Coles Prize will be awarded to the graduating Ph.D.student in aeronautics whose thesis displays the best design ofan experiment or the best design for a piece of experimental

equipment.

Demetriades-Tsafka-Kokkalis Prize in Biotechnology or Related FieldsAwarded annually to a Ph.D. candidate for the best thesis, publica-tion, or discovery in biotechnology or related fields at the Institutein the preceding 12 months. Winners are selected by the bioengi-neering faculty. This award has been made possible by a gift fromAnna Kokkalis Demetriades and Sterge T. Demetriades,Eng. 58.

Demetriades-Tsafka-Kokkalis Prize in Entrepreneurship orRelated FieldsAwarded annually for the best business plan or proposal, start-up,thesis, publication, discovery, or related efforts by student(s) in

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entrepreneurship or related fields at the Institute in the preceding12 months. This prize is made possible by a gift from AnnaKokkalis Demetriades and Sterge T. Demetriades, Eng. 58.

Demetriades-Tsafka-Kokkalis Prize in Environmentally Benign

Renewable Energy Sources or Related FieldsAwarded annually to a Ph.D. candidate for the best thesis, publica-tion, discovery, or related efforts in benign renewable energysources or related fields at the Institute in the preceding 12months. The prize is made possible by a gift from Anna KokkalisDemetriades and Sterge T. Demetriades, Eng. 58.

Demetriades-Tsafka-Kokkalis Prize in Nanotechnology or Related FieldsAwarded annually to a Ph.D. candidate for the best thesis, publica-tion, or discovery in nanotechnology or related fields at the

Institute in the preceding 12 months. This prize is made possibleby a gift from Anna Kokkalis Demetriades and Sterge T.Demetriades, Eng. 58.

Demetriades-Tsafka-Kokkalis Prize in Seismo-Engineering, Prediction,and ProtectionAwarded annually to a Ph.D. candidate for the best thesis, publica-tion, or discovery in seismo-engineering, prediction, and protec-tion in the preceding 12 months. Winners are selected by the seis-mo-engineering faculty. The prize is made possible by a gift fromAnna Kokkalis Demetriades and Sterge T. Demetriades, Eng. 58.

Constantin G. Economou Memorial PrizeAwarded to a chemical engineering graduate student distinguishedby outstanding research accomplishments and exemplary attitudewhile fulfilling candidacy requirements for the Ph.D. degree.

Everhart Distinguished Graduate Student Lecture SeriesThe Everhart Lecture Series is a forum to encourage interdiscipli-

nary interaction among graduate students and faculty, to shareideas about recent research developments, problems, and contro-versies, and to recognize the exemplary presentation and researchabilities of Caltechs graduate students. Lecturers discuss scientifictopics at a level suitable for graduate students and faculty from allfields while addressing current research issues. Each fall, threegraduate-student lecturers are selected to present their work aspart of the Everhart Lecture Series based on each students dynamicspeaking skills, which capture the attention of and convey researchmaterial clearly to a diverse technical audience; ability to commu-

nicate his or her research fields broader importance; and impacton the scientific community through his or her research. Speakersreceive an honorarium and recognition at graduation.


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Lawrence L. and Audrey W. Ferguson PrizeAwarded to the graduating Ph.D. candidate in biology who hasproduced the outstanding Ph.D. thesis for the past year.

Henry Ford II Scholar Awards

The Henry Ford II Scholar Awards are funded under an endow-ment provided by the Ford Motor Company Fund. Each awardwill be made annually either to the engineering student with thebest academic record at the end of the third year of undergraduatestudy, or to the engineering student with the best first-year recordin the graduate program. The chair of the Division of Engineeringand Applied Science names the student to receive the award.

Graduate Deans Award for Outstanding Community ServiceThis award is made annually to a Ph.D. candidate who, throughout

his or her graduate years at the Institute, has made great contribu-tions to graduate life and whose qualities of leadership and respon-sibility have been outstanding.

Hans G. Hornung PrizeThis prize is awarded for the best oral Ph.D. defense presentationby a student advised by an aerospace faculty member. The commit-tee to determine the winner is made up of current aerospace engi-neering students who attend the talks in order to make their rec-ommendation.

Scott Russell Johnson Prize for Excellence in Graduate Studyin MathematicsFour prizes will be given to continuing graduate students for excel-lence in one or more of the following: extraordinary progress inresearch, excellence in teaching, or excellent performance as a first-year graduate student. The executive officer for mathematics, inconsultation with the faculty, determines the recipients. The prizeis made possible by a gift from Steve and Rosemary Johnson in

memory of Scott Johnson, B.S. 83.

Scott Russell Johnson Graduate Dissertation Prize in MathematicsA prize is awarded for the best graduate dissertation in mathemat-ics. The prize may be split between two students. The executiveofficer for mathematics, in consultation with the faculty, selects therecipient. The prize is made possible by a gift from Steve andRosemary Johnson in memory of Scott Johnson,B.S. 83.

Abdul Kalam Prize in Aerospace EngineeringThis prize is awarded to a student in the aerospace engineeringmasters program whose academic performance is exemplary andwho shows high potential for future achievements.

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John O. Ledyard Prize for Graduate Research in Social ScienceThe prize rewards the best third- year paper by a graduate studentin Social Science or Behavioral Neuroscience. The prize is fundedby Susan G. Davis in recognition of John O. Ledyards dedicationto developing graduate students as independent researchers and his

service to the Division of the Humanities and Social Sciences. Theprize is awarded annually by a committee of social science faculty.

Lemelson-MIT Caltech Student PrizeThe Lemelson-MIT Caltech Student Prize is awarded to a Caltechsenior or graduate student who has created or improved a productor process, applied a technology in a new way, redesigned a system,or in other ways demonstrated remarkable inventiveness. Studentsgain invaluable exposure to the science, business, and investmentcommunities through participation in this competition.

The Herbert Newby McCoy AwardA cash award is made annually to a graduate student in chemistryto acknowledge an outstanding contribution to the science ofchemistry. The awardee is chosen by a faculty committee, basedon solicited nominating packages, and the award-winning researchis presented in a formal divisional seminar given by the awardee.

The McCoy award was established in 1965 as a result of abequest of Mrs. Ethel Terry McCoy to honor her husband, whodid pioneering work in the chemistry of rare earths and was associ-ated with Caltech through collaboration with chemists LinusPauling and Howard Lucas.

Eleanor Searle Prize in Law, Politics, and InstitutionsThe Eleanor Searle Prize was established in 1999 by friends andcolleagues to honor Eleanor Searle. The prize is awarded annuallyto an undergraduate or graduate student whose work in history orthe social sciences exemplifies Eleanor Searles interests in the useof power, government, and law.

Ernest E. Sechler Memorial Award in AeronauticsAn award is made annually to an aeronautics student who has madethe most significant contribution to the teaching and researchefforts of the Graduate Aerospace Laboratories of the CaliforniaInstitute of Technology (GALCIT), with preference given to stu-dents working in structural mechanics.

The Ernest E. Sechler Memorial Award in Aeronautics wasestablished in 1980 in memory of Ernest E. Sechler, who wasone of the first graduates of GALCIT and who then served as a

GALCIT faculty member for 46 years. Throughout his career,Sechler was the faculty adviser for aeronautics students. In addi-tion, he made many contributions to structural mechanics in areasranging from aeronautics to the utilization of energy resources.

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John Stager Stemple Memorial Prize in PhysicsA prize is awarded annually to a graduate student in physics foroutstanding progress in research as demonstrated by an excellentperformance on the oral Ph.D. candidacy exam. John S. Stemplewas a Caltech physics graduate student when he died; a memorial

fund was established from contributions made by the communityof Falls Church, Virginia, Johns hometown.

Charles Wilts PrizeAwarded for outstanding independent research in electrical engi-neering leading to a Ph.D.

Note: Prizes and awards may be subject to federal and state income tax.

SPECIAL REGULATIONS OF GRADUATE OPTIONS

Aerospace

Aims and Scope of the Graduate ProgramThe Institute offers graduate programs in aerospace leading to thedegrees of Master of Science in Aeronautics or Space Engineering,Aerospace Engineer, and Doctor of Philosophy. The programs aredesigned to provide intense education in the foundations of the

aeronautical and space sciences, with emphasis on research andanalytical, computational, and experimental methods. Enteringgraduate students should have a thorough background in under-graduate mathematics, physics, and engineering science. Applicantsfor graduate study are also required to submit Graduate RecordExamination scores with their applications.

In working toward a degree in aerospace, a student may pursuemajor study in one of the following areas: physics of fluids, physicsof solids and mechanics of materials, structural mechanics, spacetechnology, computational solid mechanics, computational and

theoretical fluid dynamics, aeronautical engineering and propul-sion, biomechanics of fluids and solids, technical fluid mechanics,control of aerospace systems and materials.

While research and course work in the aerospace option at theInstitute cover a very broad range of subjects, a choice of one ofthe above fields allows students to focus their activities while tak-ing advantage of the flexibility offered by the breadth of interestsof the Graduate Aerospace Laboratories (GALCIT). A studentwith an interest in energy-related subjects will find many suitablecourses and research projects of particular use. Subjects of major

importance in the efficient use of energy, such as turbulent mixing,drag reduction, and flexible lightweight structures, have historicallybeen the focus of research activity in the aerospace option.

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In consultation with his or her adviser, a student will design aprogram of study in one of the above fields, consisting of the fun-damental courses prescribed in the regulations for the separatedegrees listed below, and of electives selected from the list of aero-space-related courses.

Examinations, Committees, and Student ResponsibilitiesTo help the student achieve satisfactory progress in his or her acad-emic pursuits, the aerospace faculty provides for the followingcommittee and individual support.

Upon beginning the first year of the aerospace program, each stu-dent is assigned a faculty (course) adviser whose research field match-es the interests of the student as described in the students statementof purpose in his or her admissions application. In order to pursuestudies beyond the masters degree and toward the degree of Ph.D., a

student has to select and be accepted by a research adviser. Studentswishing to pursue studies leading to the Ph.D. must select and beaccepted by a research adviser and are required to pass a qualifyingexamination in the first term of the second year. Having passed thequalifying examination, the student pursues research under the super-vision of the research adviser until he or she is ready to enter candi-dacy for the Ph.D. At this point, a four-member CandidacyExamination Committee that includes the students research adviseris assembled and administers a Candidacy Examination to ensure thestudent has the appropriate knowledge and tools to successfully com-plete his or her chosen research activities.

The Candidacy Committee is chaired by a faculty memberother than the research adviser. The Candidacy Examination isgenerally administered in the beginning of the third year of resi-dence but in any case must be successfully completed by the end ofthat year.

Conferral of the Ph.D. degree is contingent on satisfactorilypassing the thesis examination before a committee consisting offour examiners, which may, but does not need to, have the same

constitution as the Candidacy Committee.

Degree Programs in Aerospace

Masters Degree in Aeronautics and Masters Degree in SpaceEngineeringThe masters degree program in aeronautics or space engineeringis a one-year program that provides advanced training in the areasof aeronautics or aerospace beyond that covered in a four-yearundergraduate program. The program consists of a set of five core

courses (see details below). There is no research requirement, noris a thesis required to obtain the degree.Admission. Students with a baccalaureate degree equivalent to

that given by the Institute are eligible to seek admission to worktoward the masters degree in aeronautics. Students are asked to


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submit course transcripts and letters of recommendation as well asGRE scores and evidence of English language proficiency asdetailed in the graduate application. It should be noted that thegraduate program at GALCIT is primarily focused on Ph.D.-levelresearch and so priority in admission is given to those who plan to

ultimately perform Ph.D.-level research.Course Requirements.A program of study consists of courses

totaling at least 138 units; of these, at least 84 units must be in thefollowing subject areas:

I Fluid mechanics: 27 unitsI Solid/structural mechanics: 27 unitsI Mathematics or applied mathematics: 27 unitsI Aerospace engineering seminar: 3 units

An additional 27 units are required as follows:I a course in experimental techniques and laboratory work for

the masters degree in aeronautics, orI a course in space

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