201011

Caltech
Catalog
California Institute of Technology
Pasadena, California 91125
(626) 395-6811
September 2010

The mission of the California Institute of Technology is to expand human

knowledge and benefit society through research integrated with education.
We investigate the most challenging, fundamental problems in science and
technology in a singularly collegial, interdisciplinary atmosphere, while
educating outstanding students to become creative members of society.

While every effort has been made to ensure that this catalog is accurate and up to
date, it may include typographical or other errors. The Institute reserves the right to
change its policies, rules, regulations, requirements for graduation, course offerings,
and any other contents of this catalog at any time.
You can view the Caltech Catalog online at http://pr.caltech.edu/catalog. Please note
that the contents of websites that link to online course entries are not part of the
official catalog.

Cover: Holliston solar panels at dusk (photo: Debra Tuttle 93).

CONTENTS

1. General Information

110

9
12
19
28
29
34
36
38

112

39
39
40
44
52

Introduction
Historical Sketch
Buildings and Facilities
Undergraduate Research
Student Life
Student Health
Career Development
Caltech Alumni
Association
International Student
Programs
Auditing Courses
Grades and Grading
Notices and Agreements
Institute Policies

2. Areas of Study and Research

79
83
85
85
87
89
90
91
92
94
94
96
98
99
100
103
105
109

Aerospace
Applied and
Computational
Mathematics
Applied Mechanics
Applied Physics
Astrophysics
Behavioral and Social
Neuroscience
Biochemistry and
Molecular Biophysics
Bioengineering
Biology
Biotechnology
Chemical Engineering
Chemistry
Civil Engineering
Computation and Neural
Systems
Computer Science
Control and Dynamical
Systems
Electrical Engineering
Energy Science and
Technology

Contents

114
115
116
116
116
117
118
120
122

Environmental Science
and Engineering
Geological and Planetary
Sciences
History and Philosophy
of Science
Humanities
Independent Studies
Program
Information Science and
Technology
Materials Science
Mathematics
Mechanical Engineering
Physics
Social Science

3. Information for
Undergraduate Students
125
128
132
138
139
142
147
151
166
176

Admission to the
Freshman Class
Admission to Upper
Classes by Transfer
Study Abroad
ROTC
Registration Regulations
Scholastic Requirements
Undergraduate Expenses
Financial Aid
Prizes
Graduation
Requirements, All
Options

4. Information for
Graduate Students
238
246
254
256

Graduate Policies and

Procedures
General Requirements
for Graduate Degrees
Graduate Expenses
Financial Assistance

259
264

Prizes
Special Regulations of
Graduate Options

478
486
490

5. Courses
490
341
342
349
350
356
358
362
365
371
372
377
388
391
396
405
407
412
422
425
428
438
438
440
450
451
455
455
470

General Information
Aerospace
Anthropology
Applied and
Computational
Mathematics
Applied Mechanics
Applied Physics
Art History
Astrophysics
Biochemistry and
Molecular Biophysics
Bioengineering
Biology
Business Economics and
Management
Chemical Engineering
Chemistry
Civil Engineering
Computation and Neural
Systems
Computer Science
Control and Dynamical
Systems
Economics
Electrical Engineering
Energy Science and
Technology
Engineering (General)
English
English as a Second
Language
Environmental Science
and Engineering
Film
Geological and Planetary
Sciences
History

491
494
495
499
508
513
515
517
521
526
535
538
539

History and Philosophy

of Science
Humanities
Independent Studies
Program
Information Science and
Technology
Languages
Law
Materials Science
Mathematics
Mechanical Engineering
Music
Performance and
Activities
Philosophy
Physical Education
Physics
Political Science
Psychology
Social Science

6. Trustees, Administration,
and Faculty
547
547
551
553
556
591

Officers
Board of Trustees
Administrative Officers
Faculty Officers and
Committees
Staff of Instruction and
Research
Officers and Faculty

644 Index

Contents

ACADEMIC CALENDAR
201011

December 15
Instructors final grade reports due
9 a.m.

FIRST TERM 2010

December 2427
Christmas (Institute holiday)

September 1618
International student orientation
September 1924
New student check-in and orientation
September 27
Beginning of instruction8 a.m.
September 28
Undergraduate Academic Standards
and Honors Committee9 a.m.
October 15
Last day for adding courses and
removing conditions and
incompletes
October 27November 2
Midterm examination period

December 2830
Special release days
December 31
New Year holiday (Institute holiday)
SECOND TERM 2011
January 3
Beginning of instruction8 a.m.
January 4
Undergraduate Academic Standards
and Honors Committee9 a.m.
January 17
Martin Luther King Day (Institute
holiday)

November 8
Midterm deficiency notices due
9 a.m.

January 21
Last day for adding courses and
removing conditions and
incompletes

November 17
Last day for dropping courses, exercising pass/fail option, and changing
sections

February 28
Midterm examination period

November 18December 3
Registration for second term, 201011
November 19
Last day for admission to candidacy
for the degrees of Master of
Science and Engineer
November 2526
Thanksgiving (Institute holiday)
December 3
Last day of classes
Last day to register for second term,
201011, without a $50 late fee
December 47
Study period
December 8*10
Final examinations, first term,
201011

February 14
Midterm deficiency notices due
9 a.m.
February 21
Presidents Day (Institute holiday)
February 23
Last day for dropping courses, exercising pass/fail option, and changing
sections
February 24March 9
Registration for third term, 201011
March 9
Last day of classes
Last day to register for third term,
201011, without a $50 late fee
March 1013
Study period

December 10
End of first term, 201011

March 14*16
Final examinations, second term,
201011

December 11January 2
Winter recess

March 16
End of second term, 201011

*First due date for final examinations

Academic Calendar

March 1727
Spring recess

March 23
Instructors final grade reports due
9 a.m.
THIRD TERM 2011
March 28
Beginning of instruction8 a.m.
March 29
Undergraduate Academic Standards
and Honors Committee9 a.m.
April 15
Last day for adding courses and
removing conditions and
incompletes
April 27May 3
Midterm examination period
May 9
Midterm deficiency notices due
9 a.m.
Last day for seniors to remove conditions and incompletes
May 13
Last day for scheduling examinations
for the degrees of Doctor of
Philosophy and Engineer
May 18
Last day for dropping courses, exercising pass/fail option, and changing
sections
May 19June 3
Registration for first term, 201112,
and for summer research
May 27
Last day of classesseniors and graduate students
Last day for presenting theses for the
degrees of Doctor of Philosophy
and Engineer
May 2831
Study period for seniors and graduate
students

June 47
Study period for undergraduates
June 6
Instructors final grade reports due for
seniors and graduate students
9 a.m.
June 8
Undergraduate Academic Standards
and Honors Committee9 a.m.
Curriculum Committee10 a.m.
Faculty meeting2 p.m.
June 8*10
Final examinations for undergraduates,
third term, 201011
June 10
Commencement10 a.m.
End of third term, 201011
June 15
Instructors final grade reports due for
undergraduates9 a.m.
June 22
Undergraduate Academic Standards
and Honors Committee9 a.m.
July 14
Independence Day (Institute holiday)
September 5
Labor Day (Institute holiday)
FIRST TERM 201112
September 1517
International student orientation
September 1825
New-student check-in and orientation
September 26
Beginning of instruction8 a.m.
September 27
Undergraduate Academic Standards
and Honors Committee9 a.m.

May 30
Memorial Day (Institute holiday)
June 1*3
Final examinations for seniors and
graduate students, third term,
200910
June 3
Last day of classesundergraduates
Last day to register for first term,
201112, without a $50 late fee
*First due date for final examinations

Academic Calendar

Campus Map

Campus Building Directory

Admissions Office (Undergraduate)............................................. 90
Alles Laboratory (Molecular Biology) ........................................... 28
Alumni House............................................................................... 97
Annenberg Center (Information Science & Tech.) ....................... 16
Arms Laboratory (Geol. & Planetary Sciences) ........................... 25
Athenaeum (Faculty Club) ........................................................... 61
Audio Visual Services Annex ....................................................... 13
Audit Services & Inst. Compliance Office .................................... 64
Avery House (Undergraduate & Graduate Residence)................ 99
Baxter Hall (Humanities & Social Sciences) ................................ 77
Beckman Auditorium.................................................................... 91
Beckman Institute/Beckman Institute Auditorium......................... 74
Beckman Laboratories (Behavioral Biology)................................ 76
Beckman Laboratory of Chemical Synthesis ......................... 29, 30
Blacker House (Undergraduate Residence) ................................ 60
Braun Athletic Center..................................................................... 3
Braun House (Graduate Residence)............................................ 88
Braun Laboratories (Cell Biology & Chemistry) ........................... 75
Bridge Annex (Physics)................................................................ 34
Bridge Laboratory, East & West (Physics)................................... 33
Broad Center (Biological Sciences) ............................................. 96
Brown Gym ................................................................................ 1, 2
Cahill Center (Astronomy & Astrophysics)................................... 17
California Parking Structure ....................................................... 126
Caltech Y ............................................................................... 56, 62
Campus Life................................................................................. 86
Campus Programs & Outreach........................................ 13, 68, 92
CAPSI House (Educational Outreach)......................................... 98
Catalina Graduate Housing................................................ 100120
Central Engineering Services ...................................................... 85
Central Plant .............................................................................. 4, 5
Center for Student Services................................................... 8687
Chandler Dining Hall & Convenience Store ................................. 52
Church Laboratory (Chemical Biology) ........................................ 29
Communications Office................................................................ 71
Credit Union ................................................................................. 63
Crellin Laboratory (Chemistry) ..................................................... 30
Dabney Hall (Humanities) ............................................................ 40
Dabney House (Undergraduate Residence)................................ 58
Downs Laboratory (Physics) ........................................................ 47
Einstein Papers.............................................................................. 7
Facilities ........................................................................... 66, 8284
Fairchild Library (Engineering & Applied Science)....................... 43
Financial Services Building .......................................................... 15
Firestone Laboratory (Applied Math. & Flight Sciences).............. 50
Fitzhugh House (USGS & SCEC)................................................ 65
Fleming House (Undergraduate Residence) ............................... 57
Gates Annex (Chemistry)............................................................. 26
Government and Community Relations Office............................... 9
Grounds Operations Office .......................................................... 82
Guggenheim Laboratory (Aeronautics & Applied Science).......... 45
Holliston Parking Structure .......................................................... 66

Human Resources.......................................................................... 84
Industrial Relations Center ............................................................. 90
Information Management Systems & Services (IMSS) .................. 10
International Scholar Services........................................................ 11
Investment Office ........................................................................... 42
Isotope Handling Laboratory .......................................................... 35
Jorgensen Laboratory (Computer Science) ................................... 80
Karman Laboratory (Fluid Mechanics & Jet Propulsion) ................ 46
Keck WingCenter for Student Services ........................................ 86
Keck Laboratories (Env. Sci. & Eng. & Materials Sci.) ................... 78
Keith Spalding Bldg. (Mail Services; Safety; Spitzer Sci. Ctr.) ......... 6
Kellogg Radiation Laboratory ......................................................... 38
Kerckhoff Laboratories (Biological Sciences)................................. 27
Lauritsen Laboratory (High Energy Physics).................................. 48
LIGO........................................................................... 32, 34, 69, 122
Lloyd House (Undergraduate Residence; Tech Express) .............. 54
Marks House (Undergraduate Residence)..................................... 89
Mead Laboratory (Undergraduate Chemistry)................................ 73
Millikan Library (Development)....................................................... 32
Moore Laboratory (Engineering & Applied Science) ...................... 93
Morrisroe Astroscience Laboratory (IPAC)..................................... 22
Mosher-Jorgensen WingCenter for Student Services .................. 87
Music House................................................................................... 70
North Mudd Laboratory (Geology & Geochemistry) ....................... 23
Noyes Laboratory (Chemical Physics) ........................................... 72
Page House (Undergraduate Residence) ...................................... 53
ParsonsGates Hall of Administration............................................ 31
PowellBooth Laboratory for Computational Science .................... 79
Prufrock House (Graduate Residence) ........................................ 121
Ramo Auditorium............................................................................. 77
Registrars Office............................................................................ 87
Ricketts House (Undergraduate Residence).................................. 59
Ruddock House (Undergraduate Residence) ................................ 55
Satellite Plant (of Central Plant Services) ...................................... 66
Schlinger Lab (Chemistry & Chem. Eng.) ...................................... 20
Security Office ................................................................................ 63
Security Station (24 hrs)................................................................. 66
Sloan Annex (Applied Physics & Physics) ..................................... 36
Sloan Laboratory (Mathematics & Physics) ................................... 37
South Mudd Laboratory (Geophysics & Planetary Sci.) ................. 21
Spalding Laboratory (Chemical Engineering)................................. 41
Steele House (UG Admissions)...................................................... 94
Steele Laboratory (Appl. Physics & Elect. Eng., ITS)..................... 81
Synchrotron Laboratory.................................................................. 49
Theater Arts.................................................................................... 67
Thomas Laboratory (Civil & Mech. Eng.) ....................................... 44
Transportation Building .................................................................. 82
U.S. Geological Survey (USGS)............................................... 39, 65
Watson Laboratories (Applied Physics) ......................................... 95
Wilson Parking Structure.............................................................. 123
Wilson Parking Structure, South .................................................. 124
Winnett Center (Bookstore, Wired & Red Door Caf) .................... 51
Young Health Center........................................................................ 8

Campus Directory

Section One

General
Information

General Information

INTRODUCTION
People who follow the news in science and engineering are often
astonished the first time they see Caltech. Unadorned signs mark
the borders of a campus that is just half a mile across. Inside, gardens, fountains, and caf patios fill sunny spaces between historic
buildings. The small, park-like campus comes as a surprise, given
Caltechs record of world-changing discoveries and inventions and
the luminaries educated here.
Behind the gracious old faadesand several striking contemporary onesare some of the worlds most advanced laboratories.
In addition, faculty and students develop and use facilities around
the world and in space. They founded NASAs Jet Propulsion
Laboratory (JPL), which is administered by Caltech and is an integral partner in research. JPL enables the nation to explore space
for the benefit of humankind by developing robotic space missions.
Caltech also manages major collaborations such as a new
Department of Energy research hub to work toward artificial photosynthesis and an observatory called LIGO that involves some
500 scientists worldwide in the effort to directly detect ripples in
spacetime. Faculty and students design instruments and experiments
on the worlds particle accelerators, seismic networks, pollutionresearch aircraft, deep-ocean submersibles, and ground- and spacebased observatories studying Earth, the planets, and the cosmos.
Caltech students and faculty pioneered the fields of molecular
biology, geochemistry, aerospace, earthquake engineering, and
astrophysics, to name just a few. They developed the principles of
jet flight, key tenets of seismology (including the Richter scale),
methodologies for integrated circuit design, empirical and laboratory approaches for economics and political science, and technology to view and study chemical reactions at the atomic level as they
occur. They discovered fundamental building blocks of matter, the
nature of chemical bonds, the specializations of the left and right
brain hemispheres, the role played by chromosomes in heredity,
the age of Earth, the origin of elements by reactions in stars, and
the geometry of the universe.
The effect of Caltechs dedication to fundamental research
combined with enabling technologies is evident in the more than
2,000 U.S. patents Caltech has obtained since 1980, outstripping
other universities on a per capita basis. Forty to fifty Caltech
inventions are commercially licensed each year. Since 1995, faculty
and students have created more than 120 start-up companies. And
these numbersand the contributions to science and society mentioned abovedo not touch on the accomplishments of alumni
who have left Caltech for diverse careers around the world.
Caltechs history of achievement stems from the caliber of people who chose to come here and from their ready access to other
superb scholars and to cutting-edge facilities. When undergraduates arrive, they have the opportunitysometimes for the first
Introduction

10

time in their livesto discuss with passion exciting, challenging

problems in science, math, and engineering with people who can
respond in kind. Many work side-by-side with faculty in the labs
before their first year is out. Together, faculty and students stretch
themselves intellectually, moving ahead fast and sometimes leaving
whole new fields in their wakes.
The following pages offer an overview of Caltechs aims and
programs and a brief history of how it evolved into one of the
worlds major research institutions. They list Nobel Prizes that faculty and alumni have received, introduce the campus and its facilities, and discuss educational opportunities and student life.
Mission, Educational Objectives, and Structure
The mission of the California Institute of Technology (Caltech) is
to expand human knowledge and benefit society through research integrated with education. We investigate the most challenging, fundamental
problems in science and technology in a singularly collegial, interdisciplinary atmosphere, while educating outstanding students to become creative
members of society.
Caltech provides an outstanding education that prepares students to become world leaders in science, engineering, academia,
business, and public service. The Institute aims for these educational outcomes:
Graduates can analyze, synthesize, and communicate ideas.
Graduates demonstrate integrity, personal and professional
responsibility, and respect for others.
Bachelor of Science graduates can identify, analyze, and
solve challenging problems within and across science and
engineering disciplines.
Bachelor of Science graduates can apply their analytic skills
to other areas of knowledge and understand issues important
in our society.
Master of Science graduates can apply advanced knowledge
in a specialized area in preparation for their professional
careers.
Doctor of Philosophy graduates can independently identify,
analyze, and solve fundamental research problems with
breadth and depth.
Caltech is an independent, privately supported university. It has six
academic divisions: Biology; Chemistry and Chemical Engineering,
Engineering and Applied Science; Geological and Planetary
Sciences; the Humanities and Social Sciences; and Physics,
Mathematics and Astronomy.
Undergraduate Program
Undergraduates earn Bachelor of Science (B.S.) degrees, with
options (majors) available in applied and computational mathematics; applied physics; astrophysics; bioengineering; biology; business

General Information

economics and management; chemical engineering; chemistry;

computer science; economics; electrical engineering; engineering
and applied science; English; geobiology; geochemistry; geology;
geophysics; history; history and philosophy of science; independent
studies; mathematics; mechanical engineering; philosophy; physics;
planetary science; and political science.
A Caltech education includes not just the depth of an option, but
also breadth in the basic sciences, humanities, and social science.
Required courses in biology, chemistry, humanities, mathematics,
physics, and the social sciences expose students to diverse intellectual
pursuits and help prepare students for the interdisciplinary nature of
contemporary research in science and technology. Caltech offers
more than 275 humanities and social science courses, and most students take more than the number required. Students also take three
or more terms of physical education, and 80 percent participate in an
organized intramural/recreational competition each yearone of the
highest participation rates in the country. Thirty percent participate
in intercollegiate athletics.
Most students select an option near the end of their first year,
begin to specialize during their second year, and concentrate on
their chosen fields in the third and fourth years. Some students
participate in overseas programs at other major research universities in their junior or senior years. Throughout their education,
students have opportunities to do hands-on research, and they
often design their own faculty-mentored summer research projects
(see SURF details on page 28). Premedical students may gain clinical experience via joint programs with four renowned hospitals.
Caltech offers students many academic options and opportunities for personal growth, and also offers unequaled training in rigorous thinking, scientific methodology, and creative problem solving. That training, the company of like minds, and Caltechs collaborative ethic prepare students to take leadership roles in
research, academia, and industry, and to find lifelong satisfaction in
their work and friendships.
To learn more, see www.admissions.caltech.edu.
Graduate Program
Caltech offers graduate students rigorous research training and a
strong, flexible curriculum of course work. Graduate students make
up more than half of the student body.
Graduate options include aerospace; applied and computational
mathematics; applied mechanics; applied physics; astrophysics;
behavioral and social neuroscience; biochemistry and molecular
biophysics; bioengineering; biology; chemical engineering; chemistry; civil engineering; computation and neural systems; computer
science; control and dynamical systems; electrical engineering;
environmental science and engineering; geological and planetary
sciences (geobiology; geochemistry; geology; geophysics; planetary
science; and environmental science and engineering, listed above);

Introduction

11

12

materials science; mathematics; mechanical engineering; physics;

and social science.
Jointly engaged with faculty to complete innovative research at
the forefront of each of these fields, graduate students sustain
Caltechs atmosphere of intellectual curiosity and creative activity.
Caltech offers courses leading to the degree of Master of
Science (M.S.), which normally involves one year of graduate
work; the degree of Engineer in certain fields, with a minimum of
two years; and the degree of Doctor of Philosophy (Ph.D.).
To learn more, see www.gradoffice.caltech.edu.
Postdoctoral and Senior Postdoctoral Scholars*
More than 500 early-career scientists and engineers conduct
research at Caltech as postdoctoral scholars. In addition, the Jet
Propulsion Laboratory (administered by Caltech) hosts postdoctoral scholars whose studies cover many aspects of earth, planetary,
astrophysical, and technology research. All scholars work under the
supervision of professorial faculty members or JPL researchers.
* Information for newly appointed postdoctoral scholars is available through Human Resources (www.hr.caltech.edu/postdoc) and
the Caltech Postdoctoral Association (www.cpa.caltech.edu). Upon
arrival, scholars should call a postdoctoral-scholar specialist in HR
(626-395-6586) to make appointments to activate their positions.
In virtually all circumstances, postdoctoral scholars must have
earned a doctorate from a duly accredited institution.
HISTORICAL SKETCH
The California Institute of Technology developed from a local
school of arts and crafts founded in Pasadena in 1891 by the
Honorable Amos G. Throop. Initially named Throop University,
it was later renamed Throop Polytechnic Institute. Known as the
California Institute of Technology since 1920, it has long enjoyed
the support of the citizens of Pasadena. As early as 1908, the Board
of Trustees had as members Dr. Norman Bridge, Arthur H.
Fleming, Henry M. Robinson, J. A. Culbertson, C. W. Gates, and
Dr. George Ellery Hale. These men dedicated their time, their
minds, and their fortunes to transform a modest vocational school
into a university capable of attracting to its faculty some of the
worlds most eminent scholars and scientists.
George Ellery Hale, astronomer and first director of the Mount
Wilson Observatory, foresaw the development in Pasadena of a
distinguished institution of engineering and scientific research.
Hale knew that modern, well-equipped laboratories were essential
to such an institutions development, but he stressed to his fellow
trustees that the focus was on men, not machines. We must not
forget, he wrote in 1907, that the greatest engineer is not the

General Information

man who is trained merely to understand machines and apply

formulas, but is the man who, while knowing these things, has not
failed to develop his breadth of view and the highest qualities of his
imagination. No creative work, whether in engineering or in art, in
literature or in science, has been the work of a man devoid of the
imaginative faculty.
The realization of these aims meant specializing, so the trustees
decided in 1907 to discontinue the elementary school, the business
school, the teacher-training program, and the high school, leaving
only a college of science and technology that conferred Bachelor of
Science degrees in electrical, mechanical, and civil engineering.
In 1910 Throop Polytechnic Institute moved from its crowded
quarters in the center of Pasadena to a new campus of 22 acres on
the southeastern edge of town, the gift of Arthur H. Fleming and
his daughter Marjorie. The president, Dr. James A. B. Scherer, and
his faculty of 16 members opened the doors to 31 students that
September. When, on March 21, 1911, Theodore Roosevelt delivered an address at Throop Institute, he declared, I want to see
institutions like Throop turn out perhaps ninety-nine of every
hundred students as men who are to do given pieces of industrial
work better than any one else can do them; I want to see those
men do the kind of work that is now being done on the Panama
Canal and on the great irrigation projects in the interior of this
countryand the one-hundredth man I want to see with the kind
of cultural scientific training that will make him and his fellows the
matrix out of which you can occasionally develop a man like your
great astronomer, George Ellery Hale.
It would have surprised Roosevelt to know that within a decade
the little Institute, known from 1913 as Throop College of
Technology, would have again set its sights higher, leaving to others
the training of more efficient technicians and concentrating its own
efforts on Roosevelts hundredth man. On November 29, 1921,
the trustees declared it to be the express policy of the Institute to
pursue scientific research of the greatest importance and at the
same time to continue to conduct thorough courses in engineering
and pure science, basing the work of these courses on exceptionally
strong instruction in the fundamental sciences of mathematics,
physics, and chemistry; broadening and enriching the curriculum by
a liberal amount of instruction in such subjects as English, history,
and economics; and vitalizing all the work of the Institute by the
infusion in generous measure of the spirit of research.
Three men were responsible for the change in the Institute.
George Ellery Hale still held to his dream. Arthur Amos Noyes,
professor of physical chemistry and former acting president of the
Massachusetts Institute of Technology, served part of each year
from 1913 to 1919 as professor of general chemistry and as
research associate; then, in 1919, he resigned from MIT to devote
himself full-time to Throop as director of chemical research. In a
similar way Robert Andrews Millikan began, in 191617, to spend

Historical Sketch

13

14

a few months a year at Throop as director of physical research.

Shortly after the school was renamed in 1920, Scherer resigned as
president. In 1921, when Dr. Norman Bridge agreed to provide a
research laboratory in physics, Millikan resigned from the
University of Chicago and became administrative head of the
Institute as well as director of the Norman Bridge Laboratory.
The great period of the Institutes life began, then, under the
guidance of three men of visionHale, Noyes, and Millikan. They
were distinguished research scientists who soon attracted graduate
students. In 1920 the enrollment was nine graduate students and
359 undergraduates with a faculty of 60; a decade later there were
138 graduate students, 510 undergraduates, and a faculty of 180. At
the present time there are over 900 undergraduates, 1,100 graduate
students, and some 300 professorial and 700 postdoctoral fellows.
The Institute also attracted financial support from individuals,
corporations, and foundations. In January 1920 the endowment
had reached half a million dollars. In February of that year, it was
announced that $200,000 had been secured for research in chemistry and a like amount for research in physics. Other gifts followed
from trustees and friends who could now feel pride in the Institute
as well as hope for its future. The Southern California Edison
Company provided a high-voltage laboratory with the million-volt
Sorensen transformer. Philanthropic foundations bearing the
names of Carnegie, Rockefeller, and Guggenheim came forth with
needed help when new departments or projects were organized.
In 1923 Millikan received the Nobel Prize in Physics. He had
attracted to the Institute such men as Charles Galton Darwin, Paul
Epstein, and Richard C. Tolman. In 1924 the Ph.D. degree was
awarded to nine candidates.
It was inevitable that the Institute would expand upon its fields;
it could not continue to be merely a research and instructional
center in physics, chemistry, and engineering. But the trustees
pursued a cautious and conservative policy, not undertaking to add
new departments except when the work done in them would be at
the same high level as that in physics and chemistry. In 1925 a gift
of $25,000 from the Carnegie Corporation of New York made
possible the opening of a department of instruction and research
in geology. A seismological laboratory was constructed, and
Professors John P. Buwalda and Chester Stock came from the
University of California to lead the work in the new division.
That same year, William Bennett Munro, chairman of the
division of history, government, and economics at Harvard, joined
the Institute faculty. Offerings in economics, history, and literature
were added to the core of undergraduate instruction.
In 1928 Caltech began its program of research and instruction
in biology. Thomas Hunt Morgan became the first chairman of the
new Division of Biology and a member of Caltechs Executive
Council. Under Morgans direction, the work in biology developed
rapidly, especially in genetics and biochemistry. Morgan received
the Nobel Prize in 1933.
General Information

The Guggenheim Graduate School of Aeronautics was founded

at Caltech in the summer of 1926, and a laboratory was built in
1929, but courses in theoretical aerodynamics had been given at
the Institute for many years by professors Harry Bateman and P. S.
Epstein. As early as 1917, the Throop Institute had constructed a
wind tunnel in which, the catalog proudly boasted, constant velocities
of 4 to 40 miles an hour could be maintained, the controls being
very sensitive. The new program, under the leadership of
Theodore von Krmn, included graduate study and research at
the level of the other scientific work at the Institute, and what is
now known as GALCIT (Graduate Aerospace Laboratories at the
California Institute of Technology) was soon a world-famous
research center in aeronautics.
In 1928, George Ellery Hale and his associates at the Mount
Wilson Observatory developed a proposal for a 200-inch telescope
and attracted the interest of the General Education Board in providing
$6 million for its construction. The Board proposed that the gift be
made, and Caltech agreed to be responsible for the construction and
operation. The huge instrument was erected on Palomar Mountain
and began operation in 1948. Teaching and research in astronomy and
astrophysics thus became a part of the Caltech program.
From the summer of 1940 until 1945, Caltech devoted an
increasingly large part of its personnel and facilities to furthering the
national defense and war effort. Caltechs work during this period
fell mainly into two categories: special instructional programs and
weapons research. The research and development work was carried
out, for the most part, under nonprofit contracts with the Office of
Scientific Research and Development. Rockets, jet propulsion, and
antisubmarine warfare were the chief fields of endeavor. The Jet
Propulsion Laboratory in the upper Arroyo Seco continues, under
Institute management, to conduct a large-scale program of research
for the National Aeronautics and Space Administration and other
agencies in the science and technology of robotic space exploration.
In the 1950s, in response to the growing technological component and complexity of societal problems, the Institute began to
expand the fields in which it had substantial expertise. In the late
1960s and early 1970s, the Institute added to its faculty several
economists and political scientists who initiated theoretical and
applied studies of interdisciplinary issues. A graduate program in
social sciences was added in 1972. Caltech students could now
engage their talents in the development of the basic scientific
aspects of economics and political science, and begin to use the
principles from these sciences together with those from the physical sciences to formulate and address public policies.
In 1945 Robert A. Millikan retired as chairman of the Executive
Council, but he served as vice chairman of the Board of Trustees
until his death in 1953. Dr. Lee A. DuBridge became president of
Caltech on September 1, 1946. Formerly chairman of the physics
department and dean of the faculty at the University of Rochester,

Historical Sketch

15

16

he came to the Institute after working five years as wartime director of the MIT Radiation Laboratoryand remained for 22 years.
DuBridge was also committed to the concept of a small, select
institution offering excellence in education. Facts and figures are
only part of the story, but the statistical record of change during
the DuBridge administration indicates how he held to that concept. The 30-acre campus of 1946 grew to 80 acres; the $17 million endowment grew to more than $100 million; the faculty of
260 became 550; the number of campus buildings increased from
20 to 64; and the budget went from something less than $8 million
to $30 million. But enrollment remained relatively constant. In
1946 the total number of students, graduate and undergraduate,
was 1,391. In 1968, the year DuBridge left, it was 1,492.
Dr. Harold Brown came to Caltech as president in 1969. A
physicist who had received his Ph.D. from Columbia in 1949, he
had succeeded Dr. Edward Teller as director of the University of
Californias Lawrence Radiation Laboratory in Livermore in 1960.
President Lyndon Johnson named Brown Secretary of the Air
Force in 1965, and he came to the Institute from that office. Six
new campus buildings were dedicated under Browns administration, and a major development campaign for $130 million was
under way when he resigned in 1977 to become Secretary of
Defense under President Carter.
Dr. Marvin L. Goldberger was appointed president in 1978. He
had received his B.S. at the Carnegie Institute of Technology (now
Carnegie Mellon University) and his Ph.D. at the University of
Chicago. He came to Caltech from Princeton University, where he
was the Joseph Henry Professor of Physics. Among the major
accomplishments of the Goldberger administration were the addition of three new laboratories; the acquisition of a $70 million
grant for construction of the W. M. Keck Observatory to house
the worlds most powerful optical telescope; and a $50 million
pledge for the establishment of the Beckman Institute. Goldberger
resigned in 1987 to become director of the Institute for Advanced
Study in Princeton, New Jersey.
In fall 1987 Dr. Thomas E. Everhart became president, coming
to Caltech from his position as chancellor at the University of
Illinois at Urbana-Champaign. Everhart graduated magna cum
laude with an A.B. in physics from Harvard, received his M.Sc. in
applied physics from UCLA, and earned a Ph.D. in engineering
from Cambridge University. He had gained international recognition for his work in the development of electron microscopy, and
he had also done research on electron beams as applied to the
analysis and fabrication of semiconductors. Everhart retired as
president in October 1997, but he retains a faculty position as
emeritus professor of electrical engineering and applied physics.
During his tenure in office, he oversaw construction of the Keck
Observatory in Hawaii, the Moore Laboratory of Engineering,
Avery House, the Braun Athletic Center, the Sherman Fairchild
Library, and the Beckman Institute, and he directed the successful
General Information

completion of a $350 million campaign for Caltech.

In October 1997, Dr. David Baltimore assumed the presidency
of the Institute. One of the worlds leading biologists, he received
the 1975 Nobel Prize for his work in virology. Previously the Ivan
R. Cottrell Professor of Molecular Biology and Immunology at
MIT and founding director of its Whitehead Institute for Biomedical Research, Baltimore had also served as president of
Rockefeller University, where he earned his doctorate in 1964.
He played a pivotal role in creating a consensus on national science
policy regarding recombinant DNA research, served as chairman
of the National Institute of Health AIDS Vaccine Research
Committee, and in 1999 was awarded the National Medal of
Science by President Clinton.
In late 2006, Baltimore stepped down from the Caltech presidency, returning to his research as the Institutes Millikan Professor
of Biology. During his administration, he successfully completed a
$100 million campaign to support biological research, resulting in
the construction of the Broad Center for the Biological Sciences.
He also launched a $1.4 billion comprehensive campaign. By the
time he returned to his lab, the campaign was near completion:
three new laboratories had been funded, and the Thirty-Meter
Telescope had passed its conceptual design review phase.
Dr. Jean-Lou Chameau became Caltechs eighth president on
September 1, 2006. The former provost and vice president for academic affairs at the Georgia Institute of Technology, he was also a
Georgia Research Alliance Eminent Scholar and the Hightower
Professor, and he earlier served as dean of the Georgia Tech College
of Engineering, the largest in the country. Chameau had focused on
making Georgia Tech a worldwide model for interdisciplinary education and research, innovation, and entrepreneurship, and for the
promotion of these activities as a catalyst for economic development.
He received his undergraduate education in France and his Ph.D. in
civil engineering from Stanford University. His particular interests
include sustainable technology, environmental geotechnology, soil
dynamics, earthquake engineering, and liquefaction of soils.
Since coming to the Institute, Chameau has overseen the
conclusion of the largest fund-raising campaign in Caltechs history
and the construction of the Cahill Center for Astronomy and
Astrophysics, the Annenberg Center for Information Science and
Technology, and the Schlinger Laboratory for Chemistry and
Chemical Engineering. Known for his commitment to developing
multidisciplinary talent in faculty and students, Chameau has
placed strong emphasis on improving the educational experience at
Caltech, on increasing diversity, and on fostering research, entrepreneurial, and international opportunities for faculty and students.
As Caltech has developed in effectiveness and prestige, it has
attracted a steady flow of gifts for buildings, endowment, and
current operations, in particular during the last campaign. In
addition, substantial grants and contracts from the federal government and private sources support many research activities.
Historical Sketch

17

Caltech has more than 22,000 living alumni all over the world,
many of them eminent in their fields of engineering, science, law,
medicine, academe, and entrepreneurship.
18

Caltech Nobel Laureates

Robert A. Millikan
Thomas Hunt Morgan
Carl D. Anderson, B.S. 27, Ph.D. 30
Edwin M. McMillan, B.S. 28, M.S. 29
Linus Pauling, Ph.D. 25
William Shockley, B.S. 32
George W. Beadle
Donald A. Glaser, Ph.D. 50
Rudolf Mssbauer
Charles H. Townes, Ph.D. 39
Richard Feynman
Murray Gell-Mann
Max Delbrck
* David Baltimore
Renato Dulbecco
Leo James Rainwater, B.S. 39
Howard M. Temin, Ph.D. 60
William N. Lipscomb, Ph.D. 46
Robert W. Wilson, Ph.D. 62
Roger W. Sperry
Kenneth G. Wilson, Ph.D. 61
William A. Fowler, Ph.D. 36
* Rudolph A. Marcus
Edward B. Lewis, Ph.D. 42
Douglas D. Osheroff, B.S. 67
Robert C. Merton, M.S. 67
* Ahmed H. Zewail
Leland H. Hartwell, B.S. 61
Vernon L. Smith, B.S. 49
* Hugh David Politzer
* Robert H. Grubbs
* In residence

General Information

Physics
Physiology
or Medicine
Physics
Chemistry
Chemistry
Peace Prize
Physics
Physiology
or Medicine
Physics
Physics
Physics
Physics
Physics
Physiology
or Medicine
Physiology
or Medicine
Physiology
or Medicine
Physics
Physiology
or Medicine
Chemistry
Physics
Physiology
or Medicine
Physics
Physics
Chemistry
Physiology
or Medicine
Physics
Economics
Chemistry
Physiology
or Medicine
Economics
Physics
Chemistry

1923
1933
1936
1951
1954
1962
1956
1958
1960
1961
1964
1965
1969
1969
1975
1975
1975
1975
1976
1978
1981
1982
1983
1992
1995
1996
1997
1999
2001
2002
2004
2005

BUILDINGS AND FACILITIES

On-Campus Buildings
19

Gates and Crellin Laboratories of Chemistry: first unit, 1917;

second unit, 1927; third unit, 1937. The first two units were the
gifts of Messrs. C. W. Gates and P. G. Gates of Pasadena; the third
unit was the gift of Mr. and Mrs. E. W. Crellin of Pasadena. Gates
(first unit), which was retired after suffering extensive damage in
the 1971 earthquake, was rebuilt in 1983 as the Parsons-Gates Hall
of Administration. The Arnold and Mabel Beckman Laboratory
of Chemical Synthesis, 1986, occupying portions of Crellin
Laboratory (as well as portions of Church Laboratory for
Chemical Biology), was built with funds provided by the Arnold
and Mabel Beckman Foundation.
Norman Bridge Laboratory of Physics: first unit, 1922; second
unit, 1924; third unit, 1925. The gift of Dr. Norman Bridge of Los
Angeles, president of the Board of Trustees, 18961917.
High Voltage Research Laboratory, 1923. Built with funds provided by the Southern California Edison Company. Retired in
1959 with basic research completed and rebuilt in 1960 as the
Alfred P. Sloan Laboratory of Mathematics and Physics.
Dabney Hall, 1928. The gift of Mr. and Mrs. Joseph B. Dabney of
Los Angeles. A major renovation completed in 2004 was made possible by gifts from alumnus Capt. Tyler Matthew; alumnus Roger
Davisson and his wife, Marjorie; alumnus William F. Horton and his
wife, Glenna Berry-Horton; a distribution from the estate of alumnus George F. Smith; and a collective gift by the Caltech Associates.
William G. Kerckhoff Laboratories of the Biological Sciences:
first unit, 1928; second unit, 1939; annex, 1948. The gift of Mr. and
Mrs. William G. Kerckhoff of Los Angeles. He was a trustee in 1928.
Guggenheim Aeronautical Laboratory, 1929. Built with funds
provided by the Daniel Guggenheim Fund for the Promotion of
Aeronautics. A major renovation completed in 2008 was made possible by many private supporters, including Distinguished Alumnus
Joe Charyk and his wife, Edwina; Distinguished Alumnus Allen
Puckett and his wife, Marilyn; and alumnus Gordon Cann,
through his estate.
Athenaeum, 1930. A clubhouse for the teaching, research, and
administrative staffs of the Institute and the Huntington Library,
Art Collections, and Botanical Gardens, for the Associates of the

Buildings and Facilities

California Institute of Technology, and for others who have

demonstrated their interest in advancing the objectives of the
Institute. The gift of Mr. and Mrs. Allan C. Balch of Los Angeles.
He was president of the Board of Trustees, 193343.
20

Undergraduate Houses, 1931. With the support of many individuals, including alumni Alexander Lidow, Richard Beatty, and Ray
Sidney, these houses were restored. They reopened in 2007.
Blacker House. The gift of Mr. and Mrs. R. R. Blacker of
Pasadena.
Dabney House. The gift of Mr. and Mrs. Joseph B. Dabney of
Los Angeles.
Fleming House. Built with funds provided by some 20 donors
and named in honor of Mr. Arthur H. Fleming of Pasadena,
president of the Board of Trustees, 191733.
Ricketts House. The gift of Dr. and Mrs. Louis D. Ricketts of
Pasadena.
W. K. Kellogg Radiation Laboratory, 1932. The gift of
Mr. W. K. Kellogg of Battle Creek, Michigan.
Henry M. Robinson Laboratory of Astrophysics, 1932. Built
with funds provided by the International Education Board and the
General Education Board, and named in honor of Mr. Henry M.
Robinson of Pasadena, member of the Board of Trustees, 190737,
and of the Executive Council of the Institute. Renovations began
in 2010 to transform the building into the Linde + Robinson
Laboratory for Global Environmental Science, renamed in
honor of a contribution by trustee and alumnus Ronald Linde and
his wife, Maxine.
Charles Arms Laboratory of the Geological Sciences, 1938.
The gift of Mr. and Mrs. Henry M. Robinson of Pasadena, in
memory of Mrs. Robinsons father, Mr. Charles Arms.
Seeley W. Mudd Laboratory of the Geological Sciences, 1938.
The gift of Mrs. Seeley W. Mudd of Los Angeles, in memory of
her husband.
Franklin Thomas Laboratory of Engineering: first unit, 1945;
second unit, 1950. Funds for the first unit were allocated from the
Eudora Hull Spalding Trust with the approval of Mr. Keith
Spalding, trustee. Named in honor of Dean Franklin Thomas,
professor of civil engineering and first chair of the Division of
Engineering, 192445.
Alumni Swimming Pool, 1954. Provided by the Alumni Fund
through contributions from the alumni of the Institute.

General Information

Scott Brown Gymnasium, 1954. Built with funds provided by the

trust established by Mr. Scott Brown of Pasadena and Chicago,
who was a member and director of the Caltech Associates.
Norman W. Church Laboratory for Chemical Biology, 1955.
Built with funds provided through a gift and bequest by Mr.
Norman W. Church of Los Angeles, who was a member of the
Caltech Associates.
Eudora Hull Spalding Laboratory of Engineering, 1957. Built
with funds allocated from the Eudora Hull Spalding Trust.
Archibald Young Health Center, 1957. The gift of Mrs.
Archibald Young of Pasadena, in memory of her husband, who was
a life member and officer of the Caltech Associates, 192656.
Physical Plant Building and Shops, 1959. Built with funds
provided by many donors.
Gordon A. Alles Laboratory for Molecular Biology, 1960. Built
with the gift of Dr. Gordon A. Alles of Pasadena, an Institute
research associate in biology, an alumnus, and a member of the
Caltech Associates, 194763; and with funds provided by the
National Institutes of Health, Health Research Facilities Branch.
Undergraduate Houses, 1960. Built with funds provided by the
Lloyd Foundation and other donors.
Lloyd House. Named in memory of Mr. Ralph B. Lloyd and his
wife, Mrs. Lulu Hull Lloyd, of Beverly Hills. He was a member
of the Board of Trustees, 193952.
Page House. Named in honor of Mr. James R. Page of Los
Angeles, a member of the Board of Trustees, 193162, and
chairman, 194354.
Ruddock House. Named in honor of Mr. Albert B. Ruddock of
Santa Barbara, a member of the Board of Trustees, 193871,
and chairman, 195461.
Harry Chandler Dining Hall, 1960. The gift of the Chandler
family, the Pfaffinger Foundation, and the Times Mirror Company
of Los Angeles.
W. M. Keck Engineering Laboratories, 1960. The gift of the
W. M. Keck Foundation and the Superior Oil Company of Los
Angeles.
Alfred P. Sloan Laboratory of Mathematics and Physics, 1960.
Formerly the High Voltage Research Laboratory, 1923. Rebuilt in
1960 with funds provided by the Alfred P. Sloan Foundation.

Buildings and Facilities

21

Graduate Houses, 1961:

Braun House. Built with funds provided by the trustees of the
Carl F Braun Trust Estate, in his memory.
Marks House. The gift of Dr. David X. Marks of Los Angeles.
22

Karman Laboratory of Fluid Mechanics and Jet Propulsion,

1961. The gift of the Aerojet-General Corporation, named in
honor of Dr. Theodore von Krmn, professor of aeronautics at
the Institute, 192949.
Firestone Flight Sciences Laboratory, 1962. The gift of the
Firestone Tire and Rubber Company.
Winnett Student Center, 1962. The gift of Mr. P. G. Winnett of
Los Angeles, a member of the Board of Trustees, 193968. Winnett
houses the Caltech Store, the Red Door Caf, and Caltech Wired.
Beckman Auditorium, 1964. The gift of Dr. Arnold O. and
Mabel Beckman of Corona del Mar. The late Dr. Beckman, an
alumnus, was an Institute faculty member from 1928 to 1939. He
joined the Board of Trustees in 1953, was chairman, 196474, and
was chairman emeritus until his death in 2004.
Harry G. Steele Laboratory of Electrical Sciences, 1965. Built
with funds provided by the Harry G. Steele Foundation and the
National Science Foundation.
Central Engineering Services Building, 1966.
Robert A. Millikan Memorial Library, 1967. Built with a gift
from Dr. Seeley G. Mudd and named in honor of Dr. Robert
Andrews Millikan, director of the Bridge Laboratory of Physics
and chair of the Executive Council of the Institute, 192145.
Arthur Amos Noyes Laboratory of Chemical Physics, 1967.
Built with funds provided by the National Science Foundation and
Mr. Chester F. Carlson, an alumnus, and named in honor of Dr.
Arthur Amos Noyes, director of the Gates and Crellin
Laboratories of Chemistry and chair of the Division of Chemistry
and Chemical Engineering, 191936.
Central Plant, 1967.
George W. Downs Laboratory of Physics and Charles C.
Lauritsen Laboratory of High Energy Physics, 1969. The
Downs wing was built with funds provided by Mr. George W.
Downs and the National Science Foundation. The Lauritsen wing
was built with Atomic Energy Commission funds and named in
honor of Dr. Charles C. Lauritsen, a member of the Institute
faculty, 193068.

General Information

Keith Spalding Building of Business Services, 1969. Named in

honor of Mr. Keith Spalding, Caltech trustee, 194261.
Donald E. Baxter, M.D., Hall of the Humanities and Social
Sciences, 1971. Built with funds provided by Mrs. Delia B. Baxter
of Atherton and named in honor of her late husband, Donald E.
Baxter, M.D. Additional funds were given by the U.S. Department
of Health, Education and Welfare. Dr. and Mrs. Simon Ramo
provided funds for the completion of Ramo Auditorium within
the hall. Dr. Ramo is a life member of the Board of Trustees.
The Earle M. Jorgensen Laboratory of Information Science,
1971. Built with the gift of Mr. and Mrs. Earle M. Jorgensen, with
additional funds provided by the Booth-Ferris Foundation and
other private donors. Mr. Jorgensen was a member of the Board of
Trustees, 195799.
The Mabel and Arnold Beckman Laboratories of Behavioral
Biology, 1974. The gift of Dr. Arnold O. and Mabel Beckman of
Corona del Mar. The late Dr. Beckman was chairman emeritus of
the Board of Trustees.
Seeley G. Mudd Building of Geophysics and Planetary
Science, 1974. Built with funds provided by Dr. Seeley G. Mudd,
Mrs. Roland Lindhurst, Mr. and Mrs. Ross McCollum, Mr. and
Mrs. Henry Salvatori, and the U.S. Department of Health,
Education and Welfare.
Clifford S. and Ruth A. Mead Memorial Undergraduate
Chemistry Laboratory, 1981. Built with funds allocated from the
Clifford S. and Ruth A. Mead Memorial Building Fund.
Thomas J. Watson, Sr., Laboratories of Applied Physics, 1982.
Built with funds provided by the Watson family and other private
donors. Thomas J. Watson, Jr., was a member of the Board of
Trustees, 196192.
Braun Laboratories in Memory of Carl F and Winifred H
Braun, 1982. Built with funds provided by the Braun family, other
private donors, and the National Cancer Institute. Various members
of the Braun family have served on Caltechs Board of Trustees.
Parsons-Gates Hall of Administration, 1983. Formerly Gates
Laboratory of Chemistry, 1917. Rebuilt in 1983 with funds provided by the Ralph M. Parsons Foundation and the James Irvine
Foundation.
Athletic Facility, 1984. Built with funds provided by the Carl F
Braun Trust and the Braun Foundation.

Buildings and Facilities

23

Catalina Graduate Apartment Complex, 1984, 1986, 1988. Four

of the buildings have been named for Max and Ruth Alcorn, Frank
and Elizabeth Gilloon, Fred and Marvis Maloney, and William C.
and Verna Rockefeller, honoring their generosity to Caltech.
24

Infrared Processing and Analysis Center, 1986. Renamed the

David W. Morrisroe Astroscience Laboratory, 1995. Secondfloor addition built with funds provided by the late Dr. Arnold O.
Beckman, chairman emeritus of the Board of Trustees.
Wilson Avenue North Parking Structure, 1987.
Beckman Institute, 1989. Built with funds provided by the
Arnold and Mabel Beckman Foundation and other private donors.
The late Dr. Arnold O. Beckman was chairman emeritus of the
Board of Trustees.
Braun Athletic Center, 1992. Built with funds provided by the
Braun family.
Holliston Avenue Parking Structure/Satellite Utility Plant, 1993.
The Gordon and Betty Moore Laboratory of Engineering,
1996. Built with funds provided by Dr. and Mrs. Gordon Moore.
Dr. Moore is an alumnus and chairman emeritus of the Board of
Trustees. Betty Moore is an honorary life trustee.
Avery House, 1996. Built with funds provided by Mr. R. Stanton
Avery, who was a member of the Board of Trustees from 1971 until
his death in 1997. He had been chairman, 197485, and chairman
emeritus since 1986.
Sherman Fairchild Library of Engineering and Applied
Science, 1997. Built with funds provided by the Sherman Fairchild
Foundation.
Space Infrared Telescope Facility Science Center, 1998.
Renamed the Spitzer Space Telescope Science Center, 2003.
Located within the Keith Spalding Building of Business
Services.
Powell-Booth Laboratory for Computational Science, 1999.
Formerly the Willis H. Booth Computing Center, 1963, constructed with support from the Booth-Ferris Foundation and the
National Science Foundation. Renovated in 1999 with grants from
the Charles Lee Powell Foundation, the National Science
Foundation, and the Booth-Ferris Foundation.
Wilson Avenue South Parking Structure, 1999.

General Information

Center for Student Services, the Keck Wing, 2000. Originally

the Keck Graduate House, built with funds provided by the
William M. Keck, Jr., Foundation, 1961. Center for Student
Services, the Mosher-Jorgensen Wing, 2002. Originally the
Mosher-Jorgensen Graduate House, built with funds provided by
Mr. Samuel B. Mosher and Mr. Earle M. Jorgensen, both of Los
Angeles. Mr. Jorgensen was a member of the Board of Trustees,
195799.
Financial Services Building, 2000.
Broad Center for the Biological Sciences, 2002. Made possible
by a lead gift from Eli and Edythe Broad. Eli Broad is a member of
the Board of Trustees.
California Parking Structure, 2005.
Cahill Center for Astronomy and Astrophysics, 2009. Made
possible by a lead gift from Charles Cahill in honor of his late wife,
Anko Dr Cahill, and by gifts from trustee and alumnus Fred
Hameetman and his wife, Joyce, alumnus Michael Scott, and other
private individuals and foundations.
Walter and Leonore Annenberg Center for Information
Science and Technology, 2009. Built with a lead gift from the
Annenberg Foundation and with funds provided by Life Trustee
Stephen Bechtel, Jr., and other private donors.
Warren and Katharine Schlinger Laboratory for Chemistry
and Chemical Engineering, 2010. Built with funds provided by
alumnus Warren Schlinger and his wife, Katharine, a former
Caltech employee, along with other private donors.
Off-Campus Facilities
William G. Kerckhoff Marine Biological Laboratory, 1930,
Corona del Mar. Rehabilitated with funds provided by the
National Science Foundation in 1966.
Jet Propulsion Laboratory (JPL), 1944, 4800 Oak Grove Drive,
Pasadena. Administered by the Institute; owned and supported by
the National Aeronautics and Space Administration.
Palomar Observatory, 1948, San Diego County. Site of the 200inch Hale Telescope (1948) and the 48-inch Schmidt telescope
(1949), built by the Institute with funds from the Rockefeller
Foundation. The Schmidt was named the Samuel Oschin
Telescope in 1987 in honor of benefactor Samuel Oschin of Los
Angeles.

Buildings and Facilities

25

Owens Valley Radio Observatory, 1958, Big Pine. Built with

funds provided by the Winnett Foundation, the Office of Naval
Research, the National Science Foundation, and the Oscar G. and
Elsa S. Mayer Charitable Trust.
26

Big Bear Solar Observatory, 1969, Big Bear Lake. Built with
funds provided by the National Science Foundation and the Max
C. Fleischmann Foundation of Nevada. (Operated by the New
Jersey Institute of Technology.)
Caltech Submillimeter Observatory (CSO), 1986, Mauna Kea,
Hawaii. Built with funds provided by the National Science
Foundation and the Kresge Foundation.
W. M. Keck Observatory, Keck I (1991), Keck II (1996); Mauna
Kea, Hawaii. Built with funds provided by the W. M. Keck
Foundation. Site of the two 10-meter Keck Telescopes.
Georgina and William Gimbel Building, Caltech Submillimeter Observatory, 1996, Hilo, Hawaii. Built with funds provided by Mr. and Mrs. William Gimbel, members of the Caltech
Associates.
Laser Interferometer Gravitational-Wave Observatory
(LIGO), 1999, Hanford, Washington, and Livingston, Louisiana.
Built with funds provided by the National Science Foundation.
Beckman Institute
Opening its doors in 1990, the Beckman Institute has been a major
addition to Caltech. The mission of the scientists working there is
to invent new methods, materials, and instrumentation for fundamental research in biology and chemistry that will open the way
for novel applications of scientific discoveries to human needs.
Center for Advanced Computing Research
The mission of the Center for Advanced Computing Research
(CACR) is to ensure that Caltech is at the forefront of computational science and engineering (CSE). CSE is the practice of
computer-based modeling, simulation, and data analysis for the
study of scientific phenomena and engineering designs. Computer
modeling and simulation make it possible to investigate regimes
that are beyond current experimental capabilities and to study
phenomena that cannot be replicated in laboratories, such as the
evolution of the universe. The results often suggest new experiments
and theories. Computation is also essential for processing the flood
of high-dimensional data generated by modern instruments.
CACR provides an environment that cultivates multidisciplinary
collaborations. CACR researchers take an applications-driven
approach and currently work with Caltech research groups in aero-

General Information

space engineering, applied mathematics, astronomy, biology,

engineering, geophysics, materials science, and physics. Center
staff have expertise in data-intensive scientific discovery, physicsbased simulation, scientific software engineering, visualization
techniques, novel computer architectures, and the design and operation of large-scale computing facilities. For more information, visit
http://www.cacr.caltech.edu.
Libraries
Caltech Library Services (CLS) consists of several locations from
which staff provide a high level of information service to support
and facilitate the research and educational programs of the Institute.
The librarys policies and many resources, including the library catalog, are accessible from the CLS website at http://library.caltech.edu.
CLS operates out of five locations:
1. The Astrophysics Library in Cahill Lab
2. Dabney Library of the Humanities, which contains literature,
art, philosophy, European history, Asian history, and ancient
history monographs, as well as music CD collections
3. The Geology Library in North Mudd, with an extensive map
collection
4. Millikan Memorial Library, which houses collections in biology,
chemistry, mathematics, and physics and social sciences, plus
government documents and humanities journals. Millikan is
also the home of the library administration and Document
Services, which includes interlibrary loan.
5. The Sherman Fairchild Library of Engineering and Applied
Science (SFL), which supports environmental, aerospace, chemical, and mechanical engineering, plus applied physics and
applied mathematics. SFL also houses several student-developed
special collections, among them the ASCIT DVD collection,
the Leisure Reading Collection, and the Sustainability
Collection. SFL is also the site of several group study rooms,
and the Information Commons and is open 24/7.
CLS subscribes to over 27,000 journals, holds over 725,000
print volumes. It has extensive collections of technical reports,
government documents, and maps. The library catalog
(http://clas.caltech.edu) includes records of print and electronic
materials, and active links to ebooks and ejournals. Special services
available through CLS include document delivery, interlibrary
loans, digitizing and archiving technical report collections and other
research papers, and maintaining the Institutes archive of theses.
Archives and Special Collections
The Archives and Special Collections preserve and make accessible
the institutional records, personal papers, oral histories, documents,
photographs, historic apparatus, and audiovisual media that tell
Caltechs history. Unique research collections in the history of science
and technology, including rare books, manuscripts, and artifacts, are

Buildings and Facilities

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28

available to the campus community for instructional and research

purposes, as well as to qualified non-campus users by appointment.
All users are requested to phone ahead to be sure of staff assistance.
The Archives and Special Collections reading room is open
to users Monday through Friday, 8:30 a.m. to 4 p.m., with a onehour lunch recess from 12 p.m. to 1 p.m. A collection overview
and other pertinent information is available at the Archives
website, http://www.archives.caltech.edu.
UNDERGRADUATE RESEARCH

The Institute offers the opportunity for qualified students to

engage in research early in their careers under the supervision of a
faculty member. There are four principal avenues for undergraduate
research: the senior thesis, the Summer Undergraduate Research
Fellowships (SURF) program, research courses for academic credit,
and research for pay under a faculty members grant or contract.
Students may combine these options but may not receive both pay
and credit at the same time for the same piece of work.
The senior thesis involves original research under the mentorship of a faculty member, then documenting the methodology and
accomplishments in scholarly form, and finally oral presentation of
the results to an examination committee. This integrated effort
develops research, writing, and presentation skills that together
provide an excellent preparation for future graduate studies and/or
professional life. Since senior thesis requirements vary by option,
individual option representatives should be consulted.
The Summer Undergraduate Research Fellowships (SURF) program provides continuing undergraduate students the opportunity
to work on an individual research project in a tutorial relationship
with a mentor, usually a member of the Caltech/JPL research
community, but occasionally a faculty member at another college
or university. Students write research proposals in collaboration
with their mentors. Proposals and recommendations are reviewed
by the SURF administrative committee, and awards are made on
the basis of reviewer recommendation and available funding. The
work is carried out during a 10-week period in the summer.
Students may attend weekly seminars presented by members of the
Caltech faculty and JPL technical staff and may participate in
professional development workshops. At the conclusion of the
summer, SURFers submit a written report describing the project,
methods, and results of their work. On the third Saturday of
October, students make oral presentations of their projects at
SURF Seminar Day. About 20 percent of the students publish their
work in the open scientific literature. In 2010, SURF students
received awards of $6,000. Applications are available online at
http://www.surf.caltech.edu and are due in mid-February. Awards

General Information

are announced in early April. To be eligible, students must be

continuing undergraduates and have a cumulative GPA of at least
2.0. Students must complete the third quarter at Caltech (or at
another school under a program approved by a dean). Students
must be eligible for fall term registration as of the end of the June
Undergraduate Academic Standards and Honors (UASH)
Committee reinstatement meeting and must not be on medical
leave or under disciplinary sanction. For further information
regarding this program, contact the Student-Faculty Programs
Office, 330 Center for Student Services, (626) 395-2885,
[email protected]. Visit the Student-Faculty Programs website at
http://www.sfp.caltech.edu.
Most options also offer undergraduate research courses in order
to encourage research participation; students should consult listings and descriptions of opportunities. Students registering for a
research course during the summer do not have to pay tuition.
STUDENT LIFE

Undergraduate Student Houses

Seven of the eight undergraduate student houses are situated on
both sides of the Olive Walk near the southeastern end of the campus. The original fourBlacker, Dabney, Fleming, and Ricketts
were built in 1931 from the plans of Mr. Gordon B. Kaufmann, in
the Mediterranean style to harmonize with the adjacent Athenaeum.
The other three, designed by Smith, Powell and Morgridge, were
completed in 1960, and are named Lloyd, Page, and Ruddock.
Each of the houses is a separate unit with its own dining room
and lounge, providing accommodations for between 65 and 100
students, depending on the house. Each has its own elected officers; a long history of self-governance gives students a great deal of
influence over their living environments. Each house has a resident
associate, typically a graduate student.
In addition to the student houses, the Institute maintains three
apartment buildings, Marks/Braun House, and a number of offcampus houses. Typically two or three students share an apartment. Depending upon size, the off-campus houses have a capacity
of four to ten students. These residences are all within a short walk
of the campus and offer students greater privacy, a different lifestyle, and the opportunity to prepare their own meals.
Application for rooms in student housing may be made through
Institute Housing, Mail Code 160-86, California Institute of
Technology, Pasadena, CA 91125, or at http://www.housing.caltech.edu.
Mail is delivered daily to the student mailboxes. Students
should use their mailbox number, California Institute of
Technology, Pasadena, CA 91126, to facilitate handling of mail
at the campus post office.

Student Life

29

30

Avery House
Made possible by a gift from trustee R. Stanton Avery, this innovative residential complex was designed by Moore, Ruble, Yudell and
completed in September 1996. Located at the north end of the
campus, Avery House has a resident associate and rooms for about
110 undergraduates and 15 graduate students, in addition to three
faculty apartments. Its dining facilities, meeting rooms, lounges,
and library are designed to encourage informal faculty-student
interaction and to attract all members of the campus community to
join in this interaction. Avery House hosts programs and social
events that facilitate involvement between residents, faculty in
residence, Avery associate, and visitors to the campus.
Avery House began accepting freshmen in 2005, after which it
became fully integrated into the undergraduate house system as the
eighth house.
The Student Activities Center
The SAC is located in the basement of the south undergraduate
housing complex and is open for student use 24 hours a day.
The SAC provides office space for the officers of the undergraduate student government, working space for student publications, rehearsal space for musical activities, and space for many
more student-oriented functions.
Whether students are interested in music, publications, student
government, gaming, photography, or simply finding a room for
their group to meet in, the SAC will probably have what is needed.
The center also houses the South House laundry room and has
several club rooms, a small library, a shop, and a movie screening
roommost are open 24 hours.
Interhouse Activities
The president of each undergraduate house represents that house
on the Interhouse Committee (IHC). While the eight houses are
generally autonomous, the IHC exists to ensure that conflicts
between houses do not develop and to deal with matters that affect
the houses in general. In particular, the IHC is responsible for
the selection process by which the houses choose their new
members.
In conjunction with the athletic department, the IHC conducts
two intramural sports programs: the Interhouse and Discobolus
trophy competitions. (These are described below under Athletics.)
Other interhouse activities include an annual eight-house party
called Interhouse.
Faculty-Student Relations
Faculty-student coordination and cooperation with regard to campus
affairs are secured through the presence of students on faculty committees, by faculty-student conferences, and by other mechanisms.

General Information

Freshman Advisers
Each member of the freshman class is assigned a faculty adviser.
The adviser follows the freshmans progress and provides advice on
any questions or problems that the freshman may have.
31

Option Advisers
Each member of the three undergraduate upper classes is assigned
an option adviser, a faculty member in the option in which the student is enrolled. The adviser takes an interest in the students
selection of courses and progress toward a degree, and, eventually,
in assisting the student toward satisfactory placement in industry or
in graduate school. Normally, the association between student and
adviser is established before the beginning of the sophomore year
and continues through graduation.
Athletics
Caltech supports a well-rounded program of competitive athletics.
As a member of the NCAA Division III and the Southern
California Intercollegiate Athletic Conference, Caltech carries out
intercollegiate competition in nine mens sports and eight womens
sports, with teams such as Claremont-Mudd-Scripps, LaVerne,
Occidental, Pomona-Pitzer, Cal Lutheran, Redlands, and Whittier.
Individual athletes and teams who distinguish themselves in conference competition earn the privilege of participating in NCAA
regional and national championships.
Caltech also sponsors vigorous programs of club sports and
intramural competition. Club sports include rugby, ultimate
Frisbee, ice hockey, and mens volleyball and soccer. Intramural
competition consists of residence house teams battling for championships (and bragging rights) in flag football, soccer, swimming,
ultimate Frisbee, basketball, volleyball, tennis, track and field, and
softball. Thirty percent of Caltech undergraduates participate in
intercollegiate athletics, and over 80 percent participate in some
form of organized athletic competition each year.
Outdoor athletic facilities include an all-weather running track,
a soccer field, a baseball diamond, six tennis courts, and two 25yard swimming pools. Indoor facilities include two full-size gymnasia
for basketball, volleyball, and badminton; four racquetball courts;
two squash courts; a 4,000-square-foot weight room; and a large
multipurpose room for dance/aerobics, fencing, and martial arts.
ASCIT
The undergraduate student body forms the membership of a
corporation known as the Associated Students of the California
Institute of Technology, Inc., or ASCIT. Governed by a board of
directors consisting of nine elected officers, it is involved in many
aspects of student life, overseeing publication of the student newspaper, a directory, the yearbook, a research opportunities handbook, a course review, and a literary magazine.

Student Life

32

Besides overseeing many student publications and coordinating

activities and policies, the ASCIT Board of Directors administers the
corporations finances. ASCIT sponsors a wide variety of specialinterest clubs and programs, such as the student shop and the
Students for the Exploration and Development of Space (SEDS).
The student government is active in campus affairs. The student
members of each standing faculty committee ensure that undergraduate opinion is considered seriously. Excellent informal relations
between students and faculty and between students and administration promote mutual concern and goodwill. Student-faculty conferences are held every other year and serve a very useful purpose
in promoting cooperation and communication.
Graduate Student Council
The Graduate Student Council (GSC) is the student governing
body for graduate students at Caltech. The GSC is made up of a
steering committee, a board of directors, and representatives from
each option. The GSC provides funding for student clubs, publishes a monthly newsletter, and organizes and subsidizes various
campus events. Annual events include activities during newstudent orientation, teaching and mentoring awards, and the
Everhart Lecture Series, which honors outstanding graduatestudent researchers and presenters. If you are interested in getting
involved in the GSC, please contact the Graduate Office at [email protected].
Honor System
The Honor System, embodied in the phrase No member shall take
unfair advantage of any member of the Caltech community, is the
fundamental principle of conduct for all students. More than merely
a code applying to conduct in examinations, it extends to all phases
of campus life. It is the code of behavior governing scholastic and
extracurricular activities, relations among students, and relations
between students and faculty. The Honor System is the outstanding
tradition of the student body, which accepts full responsibility for its
operation. The Board of Control, which is composed of elected student representatives, is charged with monitoring the Honor System
for undergraduates, while the Graduate Review Board performs the
same function for graduate students. The Conduct Review
Committee, composed of students, faculty, and staff, also considers
cases involving the Honor System and Institute policies. Suspected
violations are reported to the appropriate board, which conducts
investigations and hearings with strict confidentiality. If necessary,
recommendations for actions are made to the deans.
Student Body Publications
The publications of the student body include a weekly paper, The
California Tech; an undergraduate research journal, CURJ; a literary magazine, The Totem; a student handbook, the little t, which

General Information

gives a survey of student activities and organizations and serves as

a campus directory; a yearbook, The Big T; an annual review of the
quality of teaching in the various courses, The Clue; and an undergraduate research opportunities handbook, UROH. These publications, staffed entirely by students, provide an opportunity for
interested students to obtain valuable experience in creative writing, photography, artwork, reporting and editing, advertising, and
business management.
Performing and Visual Arts Activities
The Institute provides qualified directors and facilities for various
choral music groups, a concert band, a jazz band, a symphony
orchestra (jointly with Occidental College), numerous chamber
music ensembles, guitar classes, a theater program, and a variety
of art classes. These activities are centered in the Music and
Theater Arts Houses on Hill Avenue along the eastern edge of
campus. Performances are held mainly in Dabney Lounge and
Ramo Auditorium.
Student Societies and Clubs
The Institute has more than 70 societies and clubs covering a wide
range of interests. The American Chemical Society, the American
Institute of Chemical Engineers, the American Society of
Mechanical Engineers, and the Society of Women Engineers all
maintain active student branches. There is a chapter of the
National Society of Black Engineers, and the Caltech Latino
Association of Students in Engineering and Science is a chapter of
the Society of Hispanic Engineers.
The Institute has a chapter (California Beta) of Tau Beta Pi,
the national scholarship honor society of engineering colleges.
Each year the Tau Beta Pi chapter elects to membership students
from the highest-ranking eighth of the junior class and the highest
fifth of the senior class.
Special interests and hobbies are provided for by a broad and
constantly changing spectrum of clubs, some informal but most
formally recognized by Caltech through either ASCIT or the
Graduate Student Council.
Student Shop
The student shop is housed in the Physical Plant complex. It is
equipped by the Institute, largely through donations, and is operated by the students. Here qualified students may work on private
projects that require tools and equipment not otherwise available.
All students are eligible to apply for membership in the student
shop; applications are acted on by a governing committee of students. Members not proficient in power tools are limited to hand
tools and bench work; however, instruction in power tools is given
as needed. Yearly dues are collected to provide for maintenance
and replacement.

Student Life

33

34

The Caltech Y
The Caltech Y is a unique nonprofit organization on campus.
Founded by students for students, the Y challenges the Caltech community to see the world with a broader perspective and a deeper
understanding of social issues. Through community service projects,
outdoor adventures, social activities, and cultural events, the Y
encourages students to become active participants during their years
here. The Caltech Y helps students plan events, meetings, and initiatives on campus and provides the resources and equipment needed
for successful programs. Some of the many Y-sponsored activities
include the Y hike in the California Sierras, Alternative Spring Break,
Make-a-Difference-Day, International Week, the Social Activism
Speaker Series, and an International Service Learning Program. The
Y also provides services to the Caltech community, such as low-cost
rentals on camping equipment, discounted tickets, and much more.
Religious Life
In addition to several groups active on campus such as the Caltech
Christian Fellowship and Hillel, houses of worship of many different denominations are within walking distance or are only a short
drive from campus.
Public Events
Beckman and Ramo Auditoriums serve as the home of the professional performing arts program on the Caltech campus. Each year,
more than 50 lectures, outreach programs, performing arts events,
and films are presented at Caltech. Tickets, often with discounts
available, are offered to Caltech students for all events in Beckman
and Ramo Auditoriums.
Caltech Store
The Caltech Store is located on the ground floor of the Winnett
Student Center. Owned and operated by the Institute, the store
serves the students, faculty, and staff, carrying a stock of Caltech
authors books and other books, insignia merchandise, gift items,
and school supplies. Located within the store are the Red Door
Caf and Caltech Wired Computer Store. The Red Door Caf
provides various types of coffee drinks and juices, along with other
food items. Caltech Wired provides computers (including hardware and supporting software and instructional materials) that support Caltechs educational and research functions.
STUDENT HEALTH

Medical Examination
Before initial registration, each applicant is required to submit a
Report of Medical History and Physical Examination on a form

General Information

that is sent at the time of notification of admission. Students who

have been absent from the Institute for one term or more may also
be required to submit this report.
Student Health Services
The Archibald Young Health Center provides the following services
for undergraduate and graduate students and their spouses enrolled
in the Spouse Program: (1) office consultation and treatment of
most medical problems by physicians and nurse practitioners
(physician visits by appointment only and at prescribed hours); (2)
referral to specialists; (3) laboratory tests and some radiology tests
as ordered by the medical staff; (4) womens health services, including annual Pap and contraceptive needs; (5) sexual health concerns,
including HIV and STD screening; (6) routine medications,
common vaccinations, prescription drugs, and other supplies at
cost. A variety of health education handouts are also available. For
more information, visit the Health Centers website at
http://www.healthcenter.caltech.edu.
Student Counseling Service
A staff of mental health professionals provides individual, group,
and crisis counseling to undergraduates and graduates at no cost.
Students are seen at the Counseling Center with various concerns,
such as depression, stress, grief, relationship difficulties, and selfesteem issues, among others. The center also offers workshops and
training on psychologically related topics, a health-education program, psychiatric consultation, and referrals to other professionals
in the community. Counseling sessions are confidential.
Health Education
As a joint service of the Counseling and Health centers, the health
educator offers health education programs designed to enhance
students personal development and academic achievement. Program
topics include stress management, general health and wellness,
nutrition, alcohol and other drug use, and sexual health.
Confidential drop-in counseling hours are available. For additional
information, visit http://www.healtheducation.caltech.edu.
Student Health Insurance
In addition to services provided by the Health and Counseling
centers, all currently enrolled degree-seeking Caltech students are
enrolled in a comprehensive medical insurance plan through
Caltech. Students have the option to waive Caltechs medical
coverage provided they show proof of other adequate coverage.
The Caltech student health plan covers (with deductible and
copay) hospital and surgical costs, as well as the cost of outpatient
treatment for injury, illness, and psychotherapy. Students may
continue coverage under the Caltech student health plan during
the entire time they are enrolled as degree-seeking Caltech students.

Student Health

35

36

Medical Coverage of Dependents

A students spouse and all unmarried dependent children under 19
years of age are eligible to purchase coverage under the medical
insurance plan. In addition, student spouses may enroll for a
modest fee in a plan that makes them eligible for all services
offered at the Health Center. Children are not eligible for these
services. Applications for dependents insurance should be made at
the time of registration for any one school term. Rates for dependents
coverage are available at the Benefits Office in Human Resources.
Medical Responsibility of the Student
The responsibility for securing adequate medical attention in any
contingency, whether emergency or not, is solely that of the student,
whether the student is residing on or off campus. Apart from providing the opportunity for consultation and treatment at the
Health Center as already described, the Institute bears no responsibility for providing medical attention.
Any expenses incurred in securing advice and attention in
any case are entirely the responsibility of the student, except as
already specified. Students should carry their medical insurance cards
with them at all times. If they are covered under the Caltech student
health plan, they should contact the student health plan insurance
carrier to inquire about reimbursement for services received. If they
are covered under another plan, they should contact their service
provider for details on coverage and reimbursement of services.
CAREER DEVELOPMENT
Career Services
The Career Development Center (CDC) provides assistance to
students in the areas of career planning and employment.
Assistance is available in areas such as career choice, rsum
preparation, interviewing, graduate school application, and job search
strategies. Career and vocational interest tests can also be taken on
the recommendation of one of the career counseling staff members.
All students are encouraged to visit and make use of the Career
Development Center early in their student careers.
Walk-In Counseling
Several days a week, students can walk in to consult with a career
counselor without an appointment. This allows students to deal
with time-sensitive or quickly answered concerns without having to
make an appointment.
CDC Online
The CDCs website contains information about the centers programs
and activities, as well as links to career, educational, and employment resources nationwide (http://www.career. caltech.edu).
General Information

Premedical and Professional School Advising

The CDC provides advice on applying to Ph.D. and masters
programs in the sciences or applied sciences, economics, public
health, environmental sciences, business, law, and other fields.
Workshops and individual advising are available on the graduate
school admissions process, essay writing, and related topics. The
CDCs library and website have helpful resources.
Pre-Health Careers Advising
Students planning to apply to medical, dental, veterinary, or pharmaceutical graduate school can make use of many resources.
Students can obtain relevant medical research experience through
the Caltech summer preceptorship opportunities. The pre-health
adviser is available to work with students throughout the process
from freshman year to graduation.
We encourage students planning to apply to graduate school and
other professional programs to plan ahead. The CDC provides
many resources for these programs. (See also pages 190 and 292293.)
On-Campus Recruiting Program
Through the on-campus recruiting program, employment interviews are arranged with companies that seek full-time employees
pursuing B.S., M.S., Eng., or Ph.D. degrees. All graduating students,
Caltech postdoctoral scholars, and recent alumni are eligible to
participate. There are also opportunities for undergraduates seeking summer internships to interview on campus with companies
that offer such programs.
Career Days
Each year in the fall and winter, companies send representatives to
campus for a day of informal discussion with students on internship
and employment opportunities. Most bring informative displays
and literature. Many firms hold information sessions and do oncampus recuriting in the days prior to or after the career day.
Career Library
The library contains information on college, graduate, and
professional schools, scholarship information, company literature,
employer directories, career literature, audiovisual resources,
and access to web-based data.
Work-Study and Employment Listings
Job listings are maintained in the Career Library and through
NACElink Network for students seeking full-time, part-time
(including tutoring positions), or work-study employment. Parttime employment provides students with the opportunity to help
finance their education and to gain relevant work experience. One
popular online resource is Caltechs tutoring service, through

Career Development

37

which Caltech students are hired to work as paid tutors for students
attending high school in the local area. (See also the student
employment section on page 161.)
38

Internships
The CDC office provides opportunities for students at all levels to
work in private industry, government laboratories, educational
institutions, and other nonprofit agencies. Many of the advertised
positions are with Caltech alumni. The CDC website has a special
section on internships.
Students may wish to confer with a career counselor to develop
a plan to find summer work that will support or complement longterm career objectives. The CDC provides job-search assistance,
including rsum preparation, mock interview training, and evaluation of offers consistent with goals. Application times for specific
positions may be as early as October or as late as May. Many
employers, eager to hire Caltech students, provide or supplement
transportation and housing as part of their employment package.
Students are encouraged to establish a relationship with the
CDC staff during the fall term to start the summer job process.
Employment Experience of Recent Graduates
Each year the CDC surveys graduating students future plans.
Over several years, approximately 50 percent of undergraduates are
accepted to graduate school programs, 30 percent accept employment, 10 percent have not accepted offers yet, and 10 percent
pursue unconventional options, such as part-time work, part-time
school, travel, a year off, etc. At the M.S. level, about 85 percent
continue in graduate school, and the remainder accept employment. Of those receiving the Ph.D. degree, about 50 percent
accept faculty or other academic/research positions, about 40
percent accept positions outside of academia, and 10 percent
pursue other options. Caltech graduates who accept industry positions consistently receive salaries in the top quartile nationally.
CALTECH ALUMNI ASSOCIATION

The mission of the Association is to promote the interests of

Caltech in setting a world standard of academic excellence by
strengthening the ties of goodwill and communication between the
Institute, its alumni, and current students, and by maintaining
programs to serve alumni needs. These programs include
Alumni College, a two-day lecture series focused on one
theme, with Caltech faculty as featured speakers;
Seminar Day, a day of lectures, exhibits, and social events
held on campus;
reunions by class year and student house;

General Information

travel/study programs worldwide;

regional events around the world, many of which feature
Caltech faculty.
The Association also supports student activities and organizations, and provides contact between alumni and students. Alumni
volunteers play an important role for the Association by serving as
networking resources to other alumni and to current students.
Benefits of membership in the Alumni Association include a
subscription to Engineering & Science magazine, an alumni e-mail
account, discounts at the Caltech Bookstore, and more. For more
information, please see http://alumni.caltech.edu.
INTERNATIONAL STUDENT PROGRAMS

As the definitive immigration resource for international students,

the Office of International Student Programs (ISP) is responsible
for advising students on all immigration-related matters, such as
visa acquisition, employment authorization, extensions of stay, and
more. In addition, ISP provides programs that assist international
students and their dependents in adjusting to life in the United
States. ISP plans and promotes events that celebrate international
education and cultures of the world, address cross-cultural
adjustment, and provide opportunities for international students to
establish a sense of community at Caltech. Prior to the fall term,
ISP hosts International Student Orientation to provide a
comprehensive introduction to academic and social life at Caltech
and in the United States. All incoming international students are
required to participate. Please contact ISP at [email protected] for
more information on current programs, or visit ISP online at
www.international.caltech.edu.
AUDITING COURSES

Persons not regularly enrolled in the Institute may audit courses if

they obtain the consent of the instructor in charge of the course,
and the dean of undergraduate students or dean of graduate
studies, as appropriate, and pay the required fee (contact Bursars
Office for audit fee). The fees are nonrefundable.
Auditing fees for nonacademic staff members may be covered
by the Institute Tuition Support Plan. Auditing cards may be
obtained in the Registrars Office.
Regularly enrolled students and members of the faculty are not
charged for auditing. Auditing cards are not required, but the
instructors consent is necessary in all cases. No grades for auditors
are reported to the Registrars Office, and no official record is kept
of the work done.
Auditing Courses

39

GRADES AND GRADING

40

All permanent grades recorded for freshmen during the first and
second terms they are enrolled will be either P, indicating passed,
or F, indicating failed. The temporary grade of I (incomplete)
may be used as it is for other students. The temporary grade of E
may be given to freshmen as described below for other students. It
may also be used in a continuing course if the performance of the
freshman concerned is not significantly below the current passing
level, and if the student is maintaining a steady and substantial
improvement; an E given for this reason will be automatically
changed to a P if the freshman earns a P for the following term,
and will change to an F if the student receives an F for the following
term. The grade may not be used in this way for two successive
terms nor for the last term of the course.
If a first-quarter or second-quarter freshman is enrolled in a
course in which the instructor gives letter grades, the registrar will
record P for all passing grades. No grades given to a freshman
during the first and second quarter in which they are enrolled will
be used in computing the cumulative grade-point average.
For all students beyond the first and second quarters of their
freshman year, graduate and undergraduate, letter grades will ordinarily be used to indicate the character of the students work: A,
excellent; B, good; C, satisfactory; D, poor; E, conditional; F,
failed; I, incomplete. P may also be used as described below under
Pass/Fail Grading. In addition, grades of A+ and A, B+ and B, C+
and C, and D+ may be used. In any situation in which no grade is
reported, the grade shall be assumed to be F.
At their discretion, instructors may give students who have not
completed their work for a course by the end of the term a grade
of E. The grade E indicates deficiencies that may be made up
without repeating the course. If the instructor does not specify a
date on the grade report sheet for completion of the work, students
receiving an E will have until Add Day of the following term to
complete their work for that course. Instructors may, however,
require the work for the course to be completed by an earlier date.
If a student receives an E and does not complete the work by the
date specified by the instructor or by Add Day, the grade will be
changed to an F. Adequate time must be afforded to instructors to
grade the work and to submit the final grade to the registrar.
It is the responsibility of a student receiving an E to confirm that
the registrar has recorded the terms for satisfying the completion
of the work in the course.
With the written permission of the instructor, a student may
extend the E grade past Add Day of the following term, but doing
so will cause an additional E grade to be registered. Each additional
extension of the E will be until the date specified by the instructor

General Information

or until Add Day of the following term, but in each case will
require the written permission of the instructor and the registering
of an additional E grade.
After an undergraduate student has been awarded the grade of
E six times, he or she is not eligible to receive E grades in any subsequent term. A petition for an E in a subsequent term may be
approved by the Undergraduate Academic Standards and Honors
Committee (UASH) in an exceptional case. Such a petition
requires the support of the instructor and the dean or associate
dean of students.
The grade I is given only in case of sickness or other emergency
that justifies noncompletion of the work at the usual time. It is
given at the discretion of the instructor, after approval by the dean
or associate dean of students or the dean of graduate studies. The
time period within which the grade of I is to be made up should be
indicated on the grade sheet, or students receiving an I will have
until Add Day of the following term to complete their work for the
course. As in the case of the E grade, the grade of I shall not be
considered in calculating a students grade-point average.
Students receiving grades of E or I should consult with their
instructors not later than the beginning of the next term in residence as to the work required and the time allowed. This time
should, in most cases, coincide with the date fixed in the calendar
for removal of conditions and incompletes (Add Day), and in fact if
no other time is specified, this date will be assumed. Further, under
no circumstances may the time for the completion of the work be
extended for more than three terms in residence after the end of
the term in which the grade of E or I was given. At the end of the
specified time, unless there is a written request from the instructor
to the contrary, or in any event at the time of graduation or at the
end of three terms in residence, whichever occurs first, all Es and
Is not otherwise reported will be changed to F. Grades of E and I
shall not be considered in calculating a students grade-point
average.
Failed means that no credit will be recorded for the course. The
units, however, count in computing the students grade-point
average, unless the course was taken on a pass/fail basis. He or she
may register to repeat the subject in a subsequent term and receive
credit without regard to the previous grade, the new grade and
units being counted as for any other course, but the original F and
units for the course remain on the record. An F, once recorded,
will be changed to a passing grade only on the basis of error. Such a
change may be made only with the approval of the Undergraduate
Academic Standards and Honors Committee or of the Graduate
Studies Committee, whichever has jurisdiction.
Petitions by undergraduate students for late drops (i.e., requests
to drop a course after Drop Day) will be considered by the UASH
Committee. If approved, a W (standing for withdrawn) will be

Grades and Grading

41

42

recorded on the students transcript in place of a grade for that

course. Ws will not be included in the computation of the students
grade-point average. Courses will be expunged from the students
record only in exceptional circumstances, at the discretion of the
UASH Committee.
Each course at the Institute is assigned a number of units
corresponding to the total number of hours per week devoted to
that subject, including classwork, laboratory, and the normal outside preparation. Credits are awarded as shown in the table below.
Grade-Point Average is computed by dividing the total number of
credits earned in a term or an academic year by the total number
of units taken in the corresponding period. Units for which a grade
of F has been received are counted, even though the course may
have subsequently been repeated. Grades of P or F obtained in
courses graded on a pass/fail basis are not included in computing
grade-point average.
No. of
Units

A+

B+

C+

D+

1
2
3
4
5
6
7
8
9
10
11
12
13
14
15

4
9
13
17
22
26
30
35
39
43
48
52
56
61
65

4
8
12
16
20
24
28
32
36
40
44
48
52
56
60

4
7
11
15
18
22
26
29
33
37
40
44
48
51
55

3
7
10
13
17
20
23
27
30
33
37
40
43
47
50

3
6
9
12
15
18
21
24
27
30
33
36
39
42
45

3
5
8
11
13
16
19
21
24
27
29
32
35
37
40

2
5
7
9
12
14
16
19
21
23
26
28
30
33
35

2
4
6
8
10
12
14
16
18
20
22
24
26
28
30

2
3
5
7
8
10
12
13
15
17
18
20
22
23
25

1
3
4
5
7
8
9
11
12
13
15
16
17
19
20

1
2
3
4
5
6
7
8
9
10
11
12
13
14
15

0
0
0
0
0
0
0
0
0
0
0
0
0
0
0

Pass/Fail Grading: The following regulations apply:

First-quarter and second-quarter freshmen receive pass/fail

grades in all courses by virtue of their classification as freshmen by an admissions committee or, for students whose
status after the first year is uncertain, by the Undergraduate
Academic Standards and Honors Committee.

All other students, undergraduate and graduate, in courses

with numbers under 200 will receive letter grades unless the
course is designated graded pass/fail or unless, when it is
allowed, the student files with the office of the registrar
a completed Pass/Fail Course Selection Card not later than
the last day for dropping courses.

General Information

In courses with numbers 200 or greater that are not designated either graded pass/fail or letter grades only, the
instructor may decide separately for each student what class
of grades to use.
All research courses shall be designated graded pass/fail.
All reading courses, seminar courses, or other courses that
do not have a formal class structure shall be designated
graded pass/fail unless the option secures an exemption
from the Curriculum Committee or the Graduate Studies
Committee and from the Faculty Board.
A grade on the pass/fail system should be P if it would have
been a D or better on the letter grade system. (Note that
there is no D grade.) The standards of failure in courses in
which only pass/fail grades are used should be the same as
they would be if the course were letter graded.
Any instructor may, at his or her discretion, specify prior to
registration that his or her course, if not classified by the
above regulations, is to be graded on a letter grades only
basis or is to be graded pass/fail only, subject to possible
review by the responsible option. The registrar must be
notified of such specification two weeks before the beginning
of registration. (Note: If the grading scheme is changed during the term, it is changed for everyone.)
Each term, any student may select, subject to such requirements as may be imposed by the students option, two elective
courses in which he or she is to be graded on a pass/fail
basis if it is not designated as letter grades only and is not
specifically required for the degree in his or her option. To
make this election, a completed Pass/Fail Course Selection
Card must be submitted to the Registrars Office on or before
the last day for dropping courses that term. This election may
be reversed or reinstated at any time before the deadline.
The election must be approved and the card signed by the
students adviser. The instructor must be notified and should
sign the card to indicate that this has been done; the instructor
must allow any eligible student to make this election.
Of the units offered to satisfy the requirements for the
Bachelor of Science degree, no more than 90 may be in
courses graded pass/fail because of the students election.

Procedures for Resolving Disputes over Grading

At Caltech, the instructor has full responsibility for assigning
grades to students enrolled in a course. On occasion, a student may
not understand how a grade was determined and may seek further
information. The student should first meet with the instructor or
teaching assistant to discuss the grade. If after doing so the student
believes the grade is unjustified or capricious, the following procedures are available.

Grades and Grading

43

44

Before the end of the term following the term when the grade
was issued, the student should contact the academic mediator,
appointed by the provost, who will work with the student and
instructor to resolve the problem. If the mediation effort is unsatisfactory to the student, he or she may request a formal review by an
appropriate executive officer or academic officer. The executive
officer will review the case and report the decision in writing to the
student. If the executive officer decides that a change of grade is
warranted, or if the student requests a further appeal, these shall be
requested of the division chair. At the discretion of the division
chair, a committee may be appointed to review the case. The committee members should interview everyone involved in the case
(the student, the course instructor, the teaching assistant, and anyone
else with relevant information), and make a written recommendation
to the division chair. Only the division chair can authorize the
registrar to enter a new grade in the students transcript.
NOTICES AND AGREEMENTS
Academic Records of Veterans
The Institute maintains a written record of a students previous
education. This is part of the students official transcript, and
included on this is a summary of any prior college-level education.
A true copy of a transcript of college-level work at other institutions
is maintained as part of the students record. The amount of credit
granted for prior training is indicated on the students official
transcript and, where this results in the shortening of a required
training period in the case of a veteran, the Veterans Administration
is notified.
The Institutes official transcript for each student shows the
progress that student is making at the Institute. There is a record
of each course enrolled in each term with a grade recorded for the
course. The total number of units earned is kept so that the record
will show continued progress toward the degree sought. The final
grades are recorded at the end of each term of the school year, and
the accumulative permanent record has on it grades for all subjects
taken at the Institute. No student is allowed to enroll repeatedly in
a course and withdraw without penalty. If a student enrolls in a
course, he or she is expected to complete the course or receive a
failing grade unless he or she withdraws from the course prior to
the deadline for dropping courses. All students must maintain a
minimum load equivalent to 12 quarter hours each term; no student
may drop courses that would bring him or her below this level of
effort. At any time when the student falls below the required
number of units, fails to receive satisfactory grades, or engages in
unsatisfactory conduct, the record is marked to indicate this, and
the student is forbidden to continue at the Institute.

General Information

The grading system of the Institute is A (excellent) to F (failed).

An A is equivalent to 4.0 and an F to 0.0. A student must maintain
a grade-point average of 1.4 in any term and at least 1.9 in each
full year in order to be able to enroll in a successive term at the
Institute. A minimum 1.9 overall grade-point average is required
for graduation. A student who drops below the required averages
(1.4 for a given term or 1.9 for the year) is dismissed and must
petition for reinstatement. A student may be reinstated by the
Undergraduate Academic Standards and Honors Committee and,
if so, is required to earn a 1.9 GPA during the immediately following
term. The Veterans Administration is notified when a veteran is
academically dismissed or is making unsatisfactory progress toward
a degree. Since the Institute requires all students to carry a minimum full load that corresponds to 12 quarter hours each term, any
student who finishes a term in good standing is considered to have
made satisfactory progress. If a student withdraws from a course
before the final date for withdrawal, no grade is given in that
course. The time spent in school counts, however, and the student
may be considered to have not made satisfactory progress in the
event of such withdrawal.
In order to withdraw from any course, a student must submit a
withdrawal card. This shows the date on which the student was last
in official attendance in that course. If a student reenrolls in that
course and successfully completes it, that fact will be noted on his
or her official transcript.
Access to Student Records
The Institute maintains educational records for each student that
include name, address, student identification number (including
Social Security number), information on parents, guardian, and
spouse, general information on academic status at the Institute,
previous school data, results of standardized admissions examinations, courses previously taken or being taken, credits, and grades.
Applicants for financial aid have an additional file holding those
records. The Family Education Rights and Privacy Act (FERPA)
and Caltech policy afford students certain rights as well as establish
limitations with respect to student education records. These rights
and limitations are as follows:
1. The registrar of the Institute is responsible for maintaining
all educational records, except for those involving financial
aid. Caltech permits disclosure of educational records, without consent of the student, to Institute officials with legitimate educational interests in them. An Institute official is a
person employed by the Institute in an administrative, supervisory, academic or research, or support-staff position
(including security personnel and health and diversity
center staff), a person or company with whom the Institute
has contracted (such as an attorney, auditor, consultants,
contractors, or collection agent), a person serving on the

Notices and Agreements

45

46

2.

Board of Trustees, or a student serving on an official com

mittee, such as a disciplinary or grievance committee, or
assisting another Institute official in performing his or her
tasks. An Institute official has a legitimate educational inter
est if he or she needs to review an education record in order
to fulfill his or her professional responsibility. They are
available to the registrar, provost, president, general counsel,
vice president for student affairs, dean of graduate studies,
dean of students, director of financial aid, and faculty of the
Institute and to their respective staffs for the normal acade
mic and business purposes of the Institute. Records involving
financial aid are maintained by the director of financial aid,
and are available to the director and staff, to the dean of
graduate studies and staff, to the Faculty Committee on
Scholarships and Financial Aid, and to the Faculty
Committee on Graduate Study, for the purpose of granting
and administering the Institutes financial aid program.
Except as authorized by federal or state law or regulation,
none of these educational records nor any personally identifiable information contained therein, other than directory
information (see below), will be made available to anyone
else, other than the student, without the written consent of
that student. Where consent is required and given, the student, upon request, will receive a copy of the records to be
released. The Institute will keep a record, available to the
student and kept with his or her file, of all persons and organizations, other than those authorized within the Institute,
requesting or obtaining access to the files, except when
records have been produced in response to a grand-jury sub
poena or other subpoena issued for a law-enforcement purpose and the court or issuing agency has ordered that the
existence or the contents of the subpoena or the information
furnished in response to the subpoena not be disclosed.
Students are allowed access to their educational records
as follows: A student may inspect his or her academic tran
script during normal working hours. To see other records,
the student must provide a written request to the registrar or
to the director of financial aid or to the dean of graduate
studies or to the dean of students, or their deputies, as
appropriate. A mutually convenient time will be arranged
within 10 working days after receipt of the request for the
student to examine the records in his or her file. At that time
the student may examine all educational records in the file
with the exception of those specifically exempted by Part 99
of Title 34 of the Code of Federal Regulations. The student
may obtain copies of any of the records available to him or
her; the cost will be 44 cents for the first page copied and 12
cents for each additional page. All reasonable requests for
explanations or interpretations of the educational records

General Information

3.

will be honored, and if inaccurate, misleading, or otherwise

inappropriate data are found in these records, they will be
promptly corrected or deleted. The student also has the
right to insert into the records a written explanation respecting the contents of such records. If the student and the registrar, or the director of financial aid, or the dean of graduate
studies, or the dean of students, or their deputies, do not
agree on any item contained in the educational records, the
student may submit a written request to the provost for a
hearing to challenge the content of the records. The provost
will schedule such a hearing within 30 days after receipt of
the request and will notify the student at a time reasonably
in advance of the hearing of its date, time, and place. The
hearing will be before a board composed of the provost, the
vice president for student affairs, or their designated alternates, and at least one disinterested member of the faculty,
who shall be appointed by the chair of the Faculty Board.
None of those hearing the challenge may have a direct interest in the outcome. The student will be afforded a full and
fair opportunity to present evidence relevant to the issues
raised and may be assisted or represented by individuals of
his or her choice at his or her own expense, including an
attorney. The decision of the board on the correctness of the
educational record, as determined by majority vote, will be
in writing, will be rendered within 10 days after the conclusion of the hearing, and will be final. This decision will be
based solely upon the evidence presented at the hearing and
will include a summary of the evidence and of the reasons
for the decision. If, as a result of the hearing, the Institute
decides that the information in the files is inaccurate, misleading, or otherwise in violation of the privacy or other
rights of the student, the Institute shall amend the records
accordingly and so inform the student in writing. However,
if, as a result of the hearing, the Institute decides that the
information is not inaccurate, misleading, or otherwise in
violation of the privacy or other rights of a student, it shall
inform the student of the right to place in the educational
records a statement commenting on the information in the
records and/or setting forth any reasons for disagreeing with
the decision of the Institute.
The Institute considers the following to be directory information: a students name, UID, address, e-mail address, telephone listing, ID photograph, date and place of birth, major
field of study, year in school, current enrollment status,
expected date of graduation, participation in officially recognized activities and sports, weight and height if a member of
an athletic team, dates of attendance, degrees and awards
received, thesis title, home town, and most recently attended
educational agency or institution. Directory information may

Notices and Agreements

47

48

4.

5.

6.

be made available to requestors at the Institutes discretion.

Any student may, however, have part or all of this information withheld by notifying the registrar in writing no later
than 30 days after the commencement of classes in the
academic year. That information will then be withheld for
the balance of that academic year. If the information is to be
withheld in subsequent years, new requests must be filed.
A student will not be required to waive any rights regarding
access to educational records. However, a student may voluntarily waive right of access to confidential statements
made by third parties respecting admission to educational
agencies or institutions, applications for employment, or the
receipt of an honor or honorary recognition. In case of waiver, the confidential statements will be used solely for the
purposes for which they were specifically intended, and the
student will, upon request, be notified of the names of all
persons making such confidential statements. If a student
should desire to so waive right of access, so as to facilitate
the obtaining of a confidential statement of this nature, he
or she should contact the registrar for the necessary form.
The Institute reserves the right to destroy from time to time
any and all educational records that it maintains on a student, except to the extent that the law requires their maintenance for a longer period of time. However, where access to
records has been requested, no destruction of those records
will be allowed to take place until such access has been
granted or denied.
Students who believe their rights under FERPA may have
been violated may file a complaint with the Family Policy
Compliance Office, U.S. Department of Education, 400
Maryland Avenue SW, Washington D.C. 20202-4605.

Transcripts of Records
A student, or former student, may request that official transcripts
of his or her records be forwarded to designated institutions or
individuals. Requests should be filed at the Registrars Office at
least five days before the date on which the transcripts are to be
mailed. (See Unpaid Bills, page 151, for complete details.)
Accreditations and Authorizations
The California Institute of Technology is accredited by the
Accrediting Commission for Senior Colleges and Universities of
the Western Association of Schools and Colleges, 985 Atlantic
Ave., Ste. 100, Alameda, CA 94501; (510) 748-9001. In addition,
the Institute is authorized by the California State Department of
Education, Office of Private Postsecondary Education, to operate
as a private postsecondary educational institution and, by the same
agency, to train veterans in the programs of the Veterans
Administration.

General Information

The Engineering Accreditation Commission of the Accreditation Board for Engineering and Technology (111 Market Place,
Suite 1050, Baltimore, MD 21202-4012; 410-347-7700) has
accredited Caltechs B.S. programs in chemical engineering, in
electrical engineering, and in mechanical engineering. Further, the
Committee on Professional Training of the American Chemical
Society has approved Caltechs B.S. program in chemistry.
The documents describing these accreditations and authorizations are on file and may be inspected in the Registrars Office,
the Undergraduate Admissions Office, or the Office of the Dean
of Graduate Studies (Graduate Office).
Student Grievance Procedure
Caltech provides a variety of routes, most of them informal, by
which students may bring complaints to consideration and resolution.
In academic matters, for example, they may begin with facultystudent conversations and may extend to the deans, the division
chairs, the registrar, or to various committees having faculty and
student members. Undergraduate housing matters are dealt with
by house officers, the resident associates, the IHC, and the assistant
vice president for student life. The dean of graduate studies is
often of assistance in resolving graduate student matters. As the
Institute officers responsible for the supervision of many Student
Affairs offices, the assistant vice presidents for student affairs may
be the appropriate persons to appeal to in case of unresolved
complaints involving those offices. The Graduate Student Council
and ASCIT may become involved in important complaints, and
sometimes ad hoc groups are formed to make recommendations.
The grievance procedure is intended to deal with complaints by
currently enrolled students for which reasonable efforts by the
available informal routes have not led to an acceptable resolution,
and which do not fall within the jurisdiction of the Honor System.
The first step in this procedure is to consult with the person
appointed by the president of the Institute as mediator for student
grievances. The mediator will assist the student in trying to work
out the problem in an informal way. If the student is not satisfied
with the results, he or she may appeal the case to the Student
Grievance Committee. The members of the committee are undergraduates appointed by the ASCIT Board of Directors, graduate
students appointed by the Graduate Student Council, faculty
appointed by the faculty chair, and administrative staff appointed
by the vice president for student affairs. Two members and two
alternates are appointed from each of the four categories. The
chair of the committee is appointed by the president and does not
vote except in case of a tie. The grievant may present the case to
the committee, present documents in support of the case, request
that witnesses be called, and be assisted by another member of the
Caltech community who is not an attorney. The committee will
present its conclusions and recommendations to the president of

Notices and Agreements

49

the Institute, and the presidents decision will be final. A complete

statement of the student grievance procedure is available from the
following offices: Student Affairs, Dean of Students, Dean of
Graduate Studies, and Center for Diversity.
50

Student Patent and Computer Software

Agreement
The California Institute of Technology has the responsibility to see
that inventions made and computer software developed at the
Institute be used for the public benefit, be administered in such a
way as to avoid cause for criticism of the Institute, and meet the
Institutes contractual obligations to others.
Students at Caltech have many opportunities to work in laboratories, in shops, or with computers, sometimes on individual
projects and sometimes as part of a group activity. It is not unusual
under these circumstances for inventions to be made, or computer
software to be written, and it is important that the students rights
in patents on such inventions and computer software be protected.
The Institutes policy is to reserve to itself rights in inventions and
computer software generated by faculty and staff members with the
use of Institute facilities or in the normal course of their Institute
duties. The students position is different, however, and students
retain all rights except in inventions or computer software generated
under circumstances such that rights clearly belong to the Institute
or to the sponsor of the research. In order to clarify this situation
and to protect the rights of both the student and the Institute, each
student at Caltech is asked to sign the following agreement:
In view of the patent and copyright policies of the Institute in
force at this date and as may from time to time be amended, and as
consideration for my use of Institute facilities and equipment, I
hereby agree as follows:
1. The Institute agrees that I shall retain all rights in inventions
and computer software generated by me at the Institute
except when such inventions are first conceived or actually
reduced to practice, or such computer software is written:
A) in the course of the performance of work as a paid
employee of the Institute; B) in the course of independent
student research financed by or otherwise obligated to an
outside grant to or contract with the Institute, or financed
by a grant from the Institute; or C) during work in the
research program of an academic staff member.
2. When I generate inventions or computer software at the
Institute in connection with in the educational program
of the Institute (e.g., course work, homework, theses), the
Institute agrees that I shall retain rights but the Institute
shall obtain an irrevocable royalty-free nonexclusive license,
with the right to grant sublicenses, for any purpose
whatsoever.

General Information

3.

4.

5.

6.

7.

I agree to notify the Institute promptly of any discovery,

innovation, or invention that is first conceived or first
actually reduced to practice, or computer software written,
under the conditions of paragraphs 1A through 1C above.
I agree to assign, and hereby do assign, to the Institute all
such inventions and computer software made or written
under the conditions of paragraphs 1A through 1C above,
and all inventions, copyrights, patent applications, and patents
relating thereto; and to execute all papers required to apply
for, obtain, maintain, issue, and enforce such copyright
registrations, patents, and applications; and to provide
reasonable assistance regarding such copyrights, patents and
patent applications, including testifying in any interference
proceeding or litigation relating thereto. Expenses for the
copyrights and patent applications, and for the assistance set
forth in the preceding sentence, shall be borne entirely by
the Institute.
I understand that if the Institute receives funds from the
licensing of computer software or patents assigned to it by
me pursuant to this agreement, in excess of unreimbursed
expenses associated with obtaining, maintaining, and enforcing such copyrights and patents, I shall share in these funds
according to the established Institute policy, procedures, and
practice in effect on the date that the patent application is
filed or the computer software is completed, in the same
manner as a member of the academic staff.
I understand that the Institute relies on the foregoing agreement when it enters into contracts with others and obligates
itself with respect to inventions or computer software made
or written in the course of research conducted at the
Institute.
I also understand that this agreement does not apply to any
invention that qualifies fully under the provisions of Section
2870, Chapter 2 of Division 3 of the Labor Code of the
State of California, which states as follows:
(a) Any provision in an employment agreement which provides
that an employee shall assign, or offer to assign, any of his or her
rights in an invention to his or her employer shall not apply to an
invention that the employee developed entirely on his or her own
time without using the employers equipment, supplies, facilities, or
trade secret information except for those inventions that either:
(1) Are related at the time of conception or reduction to practice of the
invention to the employers business, or actual or demonstrably
anticipated research or development of the employer; or (2) Result
from work performed by the employee for the employer.
(b) To the extent a provision in an employment agreement purports
to require an employee to assign an invention otherwise excluded
from being required to be assigned under subdivision (a), the provision is against the public policy of this state and is unenforceable.

Notices and Agreements

51

52

Student Retention and Persistence Rates

Most undergraduates enter Caltech at the freshman level. Of the
236 freshmen enrolled during the 200809 academic year, 232
reenrolled in the first term of the 200910 academic year and are
progressing, yielding a persistence rate of 98 percent. Of the 191
freshmen enrolled during the 200304 academic year, 169 graduated
by June 2009, yielding a graduation rate for this group of 89
percent.
At the graduate level, most students enter Caltech to pursue
either the degree of Master of Science or Doctor of Philosophy or,
occasionally, both. Of the 206 entering graduate students enrolled
in a Ph.D. program during the 200809 academic year, 200 reenrolled in the first term of the 200910 academic year and are
making satisfactory academic progress, resulting in a persistence
rate of 97 percent. Of the 51 entering graduate students enrolled
in M.S. programs during the 200809 academic year, 10 completed
requirements within one year; an additional 40 reenrolled in the
first term of the 200910 academic year and are making satisfactory
progress toward a higher degree.
INSTITUTE POLICIES
Acceptable Use of Electronic Information
Resources
Caltech provides electronic information resources (including, but
not limited to, computers, computer accounts and services, networks, software, electronic mail services, electronic information
sources, video and voice services, servers, web pages, and related
services) to assist members of the Institute community in the pursuit of education and research. This policy, in conjunction with
other applicable Caltech policies, sets forth the acceptable use of
all Caltech electronic information resources owned or managed by
Caltech, and describes the rights and responsibilities of the
Institute and of faculty, staff, students, and other members of the
Institute community with respect to use of these resources.
Electronic information resources are intended to be used to
carry out the legitimate business of the Institute, although some
incidental personal use is permitted. Faculty, staff, students, and
other members of the Institute community (users) who use campus electronic information resources should be guided by the
Institutes Honor System, which prohibits any member of the
Institute community from taking unfair advantage of any other.
In addition, users who use the Institutes electronic information
resources assume responsibility for their appropriate use and agree
to comply with all relevant Institute policies and all applicable
local, state, and federal laws.

General Information

Users of Institute electronic information resources may not use

these resources for inappropriate or unauthorized purposes. Some
examples of inappropriate use are sending a communication or
using electronic information resources, including web pages, that
discriminate against or illegally harass, defame, offend, or threaten
individuals or organizations, or to engage in other illegal conduct
or conduct that violates Institute policy; destruction of or damage
to equipment, software, or data belonging to others; disruption or
unauthorized monitoring of electronic communications;
interference with use of Institute systems; violations of computer
security systems; unauthorized use of accounts, access codes, or
identification numbers; use of facilities in ways that intentionally
impede the legitimate computing activities of others; use of facilities for commercial purposes; use for political or lobbying activities
that jeopardize the Institutes tax exempt status and, therefore, violate Institute policy; violation of copyrights, software license agreements, patent protections and authorizations, or protections on
proprietary or confidential information; unauthorized use of
Caltechs trademarks; violating copyright laws by downloading and
sharing files; violations of privacy; academic dishonesty; sending
chain mail; spamming; intrusion into computer systems to alter or
destroy data or computer programs (e.g., hacking or cracking); or
sending communications that attempt to hide the identity of the
sender or represent the sender as someone else.
Password capabilities and other safeguards are provided to members of the Caltech community in order to safeguard electronic
messages, data, files, and other records (including computer files
and records, electronic mail, and voice mail) from unauthorized
use. In addition, the Institute will routinely follow up on systems
and/or accounts that appear to be compromised or are in the
process of being compromised. However, these safeguards are not
intended to provide confidentiality from the Institute with respect
to personal messages or files stored on Institute systems. Electronic
information resources are Institute property. Users should not have
an expectation of privacy with respect to their use of Institute electronic information resources or data, files, or other records generated, stored, or maintained on Institute resources.
The Institute may routinely examine network transmission patterns such as source/destination, address/port, flags, packet size,
packet rate, and other indicia of traffic on the servers. While the
Institute will not, as a routine matter, review the content of electronic messages or other data, files, or records generated, stored, or
maintained on Institute electronic information systems, the Institute
retains the right, within its discretion, to inspect, review, or retain
the content of electronic messages and other data, files, or records
generated, stored, or maintained by users at any time without prior
notification, for legitimate Institute reasons. These legitimate reasons include, but are not limited to, responding to lawful subpoenas
or court orders, investigating misconduct and determining compli-

Institute Policies

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54

ance with Institute policies, and locating electronic messages, data,

files, or other records. Users should also understand that electronic
messages, data, files, and other records generated, stored, or maintained on Institute electronic information systems may be electronically accessed, reconstructed, or retrieved even after they have been
deleted. Institute access to the content of electronic mail, data, files,
or other records generated, stored, or maintained by any member of
the Caltech community may only be requested 1) by the provost,
for faculty; 2) by the associate vice president for human resources,
for employees; and 3) by the vice president for student affairs, for
students. In all cases, Institute access requires prior consultation
with the Office of the General Counsel.
The use of Institute electronic information resources is a privilege, not a right, and the Institute may revoke this privilege, or
decline to extend this privilege, at any time. Inappropriate use of
Institute resources may result in administrative discipline up to and
including separation from the Institute. Suspected illegal acts
involving Institute electronic information services may be reported
to state and federal authorities, and may result in prosecution by
those authorities. Any questions concerning the appropriate use of
any of the Institutes electronic information resources or relevant
Institute policies should be directed to the provost, the chief information officer, the associate vice president for human resources,
the dean of students, or the dean of graduate studies.
Accommodations for Disabilities
It is the policy and practice of Caltech to comply fully with the
Americans with Disabilities Act (ADA), the Rehabilitation Act
(Section 504), and other applicable federal, state, and local laws to
ensure equal opportunity for qualified persons with disabilities.
Caltech is committed to ensuring that there is no unlawful discrimination in any of its programs, services, activities, and terms and
conditions of employment. As required by law, Caltech will
provide reasonable accommodations to qualified individuals with
disabilities including students, employees, and job applicants.
It is the responsibility of the Caltech administration and faculty
to ensure the Institutes compliance with this policy.
The following individuals have been designated as contacts
regarding disability issues: For students, Barbara Green, associate
dean of students, (626) 395-6351, and Felicia Hunt, associate dean
of graduate studies, (626) 395-3132. For staff, April White Castaeda,
senior director of employee relations, (626) 395-8167. For faculty,
Jean Grinols, administrator, Provosts Office, (626) 395-6129.
Alcohol Use at Student Events
I. Basic Principles
Caltech is committed to providing its students, faculty, and staff
with an environment that promotes safe and responsible social
interaction.

General Information

The Institutes concern over the illicit use and the abuse of alcohol and drugs results from the serious health hazards caused by
substance abuse and from the potential legal penalties for those
convicted of unlawful use, possession, or distribution of these substances, and by the ways in which alcohol and drugs adversely
affect the campus environment. All members of the Caltech community should be familiar with and adhere to the Institutes policy
on substance abuse. Please refer to http://cit.hr.caltech.edu/
policies/policies-main.html for the complete text of the policy.
Caltechs primary approach to preventing substance abuse is to
educate its students regarding the medical and psychological hazards of abuse and to increase student sensitivity to the ways in
which substance abuse interferes with the rights and privileges of
others. The Institute encourages the future growth of a community
where substance abuse is not condoned and where those with related abuse problems are provided with assistance.
The Caltech community, guided by the Honor Code, is founded on trust, respect, and responsibility. These principles apply to
all aspects of Caltech life, including alcohol and substance use and
abuse. Caltech has a long-standing tradition of students acting
responsibly and refraining from actions that are damaging to others
or to the Institute. Individuals are expected to take responsibility
for their own conduct and to comply with state and federal laws as
well as with Institute policy and the Honor Code.
II. Caltech Policy on Controlled Substances and Alcohol
The Institute maintains a drug-free workplace and campus. The
use, possession, cultivation, manufacture, sale, or transfer of illegal
drugs is prohibited. The illegal use of other drugs or prescriptions
is also prohibited. Members of the Caltech community are expected to act lawfully with respect to the possession and consumption
of alcoholic beverages. Possession and consumption of alcohol by
individuals under 21 is prohibited. It is a violation of Caltechs policy to serve, share, or pass alcohol to anyone under 21. Anyone
who is intoxicated, regardless of age, may not be served. All members of the Caltech community, including students, are prohibited
from returning to work in an experimental lab after having consumed alcohol. Consumption of alcoholic beverages in public areas
outside residences, such as walkways, building steps and porches,
and green spaces (e.g., the Olive Walk, the Millikan Pond area, the
Court of Man), is not permitted regardless of the drinkers age
unless the event is registered.
Planning Student Events at Caltech
Caltech recognizes that student parties and activities are an important part of campus life. The information provided here is intended
to help minimize the risks associated with sponsoring a party, and
to help individuals and organizations plan and execute a safe,
healthy, fun, and problem-free event.

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55

Event planners are encouraged to consult with the assistant vice

president for student life, the dean or associate dean of students, or the
dean or associate dean of graduate studies prior to the party so that
the respective office can work with planners in arranging their event.
56

Planning Requirements
These requirements apply to events taking place in an Institute
common area (any area outside of an individuals apartment or
private room). Examples of common areas include house lounges,
dining rooms, and courtyards, the Catalina recreation room,
Dabney Lounge, etc. These planning requirements do not apply to
activities that take place in private rooms within student residences
or student apartments. Such locales are governed by applicable
laws and conditions of the housing contract.
All student events at which alcohol will be served (including
official campus functions, registered events, and private parties)
must adhere to the following guidelines:
In order to use Institute funds (including house dues, club
funding, and student government funding) for an event
where alcohol is served, prior authorization must be
received from the assistant vice president for student life,
the dean or associate dean of students, or the dean or
associate dean of graduate studies.
Events where alcohol is served may be open only to
members of the Caltech community and their invited
personal guests.
Events should not promote the inappropriate or excessive
use of alcohol.
One student must fill out the event registration form as
the event host on behalf of the sponsoring organization,
signifying that the organization agrees to abide by
Caltech procedures and applicable law.
Professional bartenders are required at any event where
alcohol is served and participants under the legal drinking
age are present. Professional bartenders may also be
required at the discretion of the Institute if circumstances
so require. A current drivers license with a picture, a
state-issued identification card, or a passport is the
acceptable means of age verification.
A bartender may not serve alcohol to any individual who
is under 21 years of age or to anyone who is intoxicated.
A bartender may not serve more than one drink to one
person at any one time.
Alcoholic and nonalcoholic beverages must be free and
provided in quantities determined by the proportion of
guests above and below the legal drinking age. An adequate supply of quality nonalcoholic beverages must be
provided throughout the duration of the party. Alcohol
may not be served if nonalcoholic beverages run out.
Food must also be available throughout the duration of
the event.

General Information

 Campus security must be present at any registered event

where alcohol is served unless the assistant vice president
for student life, the dean or associate dean of students, or
the dean or associate dean of graduate studies grants an
exception.
All events must conclude by the time governed by Institute policy, which is 2:00 a.m. The bar must be closed at
2:00 a.m., and security will be present to assist in the
process. This may include removing remaining alcohol
to a designated secure location.
An accessible shared supply of alcohol may not be held
by houses, individuals, or clubs. This includes, but is not
limited to, unregistered kegs, trash-can punches, and beer
fridges.
Any drinking game or any other activity that promotes
the rapid and/or excessive consumption of alcoholic
beverages is not permitted.
To determine whether your event must be registered, access
the undergraduate event registration form or the graduate registration form on the Student Affairs website.
Federal and State Law
Caltech abides by federal and state laws in regard to the use of illegal drugs and alcohol. It is a criminal offense
To use, possess, cultivate, manufacture, sell, or transfer
illegal drugs, or to illegally use other drugs or prescriptions
For any person under the age of 21 to consume, purchase, or possess alcohol
To provide any alcoholic beverage to a person under the
age of 21
To provide any alcoholic beverage to an obviously intoxicated person
To be under the influence of alcohol in a public place and
unable to exercise care for ones own safety or that of
others
To operate equipment or vehicles after consuming alcohol or drugs
To have in ones possession or to use false evidence of age
and identity to purchase alcohol
A students eligibility for federal financial aid may be suspended if the student is convicted, under federal or state law, of an
offense involving the possession or sale of illegal drugs.
Liability
While the law regarding civil liability is complex, it is important to
know that under some circumstances student houses, event sponsors, bartenders, or others might be held legally liable for the consequences of serving alcohol to underage drinkers or to obviously

Institute Policies

57

intoxicated persons. Persons could be sued and potentially found

personally liable for damages to any injured party or parties.

58

Institute-Imposed Consequences for Policy Violation

Caltech will impose sanctions on individuals and organizations that
violate this policy. These sanctions and penalties will depend on
the severity of the offense. The penalties can be imposed by the
dean or associate dean of students, dean of graduate studies, assistant vice president for student life, the Conduct Review
Committee, the Board of Control, the Graduate Review Board,
and the vice president for student affairs. For undergraduate
violations, the Routing Committee (made up of the chair of the
Board of Control, the student cochair of the Conduct Review
Committee, assistant vice president for student life, and the dean
of students) determines who will hear the case. For graduate students, the dean of graduate studies and the chair of the Graduate
Review Board will meet to determine who has jurisdiction over the
case. Penalties can include expulsion from the Institute and referral
to civil authorities for prosecution for violations of the law. A student who is found to be selling or providing illegal drugs can be
suspended or expelled from the Institute, even for a first offense.
In addition to suspension or expulsion, other sanctions may
include the following:

Verbal and written warnings

Organizing an educational program for peers
Community service
The completion of an appropriate rehabilitation program
Social probation for an individual or a group
Persona non grata status
Suspension from housing
Attending a substance-abuse awareness program

Houses and student organizations that flagrantly or frequently

violate the policy will have restrictions placed on parties, events,
and/or other social activities. An event may be closed immediately,
or other interventions may be taken to correct the violation.
Disciplinary action may be invoked entirely apart from any civil or
criminal penalties that the student might incur.
Students should understand that inebriation is never an excuse
for misconductthat a students careless or willful reduction,
through the use of alcohol or other intoxicants, of his or her own
ability to think clearly, exercise good judgment, and respond to
rational intervention may invoke more stringent penalties than
otherwise might be levied.
Recent legislation allows institutions of higher education to
contact parents when their adult children violate a schools alcohol
or drug policy. If it is a possibility that students behavior with
respect to alcohol and drugs presents a danger to themselves
and/or others, Caltech may inform parents. Such a determination

General Information

will be made by the deans or the assistant vice president for student life, in consultation with other offices as necessary.
III. Alcohol Safety
When planning an event where alcohol will be served, it is important to be aware of the need to implement a plan to promote the
health and safety of your guests. Caltechs alcohol policy and programs are intended to encourage its community members to make
responsible decisions about the use of alcoholic beverages, and to
promote safe, legal, and healthy patterns of social interaction.
As an event host or as a participant, it is important to be educated regarding signs of intoxication, signs and symptoms of alcohol poisoning, and managing high-risk guests.
In order to manage high-risk guests, the following is a list of
suggested Dos and Donts:
Do
Be friendly but firm
Be assertive and nonjudgmental
Make sure you have others close by for support
Use the guests friends as your allies
Offer guests an alternative to drinking; this will allow
the guest to save face and feel in control
Be aware of possible aggression; try to get the person away
from the crowd and distracted from possible sources of anger
Dont
Be angry or obnoxious
Back down or change your mind
Hesitate to call your RA or Security
Take statements personally or get into a shouting match
Touch anyone without good reason; if someone attacks you, only
use enough force to restrain them
Embarrass the guest; others observing the situation may feel a
need to intervene or retaliate
In addition, the ability to differentiate between the symptoms of
alcohol intoxication and an alcohol emergency is critical. Signs of
intoxication include

Talking loudly, then very softly

Rambling or irrational speech
Acting aggressively or belligerently
Spilling drinks
A decrease in coordination, e.g., missing the mouth while
attempting to drink

In contrast, the signs and symptoms of alcohol poisoning are more

severe and dangerous. There is no way to sober someone up quickly. It takes about as many hours to sober up as the number of
drinks consumed. If an individual exhibits
Unconsciousness or semiconsciousness

Institute Policies

59

 Slow breathingeight breaths or less a minute

Cold, clammy, pale, or bluish skin
No response to sounds, pinching, prodding, or poking
it is highly possible that he or she has alcohol poisoning.
60

What to Do:
Telephone ext. 5000 or 395-5000 immediately
Stay with the person until help arrives
Observe the persons vital signs (level of consciousness,
breathing rate, color of skin)
Prevent choking by rolling the person onto his or her side
In cases of intoxication and/or alcohol poisoning, the primary concern is for the health and safety of the persons involved. Individuals are strongly encouraged to call for medical assistance for
themselves or for a friend/acquaintance who is dangerously intoxicated. No student seeking medical treatment for an alcohol or
drug-related overdose will be subject to discipline for the sole
violation of using or possessing alcohol or drugs. A staff member may follow up with the student after the incident to determine
his or her health and welfare.
Counseling and Treatment
Students who believe they may have an alcohol or drug problem
are strongly encouraged to seek assistance through resources available at the Institute. Students should seek aid through the Health
and Counseling Center, the health educator, the deans, or the
assistant vice president for student life. Such contacts will be kept
confidential, except as required by law or the immediate health,
safety, or security of the individual or others.
Resources
You can always contact your RA and health advocate. Additional
resources include
Security
Health Center
Counseling Center
Health Educator
Huntington Hospital Emergency Room

ext. 5000
395-6393
395-8331
395-2961
397-5111

Fire Safety
It is the policy of the California Institute of Technology to comply
with all applicable laws, regulations, codes, and standards in regard
to fires, fire safety, and fire protection. The Institute recognizes that
campus fire safety is vitally important to the Institute community,
and thus is committed to maintaining a safe environment for faculty, staff, students, and other members of the Institute community.
The purpose of the Institute policy on fire safety is to provide
guidelines for establishing and maintaining fire safety procedures

General Information

with respect to the undergraduate and graduate student houses

and dormitories (student living areas or student housing) at the
Institute.
Please refer to http://www.studaff.caltech.edu/policies.htm for
the complete text of the policy.
Firearms and Other Dangerous Materials
No one is allowed to maintain, possess, transport, or use any
firearms, including BB, pellet or paintball guns, or replicas that
could be mistaken for real guns, or other weapons, including martial arts weapons, hunting knives, fireworks, ammunition, explosives, dangerous chemicals, or highly flammable materials (e.g.,
gasoline) on Institute property, including off-campus facilities. The
use or threatened use of any knife as a weapon is also prohibited.
Mural Policy
Murals or anything that goes on walls or ceilings in the shared
spaces of Caltechs resident houses should not involve offensive
material, which includes language or images that reasonable persons would find offensive, that would reasonably interfere with
other residents enjoyment of the facility, and/or that violate
Caltechs nondiscrimination or unlawful harrassment policies or
other Caltech policies. Examples of offensive material include language or images that are racist or sexist or that are derogatory on
the basis of national origin, disability, age, religion, or sexual orientation. Graffiti or anything else that makes the houses look deteriorated or degraded is also not acceptable. Students must notify the
Housing Office in advance of the intention to put up a mural and
of its proposed location. Neither the Housing Office nor Student
Life will bear the cost of removal if a mural is put up without consultation or differs from the submitted design in ways that make it
inappropriate. All murals must comply with the mural policy and
be approved following the guidelines stated in the mural policy.
For full mural policy text, see http://www.housing.caltech.edu/
undergrad/mural_policy.asp.
Missing Students
Missing student policy and procedure have been established to
assist in locating Caltech students living in on-campus housing
who, based on the facts and circumstances known to Caltech,
the Institute has determined to be missing. Please refer to
http://www.studaff.caltech.edu/policies.htm for the complete
text of the policy.
Nondiscrimination and Equal Employment
Opportunity
Caltech is committed to equal opportunity for all persons without
regard to sex, race, creed, color, religion, national origin, ancestry,
age, marital status, pregnancy, gender identity, sexual orientation,

Institute Policies

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62

status as disabled veteran or other eligible veteran, and for otherwise qualified individuals with a disability. It is the policy of
Caltech to provide a work and academic environment free of discrimination. Consistent with this policy, illegal harassment will not
be tolerated at Caltech. Caltech will take all reasonable steps to
eliminate it in its work and academic environment.
Caltech is an equal employment and affirmative action employer
and will, whenever possible, actively recruit and include for employment members of minority groups, females, disabled veterans, other
eligible veterans, and otherwise qualified persons with disabilities.
Caltech will hire, transfer, and promote based on the qualifications
of the individual to ensure equal consideration and fair treatment of
all. All other employment actions, such as work assignments,
appointments, compensation, evaluations, training, benefits, layoffs,
and terminations, are governed by this policy. Personnel actions will
be reviewed to ensure adherence to this policy.
The provost has been designated as the Equal Employment
Coordinator for faculty, the director of employee relations for
staff, the dean of students for undergraduate students, and the
dean of graduate studies for graduate students. The associate dean
of graduate studies has been designated as Caltechs Title IX coordinator. Inquiries concerning the interpretation and application of this
policy should be referred to the appropriate designated individual.
These coordinators are responsible for program administration,
monitoring progress, and implementing goals and action-oriented
programs relating to affirmative action. Likewise, management is
responsible for monitoring decisions regarding personnel actions to
ensure that these decisions are based solely on the individuals merit,
and on legitimate, nondiscriminatory job requirements for the position in question and the reasonableness of any necessary accommodations for persons with a disability. Managers performance in
regards to Caltechs affirmative action goals and objectives will be
evaluated, as will be their performance on other Institute goals.
Anyone who witnesses or experiences conduct he/she believes
to be in violation of this policy is urged to contact any of the above
mentioned coordinators, the individuals identified in related
harassment policies, or the Employee Relations office immediately.
Complaints will be investigated promptly and individuals who
violate this policy will be subject to disciplinary action up to and
including termination or expulsion.
To achieve the goals of our affirmative action program and to
ensure equal employment opportunity and nondiscrimination, each
member of the Caltech community must understand the importance
of this policy and his/her responsibilities to contribute to its success.
Sexual Assault
The California Institute of Technology will not tolerate sexual
assault, whether directed at males or females. It is the policy of the
Institute to provide a work and academic environment free of

General Information

physical assault, including sexual assault. Rape and other types of

sexual assault, whether by a stranger or by an acquaintance, are
violations of the law and Caltech policy. Sexual assault includes,
but is not limited to, rape, forced sodomy, forced oral copulation,
rape by a foreign object, sexual battery, or threat of sexual assault.
Caltech views sexual assault, in any of its forms, as a very serious
matter and is committed to responding promptly to, and thoroughly
investigating, sexual assault charges leveled at a member of the
Caltech community. To reduce the risk of sexual assault, Caltech
provides education for the campus community to increase awareness of this important issue.
I. Basic Principles
A crucial part of Caltech culture is respect for one another; no
member of the Caltech community should take unfair personal
advantage of another member of the community. Students, faculty,
and staff who wish to file a complaint against another member of
the Caltech community will have their complaints treated seriously
and will be treated with dignity. The Institute recognizes that a sexual assault is more than an assault on an individuals body; it is also
an attack on the individuals dignity and sense of self. There-fore,
the Institute is committed to seeking input from the complainant
and the respondent before making any decision to take action.
There may be circumstances, depending on the seriousness of the
offense, in which the Institute must take action to protect the complainant or other members of the Caltech community. The Institute
will provide assistance and support for survivors of sexual assault.
II. What to Do if a Sexual Assault Has Occurred
If you have been sexually assaulted, you are encouraged to seek medical, psychological, and support services provided by campus and/or
community services. If emergency response is required, please call
Campus Security (x5000) or local law enforcement (744-4241).
Psychological treatment is available from the Student
Counseling Center or the Staff and Faculty Consultation Center.
Medical treatment is available at the Caltech Health Center,
Huntington Memorial Hospital Emergency Room, a private
physician, or through other community resources. You will benefit
from being examined for physical injury, disease, and/or the
possibility of pregnancy.
Because sexual assault may involve physical trauma and is a
crime, the person assaulted is urged to seek medical treatment as
soon as possible so that physical evidence can be obtained. To
preserve evidence, do not bathe, douche, smoke, brush your teeth,
or change your clothes. If clothes have been changed, the original
clothes should be put in a paper bag (paper is best for preserving
evidence) and brought to the hospital. If possible, you should bring
a fresh change of clothes. In most cases, evidence can be collected
only within 72 hours of the assault.

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64

Please note that the hospital and certain health-care providers

have an obligation to inform the police, and the police may
conduct an interview at the hospital regarding the assault. Your
consent will be requested to allow collection of evidence. You can
choose whether or not to disclose information to the police or to
file a civil or criminal complaint. If you desire further information
concerning this procedure, please contact the Center for Diversity,
Staff and Faculty Consultation Center, or the Rape Hotline.
Individuals who do not wish to be interviewed by the police
should seek medical assistance from a private physician or other
community resources. These health-care professionals may need
to fulfill legally mandated reporting requirements.
III. Community Resources
If you or someone you know has been sexually assaulted within or
outside of the Caltech community, there are support and resources
available.
Confidential Campus Resources
Members of the Caltech community may contact any of the offices
below confidentially. Personnel in these offices will listen and offer
options. Talking to any of these individuals does not constitute
reporting an incident involving a member of the Caltech community
to Caltech. However, these offices can provide you with support
and can guide you through Institute procedures. Although they
will not participate in formal Institute processes or legal action, the
staff in each office is available to help the complainant and/or the
respondent look at all available options; decide what plan of action
feels most comfortable; craft a statement that contains all of the
relevant information regarding the complaint; and make decisions
about how to proceed.
Sources of support and information on campus and in the
community include:
Student Counseling Center
(626) 395-8331
Staff and Faculty Consultation Center (626) 395-8360
Caltech Center for Diversity
(626) 395-3221
Other campus resources:
Student Health Center
Dean of Students
Dean of Graduate Studies
Student Life
Associate Vice President for Human
Resources
Director of Employee Relations
Provost
Campus Security
Vice President for Student Affairs

General Information

(626) 395-6393
(626) 395-6351
(626) 395-6346
(626) 395-6174
(626) 395-3230
(626) 395-8167
(626) 395-6336
(626) 395-5000
(626) 395-6100

Other community resources:

Planned Parenthood
VictimWitness Assistance Program
Rape Hotline
Pasadena Police Department
Domestic Violence Hotline
Huntington Memorial Hospital
Emergency Department
L.A. County Info Line for Support Servs.

(626) 798-0706
(800) 773-7574
(626) 793-3385
(626) 744-4241
(800) 978-3600
(626) 397-5111
(626) 350-6833

IV. Procedures for Filing Complaints

A student, faculty, or staff member who has been sexually assaulted
by a member of the Caltech community is strongly encouraged to
file a complaint with the Caltech administration as well as local law
enforcement. If you would like support and guidance in filing a
complaint, please contact the Center for Diversity, the Staff and
Faculty Consultation Center, Employee Relations, and/or the
Security Office.
A. Filing a Complaint with Civil Authorities
Members of the Caltech community wishing to report a sexual
assault to the police are encouraged to seek support and guidance
from the Center for Diversity, (626) 395-3221. The telephone
number of the Pasadena Police is (626) 744-4241.
B. Filing a Complaint on CampusOverview
A student, faculty, or staff member who wishes to file a campus
complaint against a member of the Caltech community should do
so as soon as possible after the assault, although complaints may be
filed at any time. Complaints should be brought to the attention of
one of the following individuals: provost, deans, director of
employee relations, employee relations specialists, student affairs
directors, division chairs, and division administrators, who will
ensure that the complaint reaches the appropriate investigating
office. If the respondent is a student, the complaint will be forwarded
to the dean of students or associate dean of students, or the dean of
graduate studies or associate dean of graduate studies; if staff, to
the director of employee relations; and if faculty, to the provost.
Within a reasonable length of time, the respondent will be notified
of the nature of the complaint and an investigation will begin. If
administrative changes are needed to protect the rights of either
party during the investigation, the appropriate administrators shall
see that they are made.
The complainant should immediately notify any of the above
individuals if anyone associated with the matter is under continuing
threat or is being subjected to retaliation. Immediate action will be
taken, and in such cases the complainant has the right to file
another complaint.

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C. Campus Complaint Procedure

Initial Meeting
The administrator receiving the complaint will
66

Ask the complainant questions to assess whether there is

a continuing threat to the complainant and/or other
members of the community.
Ensure that the complainant is given appropriate
protection, including protection from retaliation for the
complaint. Such protection may include restrictions on
the accused.
Provide a copy of this policy to the complainant.
Review available resources, including medical and psychological counseling.
Request a written statement from the complainant.
Review confidential campus resources that could assist
the complainant in the process.
As soon as practicable after a complaint is received, the Dean
of Students Office or the Graduate Office, the Provosts Office, or
Employee Relations will form a team to investigate the complaint.
The lead investigator will be from the same area as the respondent.
For example, if a staff member makes a complaint against a faculty
member, a representative of the provost will lead the investigation,
and if a faculty member files a complaint against a staff member, a
representative of the director of employee relations will lead the
investigation. The individuals involved in the investigation will
respect the privacy of the complainant and that of all parties
involved while they complete a thorough review of the situation.
All participants will be required to keep the contents of the investigation confidential. The investigation should be completed as soon
as practicable, usually within 30 days after the formation of the
team. The Caltech investigation will occur independently from
any legal proceedings that may take place.
The investigative process will be the following:
The respondent should be notified as soon as possible
after a complaint is filed. The respondent will receive
a verbal summary of the complaint and a copy of this
policy.
The investigators will review the written statement from
the complainant if one has been prepared, and interview
the complainant and the respondent. Each will be allowed
to have a friend who is a member of the Caltech community present during his or her interview. The friend will
serve as an observer and will not participate in the
proceedings.
The complainant and the respondent will be asked to
suggest available witnesses. Others may be interviewed
to obtain relevant information.
Both parties will be kept informed of the status of the investigation.

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Determination
The investigators will consult with Institute counsel and make
a recommendation to the relevant dean, the provost, or Employee
Relations, as appropriate, regarding the charges and the appropriate
consequences, including disciplining of the respondent.
In addition, the investigators will prepare a summary record of
the case for the president of Caltech. This record will be considered a confidential Institute document and will be provided only to
the vice president for business and finance (for staff), the provost
(for faculty), the vice president for student affairs (for students),
and the president in the case of an appeal.
Resolution
The Dean of Students Office, the Graduate Office, the Provosts
Office, or Employee Relations, as appropriate, will inform both
parties of the outcome of the investigation in writing within seven
days after receiving the recommendation and completing consultation with counsel. The provost, the vice president for student
affairs, or the vice president for business and finance will carry out
any disciplinary consequences and should consult with Institute
counsel for aid in determining the Institutes legal duties and obligations before taking appropriate disciplinary action based on the
teams findings. Discipline can include, but is not limited to, the
following: counseling, probation, involuntary leave of absence,
expulsion and/or termination. If the complainant is found to have
acted in bad faith in bringing the charges, disciplinary action may
also be taken.
Appeal
Any party involved in the investigation may appeal the decision to
the president of Caltech. The appeal must be on the grounds of
improper procedure or an arbitrary decision based on evidence in
the record. The president will appoint an investigator to interview
both parties and confer with the original investigators before
deciding whether to accept the original judgment or authorize
further investigation or deliberations.
Confidentiality
On a need-to-know basis, the following individuals at the Institute
may also be informed of the fact that a sexual assault complaint has
been made and that both parties are members of the Caltech
community:
President
Vice President/Assistant Vice President for Student Affairs
Campus Security
Dean of Students
Dean of Graduate Studies
Assistant Vice President for Student Life
Resident Associate
Provost

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Associate Vice President for Human Resources

Director of Employee Relations
Director of the Center for Diversity
Director of the Student Counseling Center
Director of the Health Services
Staff and Faculty Consultation Center
Director of Media Relations
Assistant Vice President for Marketing & Communications
The names of the individuals involved will not be released
unless the release is essential to the health and safety of the
complainant or is otherwise required in order to fulfill the legal
obligations of the Institute. In such rare circumstances, the vice
president for student affairs (for students), the provost (for faculty),
and the associate vice president for human resources (for staff) are
the only persons authorized to make an exception to the rule of
complete confidentiality regarding the names of those involved. If
an exception is made to this rule, the parties involved in the
incident will be notified as soon as possible.
Title IX
Title IX of the Education Amendments of 1972 is a comprehensive
federal law that prohibits discrimination on the basis of sex in any
federally funded education program or activity. Inquiries concerning
the Institutes policies, compliance with applicable laws, statutes,
and regulations (such as Title IX and section 504), and complaints
may be directed to Title IX coordinator, Felicia Hunt (associate
dean of graduate studies), (626) 395-3132. Inquiries about the laws
and compliance may also be directed to the assistant secretary for
civil rights, U.S. Department of Education.
Unlawful Harassment
It is the policy of the Institute to provide a work and academic
environment free of unlawful harassment and retaliation.
Harassment is the creation of a hostile or intimidating environment in which verbal or physical conduct, because of its severity
and/or persistence, is likely to interfere significantly with an
individuals work or education, or affect adversely an individuals
living conditions. Harassment in any form, based on sex, race,
color, age, national origin, disability, religion, gender identity,
sexual orientation, or any other characteristic protected by state or
federal laws, is prohibited, as are all forms of sexual intimidation
and exploitation. All faculty, students, and staff should be aware
that the Institute will not tolerate any conduct that constitutes illegal
harassment. The Institute also takes prompt action when notified
about harassment by third parties such as nonemployees, vendors,
or contractors. Complaints of harassment will be promptly and
thoroughly investigated and appropriate action, including
disciplinary measures, will be taken when warranted.

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Faculty, students, and staff, at all levels, are responsible for

maintaining an appropriate environment for study and work. This
includes conducting themselves in a professional manner, actively
discouraging harassment, and taking appropriate corrective action
to prevent and eliminate harassment. Caltech requires that any
employee who is responsible for directing other Caltech employees
participate in training regarding illegal harassment, including sexual
harassment, at least every two years.
Faculty, students, and staff have the right at any time to raise
the issue of harassment without fear of retaliation. Caltech policy
prohibits retaliation against an individual for making a good-faith
report of alleged harassment. Any faculty, student, or staff who
feels that he or she has been harassed should review the Procedures
for Investigating and Resolving Unlawful Harassment Complaints
at Caltech and immediately bring the matter to the attention of his
or her supervisor or any of the individuals listed below. They will
handle matters brought to their attention with sensitivity and
discretion.
Deans
Director of employee relations
Division administrators
Division chairs
Employee relations consultants
Provost
Student Affairs directors (including the master of student
houses)
Director of the Center for Diversity
The Institute also offers members of the Caltech community
the choice of seeking confidential counseling outside the Institutes
formal mechanisms for resolving harassment complaints. These
confidential counseling services are intended for the personal
benefit of the individual and offer a setting where various courses
of action can be explored. Those seeking this type of assistance
should check with the offices listed below, each of which has its
own mandate and guidelines for providing services:
Staff and Faculty Consultation Center
Student Counseling Center
Center for Diversity
Information for faculty, students, and staff is also available from
the Center for Diversity, Staff and Faculty Consultation Center, any
Student Affairs office, resident associates, or Employee Relations.
Any member of the Caltech community who believes he or she
has been a witness to or a target of harassment is urged to report
promptly the facts of the incident(s) to any of the above offices.
Delay in reporting may impede the Institutes ability to take appropriate action. In addition, an employee who believes he or she has
been harassed has the right to file a complaint with the federal

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Equal Employment Opportunity Commission or the California

Department of Fair Employment and Housing, which have the
authority to remedy violations; students may file complaints with
the federal Office for Civil Rights. No member of the Caltech
community will be retaliated against for making a good-faith
report of alleged harassment or for participating in an investigation,
proceeding, or hearing conducted by the Institute, or by a state or
federal agency.
I. Guidelines Regarding Harassment
Harassment
Harassment is the creation of a hostile or intimidating environment in which verbal or physical conduct, because of its severity
and/or persistence, is likely to interfere significantly with an individuals work or education, or affect adversely an individuals living
conditions. Abusive or harassing behavior, verbal or physical,
which demeans, intimidates, threatens, or injures another because
of his or her personal characteristics or beliefs is subject to the
Institutes disciplinary process. Examples of personal characteristics
or beliefs include race, ethnicity, national origin, religion, disability, age, gender identity, and sexual orientation. Some kinds of
behavior that are clearly intended to harass, while inappropriate
and not tolerated at Caltech, may not be illegal because the behaviors are not clearly linked to these personal characteristics or
beliefs. These types of behavior may be dealt with through the
student disciplinary process or through supervisory intervention,
including the Caltech progressive disciplinary process.
Harassment must be distinguished from behavior which, even
though unpleasant or disconcerting, is appropriate to the carrying
out of certain instructional, advisory, or supervisory responsibilities
or is objectively reasonable under the circumstances. Similarly,
instructional responsibilities require appropriate latitude for
pedagogical decisions concerning the topics discussed and the
methods used to draw students into discussion and full participation.
There are, however, obligations of civility and respect for others
that underlie rational discourse. Behavior evidently intended to
dishonor such characteristics as race, gender identity, national origin
or ethnic group, religious belief, sexual orientation, age, or disability
is contrary to the pursuit of inquiry and education and may be discriminatory harassment violative of law and Institute policy. Some
examples of incidents that may constitute illegal harassment follow.

An adviser tells a minority student not to take a certain

course because the adviser says that other minority students
have had difficulty in the course.
A disabled individual is not included in an off-site outing
because of lack of mobility.
A supervisor assigns only menial tasks to a minority staff
member.

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 An older employee is disciplined for insubordination when

the same conduct is tolerated from younger employees.
Swastikas have been painted on the door of a room often
used to prepare for the observance of the Jewish Sabbath.
A student tells a racially offensive joke within a study
group session with other students.
Downloading or viewing pornography that is seen by others.
Of course, in order to make an accurate judgment as to whether
these incidents are illegal or violate policy, the full context in which
these actions were taken or statements made must be considered.
Conduct of this type, therefore, will initiate an investigation, since
making tolerance of illegal harassment or submission to it a condition of employment, evaluation, compensation, or advancement is
a serious offense.
Sexual Harassment
Sexual harassment is unlawful, violating Title VII of the Civil
Rights Act of 1964, as amended, Title IX of the Education Code,
and California state law. Sexual harassment is defined as follows:
Unwelcome sexual advances, requests for sexual favors, and other
verbal or physical conduct of a sexual nature constitute sexual
harassment when
(1) submission to such conduct is made either explicitly
or implicitly a term or condition of an individuals
employment or education,
(2) submission to or rejection of such conduct by an
individual is used as the basis for decisions affecting that
individual, or
(3) such conduct has the purpose or effect of unreasonably
interfering with an individuals performance or creating
an intimidating, hostile, or offensive environment.
The test is not whether the person participated voluntarily; the
test is whether the conduct was unwelcome.
Sexual harassment by peers, coworkers, or third parties such as
nonemployees, vendors, or contractors is a form of prohibited sex
discrimination where the objectionable conduct creates a hostile
educational or work environment. Both males and females are protected from peer sexual harassment. Moreover, sexual harassment is
prohibited regardless of the sex of the harasser, e.g., even where
the harasser and the person being harassed are members of the
same sex.
Some examples of conduct that may constitute harassment are
Unwanted sexual advances.
Offering employment benefits in exchange for sexual favors.
Making or threatening reprisals after a negative response to
sexual advances.
Making sexual gestures or displaying sexually suggestive
objects, pictures, cartoons, posters, calendars, or computer
screens.
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Downloading, viewing, and/or sharing of pornography.

Making or using derogatory comments, epithets, slurs, or
jokes of a sexual nature.
Verbal sexual advances or propositions.
Using Institute resources or time to create or obtain sexually
explicit materials that are not directly related to legitimate
business of the Institute.
Verbal abuse of a sexual nature, graphic commentaries about
an individuals body, sexually degrading words used to
describe an individual, suggestive or obscene letters, notes,
electronic mail messages, or invitations.
Unwelcome, intentional and/or repeated touching of a
sexual nature.
Stalking.
Ostracizing individuals from group activities because of their
sex or because they objected to harassing behavior.
Even when relationships are consensual, care must be taken to
eliminate the potential for harassment or other conflicts. It is not
acceptable to treat other employees, who are not in the consensual
relationship, less favorably. Institute practice, as well as more general ethical principles, precludes individuals from evaluating the
work or academic performance of those with whom they have
amorous and/or sexual relationships, or from making hiring, salary,
or similar decisions.
Upon learning about such a relationship, the supervisor, the
dean(s), or the division chair has the authority and responsibility to
review and remedy, if inappropriate, any direct administrative or
academic relationship between the involved individuals.
When a consensual personal relationship arises and a power
differential exists, consent will not be considered a defense in a
claim that the Institutes unlawful harassment policy has been violated. The individual in the relationship with greater power will
bear the burden of accountability.
Investigations
The Institute is firmly committed to resolving allegations of
harassment fairly and quickly. To ensure that open and forthright
dialogue occurs, attorneys are not permitted to accompany individuals during interviews, nor are interview sessions recorded in any
manner. Those interviewed are always entitled to submit a written
statement if they so choose or to consult with others regarding the
interview, keeping in mind that these proceedings must be kept as
confidential as possible.
II. Procedures for Investigating and Resolving Unlawful Harassment
Complaints at Caltech
Basic Principles
The Institute is committed to maintaining a work and academic
environment for all members of the Caltech community that is free

General Information

of unlawful harassment, including sexual harassment. A crucial part

of Caltech culture is respect for one another; no member of the
Caltech community should take unfair personal advantage of
another member of the community.
Caltech also is dedicated to the free exchange of ideas and to
intellectual development as part of the campus milieu. Harassment,
as defined by the Institutes policy on unlawful harassment, is neither legal nor a proper exercise of academic freedom. This policy is
not intended to stifle vigorous discussion, debate, or freedom of
expression generally, or to limit teaching methods. Harassment
compromises the tradition of intellectual freedom and the trust
placed in the members of the Caltech community.
Caltech provides resources that address unlawful harassment
and sexual harassment. Law and Caltech policy also prohibit retaliation against an individual for reporting any type of harassment.
Copies of the Institute's nondiscrimination, unlawful harassment, and other policies are available from Human Resources, any
Student Affairs office, Deans offices, the Center for Diversity, the
Staff and Faculty Consultation Center, and the Provosts Office.
Policies are also published in the Caltech Catalog and the Employee
Handbook, and are on the Caltech website. The policies and these
procedures identify appropriate people on campus to contact with
complaints.
Procedures
A member of the Caltech community who believes he or she has
been subjected to harassment, including sexual harassment, should
review the Institutes policy. There are several courses of action
available to address the problem, each with different consequences
and implications with respect to confidentiality and resultant
action. These options are not mutually exclusive. The complainant
may choose which course to follow and may submit a formal complaint at any time.
A. Informal Options
An individual who believes that he or she has been harassed may
choose to resolve his or her concerns informally. In general, the
goal of the informal options is to quickly end offending behavior
without utilizing disciplinary action. Third parties with an official
status at Caltech, such as faculty, managers, or supervisors, are
expected to follow up with the complainant to make sure that the
issue has indeed been resolved. Mutually agreeable administrative
changes are sometimes possible to ease an uncomfortable situation.
Complainants should consider at the outset whether such changes
might be desirable. Informal options include
1. Talking personally with the offending individual, or writing a
letter asking him or her to stop. This is a personal step taken
solely among the relevant parties.

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2.

74

3.

4.

Speaking to members of the Student Counseling Center, the

Staff and Faculty Consultation Center, or the Diversity
Center. Such conversations are confidential and are not
communicated to individuals within or outside the Institute.
Resolving the complaint informally with the help of a third
party who does not have a faculty, supervisory, or managerial
position at Caltech. This could be a peer for staff; or, for
students, a peer, a resident associate, or a member of the
Board of Control or the Graduate Review Board. The goal
here is to allow the parties to resolve complaints without an
investigation and without elevating the complaint within the
Institute. The person here is not obligated to share this
information with other persons holding positions of responsibility at Caltech.
Resolving the complaint informally with the help of a third
party who has a faculty, supervisory, or managerial position
at Caltech. The goal here is also to allow the parties to
resolve complaints without an investigation and without elevating the complaint within the Institute. However, a person
in these official positions is obligated to follow up to be sure
the situation has been resolved. This action might include
referring to an appropriate individual within the Institute or
sharing some of this information with other persons holding
positions of responsibility at Caltech.

B. Formal Complaints
A formal complaint is a request that the Institute take action. The
complainant may file a formal complaint by reporting the offending conduct to individuals holding any of the following positions:
provost, dean, director of employee relations, employee relations
consultant, student affairs director (including master of student
houses), division chair, or division administrator. The complaint is
then taken to the provost, director of employee relations, or
dean(s) as appropriate (for faculty, postdoctoral scholars and staff,
and students, respectively). This individual initiates an investigation described more fully below.
Protection of complainant. Because the Institute encourages staff,
faculty, and students to report and address incidents of harassment,
complainants will be protected: retaliation against any member of
the Caltech community is strictly prohibited. Overt or covert acts
of reprisal, interference, discrimination, intimidation, or harassment against an individual or group for exercising his or her rights
under this policy will be subject to appropriate and prompt disciplinary or remedial action.
Administrative and/or academic changes may be needed in
order to protect the rights of the complainant. These changes
should be discussed with the appropriate parties: provost, director
of employee relations, or dean(s). Changes might include transfer
of supervisory or evaluative responsibility regarding grading,

General Information

supervision, tenure review, letters of recommendation, etc. Care

will be taken to protect both the complainant and the respondent
with the greatest degree of confidentiality. A complainant may have
an adviser or support person present when reporting harassment.
However, the proceeding is an internal Caltech function and,
therefore, the presence of legal counsel is not permitted by anyone
during the conduct of these procedures.
C. Details of Formal Complaints
Formal complaints of harassment can be made orally or in
writing, but if made orally, should, in the end, be put in
writing.
Complaints should be brought to the attention of one of the
following individuals: provost, dean, director of employee
relations, employee relations consultant, student affairs
director, division chair, or division administrator. They will
ensure that complaints reach the provost, director of
employee relations, or the dean(s), as appropriate.
Within a reasonable length of time the accused party (the
respondent) will be notified of the nature of the complaint,
and an investigation will begin. If administrative changes are
needed to protect the rights of the complainant during the
investigation, the appropriate administrators shall see that
they are made.
All formal complaints will be investigated within a reasonable
length of time after the complaint has been made, normally
within 120 days. An individual, a committee, or an outside
consultant may conduct the investigation. The purpose
of the investigation is to determine the facts relating to
the complaint.
Each individual or team member who conducts an investigation will be trained in various aspects of harassment. Because
of the sensitive nature of these investigations, he or she will
consult with the general counsel for legal assistance in investigative techniques, in applying legal standards regarding
harassment, and in determining the Institutes legal duties
and obligations.
The complainant and respondent will be informed of the
relevant procedures and will have an opportunity to comment on the suitability of the investigator(s).
The Institutes nondiscrimination and equal employment
opportunity (EEO) and harassment policies, and the
Institutes policy against retaliation, will be reviewed with
both parties. The complainant and respondent shall be given
the opportunity to present their cases separately to the investigator(s) and to suggest others who might be interviewed.
Subsequently, the investigator(s) can, if appropriate, interview other parties to reach findings and conclusions.

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All parties who participate in investigative interviews may

submit written statements. Investigatory meetings will
not be recorded.
The investigator(s) will summarize for the respondent the
evidence in support of the complaint to allow the respondent
the opportunity to reply. The investigation will remain confidential to the extent possible.
Findings and conclusions in the case will be reported to the
respondents manager, dean, or the provost, as appropriate,
within 30 days of the investigation being concluded.
Additionally, the report will include recommendations
regarding resolution and sanctions, as well as measures to
prevent the occurrence of similar instances.
Exceptions to or modification of these procedures can be
made by the provost, the dean(s), or the director of employee
relations if required for fairness or practical necessity.
Exceptions must be made in writing and notice provided to
both the complainant and respondent. Other administrative
issues regarding the conduct of the investigation will be
decided by the provost, dean(s), and director of employee
relations, as needed.
Investigative files are confidential and will be maintained in
the appropriate administrators office.
The conclusions that the investigation might reach include, but
are not limited to, the following possibilities. In each case the investigator(s) should summarize the evidence that supports the conclusion.
1. A violation of the Institutes EEO and/or harassment policies
occurred.
2. Inappropriate behavior occurred, but did not constitute a
violation of the Institutes policies on discrimination and/or
harassment. For example, the respondent improperly used
the power of his or her position, used poor judgement, or
violated applicable standards of ethical behavior.
3. The charges were not supported by the evidence.
4. The charges were brought without any basis or without a
reasonable, good-faith belief that a basis existed.
D. Resolution
As soon as practicable after receiving the findings of the investigator(s), management or administration shall review the findings with
the dean(s), managers, division chairs, and others as necessary. Both
the complainant and respondent shall be informed of the results.
If a violation of Institute EEO and/or harassment policies occurred,
sanctions shall be imposed. Depending on the severity of the case and
role at Caltech, possible sanctions include, but are not limited to
Verbal counseling/training
A formal written warning placed in the respondents file
Suspension of the right to accept new graduate students or
postdoctoral scholars
General Information

 Transfer of advisees and/or removal from positions of

administrative responsibility
Removal from student housing
Removal from a supervisory position
Enforced leave of absence/suspension
Termination of employment or permanent dismissal
If the respondent was not found to have violated Institute policy
on harassment, but the investigation concludes that he or she violated another Institute policy, or committed some other wrongful
or improper act, appropriate sanctions will be imposed. Likewise, if
the complainant is found to have brought charges without any
basis or without a reasonable, good-faith belief that a basis existed,
appropriate sanctions will be imposed on the complainant.
E. Appeals
Appeals must be submitted in writing within 30 days of notification
of the decision. Appeals by a faculty member of decisions or actions
by the provost that affect academic freedom and tenure can be made
to the Faculty Committee on Academic Freedom and Tenure as indicated in Chapter 4 of the Faculty Handbook. Other appeals for faculty
and appeals by postdoctoral scholars can be made to the president.
Student appeals can be made to the vice president for student
affairs or his or her designee. Staff appeals can be made to the
associate vice president for human resources or his or her designee.
F. Further Complaints
The complainant should notify the provost or division chair, the
dean(s), or director of employee relations immediately if the corrective action does not end the harassment, or if any retaliatory
action occurs. In such cases, the complainant has the right to file
another complaint.

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S e c t i o n Tw o

Areas of Study and

Research
78

Areas of Study and Research

AEROSPACE

The Guggenheim Aeronautical Laboratory, the Krmn Laboratory of Fluid Mechanics and Jet Propulsion, and the Firestone
Flight Sciences Laboratory form the Graduate Aerospace Laboratories, widely known as GALCIT. In this complex are housed the
solid mechanics, impact mechanics, and deployable space structures
laboratories, the hypersonics and hydrodynamics facilities, the
explosion dynamics and detonation physics laboratories, and the
Joe and Edwina Charyk laboratory of bioinspired design and biopropulsion, as well as the various disciplines making up the broad
field known as
aerospace.
Areas of Research
Aerospace has evolved at Caltech from a field of basic research
and engineering, primarily related to the development of the airplane, into a wide discipline encompassing a broad spectrum of
basic as well as applied problems in fluid dynamics and mechanics
of solids and materials. Educational and research thrusts include
the application of mechanics to various aspects of space exploration
and to the study of biosystems and biopropulsion. Research at
GALCIT has traditionally pioneered exploration of areas that
have anticipated subsequent technological demands. This tradition
places a high premium on in-depth understanding of fields both
closely and remotely related to the behavior of fluids, solids,
combustion, materials, and structures, such as physics, applied
and computational mathematics, earthquake physics, atmospheric
studies, materials science, micro- and optoelectronics, microfluidics, bioinspired design, biomedical devices, and even astrophysics.
GALCIT students are known and sought after for their broad yet
intense education and for their ability to deal with new and challenging problems.
Major areas of experimental, theoretical, and numerical research
currently pursued by aerospace students at Caltech are briefly
described below.
Physics of Fluids. Fluid dynamics as a discipline is as much a part
of physics as of engineering. Physics of fluids refers to research
in areas closer to applied physics than to direct technical applications. Present active research includes studies in gas dynamics
and hypervelocity flows, diffraction and focusing of shock
waves, detonation waves, shock-induced Rayleigh-Taylor and
Richtmeyer-Meshkov instabilities, transient supersonic jets, the
development of laser-scattering diagnostic techniques for fluidflow measurements, the study of structures and mechanics in
transition and turbulence, studies of two-phase flows and
turbulent mixing and experimental manipulation and control of

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wall-bounded flows for improved flow characteristics, such as

reduction of drag, noise, and structural loading.
Physics of Solids and Mechanics of Materials. Mechanics of materials research involves both the quasi-static and dynamic characterization of the mechanical behavior and failure of solids. In
order to understand materials for applications in a wide range
of structures germane to aerospace as well as other engineering
disciplines, both the physical foundations of that behavior and
the mathematical or numerical representation of such behavior
needs to be understood. Accordingly, studies involve material
response at both the macroscopic (continuum) scales and the
micro- and nanoscales. Of interest are the typical engineering
metals, multiphase (composite) materials, polymers and ceramics, thin film materials used in microelectronic and optoelectronic applications, soft tissue mechanics of materials, and active
materials used in structural actuation and controls. Other areas
of active research include the study of highly nonlinear dynamics in solids, multiscale acoustic metamaterials, and nondestructive evaluation/structural health monitoring of structures.
Space Technology. The goal of industrial utilization and exploration of space requires that one addresses a wide range of engineering problems. Examples of research activities include lightweight structures for large aperture systems, in-space manufacturing, material and structural behavior in extreme temperature
and radiation environments, spacecraft shielding against hypervelocity impact threats, the mechanics of sample containment
for planetary protection, low-g biomechanics, biomimetics of
locomotion in planetary atmospheres, hypersonic reentry into
planetary atmospheres, in-space propulsion, guidance, navigation and control, and launch-vehicle performance and safety.
Opportunities exist for research in collaboration with the Jet
Propulsion Laboratory.
Computational Solid Mechanics. Computational solid mechanics
addresses phenomena ranging from the atomistic scale, e.g.,
nanoindentation, to the structural scale, e.g., fracture of aircraft
or spacecraft components, modeling of large space structures or
even dynamic fragmentation phenomena accompanying hypervelocity impact. It provides an indispensable tool for understanding the relation between structure and mechanical properties of materials, for predicting the efficiency of such industrial
processes as machining and metal forming, and for assessing the
safety of such structures as airplanes, spacecraft, automobiles,
and bridges. The goals and objectives of this activity are to provide a state-of-the-art environment for the development of
numerical methods in solid mechanics, to provide the computational resources required for large-scale simulations in solid
mechanics, and to serve as an instructional facility for advanced
courses.

Areas of Study and Research

Computational and Theoretical Fluid Dynamics. Many of the fluid

dynamics phenomena studied experimentally at GALCIT are
also being investigated by numerical simulation and by theoretical analysis. Present active research areas in computational and
theoretical techniques include direct numerical simulation, particle methods for flow simulation, new algorithms and subgridscale models for compressible and incompressible flows, largeeddy simulation methods, flows with shocks and driven by
shocks, analytical and computational techniques for turbulence
structure diagnostics, analysis of turbulent mixing dynamics,
high-explosive interactions with deformable boundaries, and
detailed chemical reaction kinetics in flames and detonations.
Mechanics of Fracture. An active effort is being made to understand mechanisms in a wide range of fracture problems. Aspects
that are studied include quasi-static and dynamic crack growth
phenomena in brittle and plastically deforming solids, polymers
and advanced composites, as well as fatigue and failure of adhesive bonds. Research areas adjunct to dynamic fracture studies
are those of dynamic localization in metals and of failure in
frictional interfaces. These include the study of shear rupture
phenomena in both coherent and incoherent interfaces. The
dynamic failure of modern composite and layered materials and
the phenomenon of earthquake rupture growth along geological
faults have motivated these studies.
Aeronautical Engineering and Propulsion. Research in the aeronautical engineering area includes studies of airplane trailing
vortices and separated flows at high angles of attack. Research
work in the propulsion area has centered on the fluid dynamic
problems associated with combustion, solid propellant rocket
motor instabilities, fluid dynamics and optimization of scramjets, and pulse detonation engines.
Biomechanics of Fluids and Solids. The kinematics and dynamics
of fluid flows in biological systems are studied in experiments,
numerical simulations, and theoretical analyses. These flows are
often characterized by unsteady vortex dynamics, coupled fluid
interactions with flexible material surfaces, non-Newtonian
fluid behavior, and, in some cases, compressibility. Areas of
active research include animal swimming and flying, cardiovascular fluid dynamics and hemodynamics, the mechanics of morphing/active deformable surfaces for flow control, and biologically inspired design of engineering systems.
Technical Fluid Mechanics. These areas are related to a variety
of modern technological problems and, in addition, to the
traditional aeronautical problems of drag, wing stall, and shear
flow mixing. Additional areas of activity include bluff-body
aerodynamics, fluid-structure interaction, turbulent combustion, laminar diffusion flames and their instabilities, explosions,
hydrodynamics and two-phase flows, interaction of vorticity

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with free-surface, cardiac flows, swimming and flying, and

active and passive control of transition and turbulence.
Acoustics problems studied include jet noise, combustion noise,
and instabilities such as the generation of organ pipe oscillations
in large burners of electric generating plants.
Fluid Mechanics, Control, and Materials. The effects of boundary
conditions on turbulence characteristics and general flow
physics, scaling and controllability, interdisciplinary methods
based on developments in materials science and control techniques. Manipulation of canonical and simple model flows to
probe fundamental issues of flow physics and control. Development of smart, biomimetic boundaries. Development of
practical control and measurement techniques and devices.
Experimental study of wall-bounded turbulence for scalability
of control from the lab to large-scale applications.
Mechanics of Lightweight Space Structures. Current efforts in the
field of next-generation deployable space structures aim to
increase reliability and also lower fabrication and assembly costs
by moving toward structures that consist of only a small number of separate pieces able to undergo large elastic deformations. These elasticstored-energy structures return to their
original, unstressed configuration when they are released in
orbit. The design of these structures requires accurate structural
models that incorporate geometry change and contact effects in
sufficient detail to capture the actual behavior that is observed
in ground tests. Local and global instabilities are often observed
during folding/deployment, and their effects can also be very
important. Ultimately, validation against space-based experiments will be pursued for a selected number of structural configurations. In parallel to these studies, thermomechanical constitutive models for ultrathin composite materials for these
novel deployable space structures are being developed.
Extensive studies of the deployment, elastic, and viscoelastic
stability of stratospheric balloons are also being conducted.

Physical Facilities
The Graduate Aerospace Laboratories contain a diversity of experimental facilities in support of the programs described above. Lowspeed wind tunnels include the John W. Lucas Adaptive Wall
Tunnel, the Merrill Wind Tunnel, which can be operated by a single person, and special-purpose flow facilities. Both a high-speed
water tunnel (100 feet per second) and a free-surface water tunnel
are housed in the hydrodynamics laboratory; they are used for
studies of acoustics, laminar-turbulent flow transition, and the
structure of turbulent shear flows. Smaller water channels and a
tow tank for studies of wave motion and flow visualization are
also available. For investigations of high-speed flows, there is a
Ludwieg tube, a supersonic shear layer facility, and the T5 shock

Areas of Study and Research

tunnel for studying hypervelocity gas flows up to 7 km/s. Shock

tubes and other special facilities are available for the study of
extreme temperatures, shock waves, deflagrations, detonations,
acoustics, and combustion at variable pressure conditions. A 40meter tilting water flume and wave generation facility is available
for studies of small-scale, self-propelled vehicle prototypes, fluid
dynamic energy conversion, and environmental flow studies.
The solid and structural mechanics laboratories contain standard as well as special testing facilities for research related to aircraft, deployable space structures, and failure/fracture behavior of
materials under static and dynamic loads, including three servohydraulic facilities, two of which operate on a tension/torsion
mode, and a nanoindenter. A range of digital and film high-speed
cameras offering recording at rates up to 100 million frames per
second are available for the study of fast phenomena, such as wave
propagation, hypervelocity impact, and the mechanics of static and
dynamic fracture. Dynamic testing facilities include specialized
electromagnetic loading devices (stored energy ~120 kJ), a drop
weight tower, split Hopkinson bars (axial/torsional), and plate
impact apparatus. Diagnostic devices include full-field interferometric and high-speed temperature measurements, both for static
and dynamic applications. Other specialized facilities include a
Class One clean room area that houses microelectronic wafer
inspection metrology tools, and the Small Particle Hypervelocity
Impact Facility (SPHIF) jointly operated with JPL, which is capable of launching micrometeoroid serogate particles at speeds up to
8 km/s. Facilities are available for scanning microscopy (AFM,
STM) and electromechanical characterization of materials.
State-of-the-art electronic instrumentation is being developed
and used. Extensive use is made of computer systems for real-time
control of experiments, for data acquisition, processing, and storage, and for digital image processing. Computational facilities
include powerful workstations, on-campus high-performance computing machines, and remote supercomputers such as those generally available at NSF, NASA, and DOE centers. Graphics workstations are available to support research in computational fluid
dynamics and solid mechanics.
APPLIED AND COMPUTATIONAL MATHEMATICS

An interdisciplinary program of study in applied and computational

mathematics that leads to the Ph.D. degree is offered by the
Computing & Mathematical Sciences department. In addition to
various basic and advanced courses taught by the applied and
computational mathematics faculty, broad selections are available
in mathematics, physics, engineering, and other areas. Students are

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expected to become proficient in some special physical or nonmathematical field. A subject minor in applied computation is
offered jointly with the computer science option.
In addition to the applied and computational mathematics faculty, professors from other disciplines such as mathematics,
physics, engineering, and biology supervise research and offer
courses of special interest. The applied and computational mathematics group has access to supercomputers and concurrent computers. Library facilities are excellent, comprising all the journals,
a complete general library, and a special research library in engineering and applied science.
The present graduate program is one leading mainly to the
Ph.D. degree. The curriculum consists of two types of courses:
those that survey the methods used in applied and computational
mathematics, and those that have a special applied and computational mathematics flavor and represent active research interests of
the members of the faculty. Among the latter have been wave
motion, perturbation theory, fluid mechanics, optimization, stochastic processes, wavelet analysis, signal processing, numerical
analysis, computational electromagnetism, and computational
fluid dynamics. Through study outside of applied and computational mathematics, each student is expected to become competent
in some special physical or nonmathematical field. In this way,
subjects for research appear naturally, and a broad educational
program is provided.
The group primarily interested in applied and computational
mathematics currently consists of approximately 25 students and
eight professors. Also, each year many distinguished visitors come
either to present lectures or remain in residence for large parts of
the academic year.
Areas of Research
Research is particularly strong in theoretical and computational
fluid mechanics, theoretical and computational materials science,
computational electromagnetism, numerical analysis, ordinary and
partial differential equations, integral equations, linear and nonlinear wave propagation, water waves, bifurcation theory, perturbation and asymptotic methods, stability theory, variational methods, approximation theory, statistical estimation, computational
harmonic analysis, stochastic processes, signal and imaging
processing, inverse problems, mathematical biology, large-scale
scientific computing, and related branches of analysis.

Areas of Study and Research

APPLIED MECHANICS

Areas of Research
Advanced instruction and research leading to degrees of Master of
Science and Doctor of Philosophy in applied mechanics are offered
in such fields as elasticity; plasticity; wave propagation in solid
media; mechanics of quasi-static and dynamic fracture; dynamics
and vibrations; finite element analysis; and stability, control, and
system identification of mechanical and structural systems.
Research studies in these areas that illustrate current interests
include linear and nonlinear random vibrations of uncertain
dynamical systems; structural dynamics and control for earthquake
and wind loads; linear and nonlinear problems in static and dynamic
elasticity, plasticity, and viscoelasticity; computational mechanics;
mechanics of time-dependent fracture; chaotic behavior of dynamical
systems; and material instabilities and phase transformations in
solids.
Physical Facilities
In addition to the regular facilities in the Division of Engineering
and Applied Science, which include extensive computing facilities,
certain special facilities have been developed in connection with
applied mechanics activities. The vibration laboratory is equipped
with a good selection of modern laboratory apparatus and
instrumentation for experimental research in shock and vibration,
and the earthquake engineering research laboratory contains
specialized equipment for vibration tests of buildings, dams, and
other structures, and for the recording and analysis of strongmotion earthquakes. The solid mechanics laboratory located in the
Graduate Aeronautical Laboratories contains extensive testing
equipment for the study of fracture and structural failure. Excellent
computing facilities are available through the campus computing
network and in the specialized centers of various research groups.
APPLIED PHYSICS

An interdivisional program in applied physics for both undergraduate and graduate study was initiated in 1970. Applied physics
at Caltech is in a fortunate position: the comparatively small size of
Caltech coupled with its great strength in both the pure sciences
and engineering makes it possible to have a faculty with a wide
interest in the application of modern physics to technology, without
losing close interaction with pure subjects. At present, members

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of four divisionsEngineering and Applied Science; Physics,

Mathematics and Astronomy; Chemistry and Chemical Engineering;
and Geological and Planetary Sciencesparticipate in instruction
and research in applied physics leading to a B.S. degree as well as
to M.S. and Ph.D. degrees.
The program is designed for students who are deeply interested
in physics but at the same time are fascinated by the interrelation
of physical problems and technological developmenti.e., students
who like to work with problems in physics that originate from or
result in applications. A sharp division between pure and
applied physics or between applied physics and engineering
cannot be drawn, and the option of applied physics should be
considered a bridge rather than a divider. A student is expected to
have a thorough background in physics, as well as a broad background in related fields of technology.
Members of the faculty involved with the educational and
research activities in applied physics remain members of their
respective divisions. Graduate students who choose the applied
physics option will do research in one of the cooperating divisions.
In setting up the undergraduate curriculum, every effort has
been made to facilitate the transition into and out of the option. In
general, an undergraduate student in applied physics will devote
somewhat more time to the study of condensed matter than will
the pure physicist. Since it is expected that most students will be
interested in experimental research, a special effort has been made
to set up challenging laboratory courses and to provide an opportunity to do a senior thesis.
For first-year graduate students and adventurous seniors, a set
of basic courses covering broad areas in applied physics is available,
supplemented by a set of more specialized courses often closely
related to a specific research effort.
Areas of Research and Physical Facilities
Research in applied physics covers a broad spectrum of activities,
ranging from nanostructured materials, solid state devices, and
photonics to biophysics and plasma physics. There is research in
progress in single-molecule biophysics, synthetic biology,
microfluidics, nanostructure fabrication and application in photonics and electronics, ultrahigh-speed fiber optic devices and
communications systems, compound semiconductor materials and
device physics, spin-dependent transport, photovoltaics, chemical
vapor deposition processes, and fluid dynamics. The research
program is centered in the Thomas J. Watson, Sr., Laboratories
of Applied Physics. This 40,000-square-foot building contains
research laboratories, including a central micro/nano fabrication
facility, as well as offices, conference rooms, and a classroom,
nestled around an attractive courtyard.

Areas of Study and Research

ASTROPHYSICS

The astronomical observatories at Palomar, the W. M. Keck

Observatory, the Owens Valley Radio Observatory, the Combined
Array for Research in Millimeter-wave Astronomy (CARMA),
the Chajnantor Observatory, and the Caltech Submillimeter
Observatory together constitute a unique and unprecedented
concentration of ground-based facilities in astronomy.
Access to satellite-based infrared observations is provided by
Caltechs Infrared Processing and Analysis Center (IPAC) and the
Spitzer Science Center (SSC). For example, IPAC currently supports a number of NASA missions: 2MASS, an all-sky survey at
2 microns, and the Infrared Space Observatory (a mission of the
European Space Agency). The SSC is conducting the science
operations of the Spitzer Space Telescopeone of the great space
observatories. The GALEX mission, a space UV survey of the sky,
is also used by Caltech.
The Division of Physics, Mathematics and Astronomy also
conducts work in theoretical astrophysics, laboratory astrophysics,
gravitational-wave physics, and infrared and submillimeter
astronomy, as well as studies of the cosmic microwave background
(CMBR). The radio astronomy group works in close collaboration
with the optical astronomers in Pasadena. There is close cooperation between these groups and the students and astronomers
interested in planetary physics and space science. Caltech is also
among the leaders in the development of the National Virtual
Observatory.
As a result of the cooperation possible over a broad range of
astronomy and theoretical astrophysics, unsurpassed opportunities
exist at Caltech for advanced study and research. Courses of study
depend upon a broad and thorough preparation in physics, mathematics, and other relevant subjects; the faculty offers advanced
instruction in astronomy, astrophysics, solar physics, planetary
physics, and astronomical instrumentation and techniques.
Areas of Research
Both observational and theoretical astrophysics are actively pursued.
Topics of current interest in optical and infrared astronomy include
observational cosmology; spectroscopic and spectrophotometric
studies of quasars and galaxies; studies of the dynamics and composition of galaxies and clusters, nebulae, and interstellar matter;
planet and star formation; statistical studies pertinent to cosmology,
the structure of the galaxy; globular clusters; gamma-ray bursts;
neutron stars; digital sky surveys; and many others.
Research in planetary and solar system astronomy is pursued
in cooperation with groups in the Division of Geological and
Planetary Sciences.

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The research in radio astronomy covers cosmology, via observations of the microwave background radiation, and the physical
properties of galactic and extragalactic radio sources, including
quasars, pulsars, radio galaxies, stellar envelopes, and the planets.
The properties of the interstellar medium in our own and other
nearby galaxies are investigated in spectroscopic studies of various
atomic and molecular spectral lines.
Theoretical astrophysics is pursued not only in the astrophysics
department, but in physics and geology as well, and at Caltech
includes work on supernovae, pulsars, stellar structure and evolution, stellar and planetary atmospheres, interstellar and intergalactic
matter, the physics of radio sources, nucleosynthesis, relativity, and
cosmology.
Physical Facilities
The Rockefeller Boards provided, in 1928, for the construction
by the Institute of an astronomical observatory on Palomar
Mountain, equipped with a 200-inch reflecting telescope, 48-inch
Samuel Oschin and 18-inch Schmidt wide-angle telescopes, and
other auxiliary instruments, together with an astrophysical
laboratory on the Institute campus. The 48-inch Samuel Oschin
Telescope has made possible complete surveys of the northern sky.
It is now equipped with a major new digital camera, which will
lead to a new generation of sky surveys. The Palomar telescopes
have modern instrumentation and detectors designed for both
optical and infrared wavelengths. The 200-inch Hale Telescope has
been used to make many historical, fundamental discoveries ever
since its commissioning in 1948, and through the present day. It is
now also used for pioneering advances in adaptive optics.
A multipurpose solar equatorial telescope at an observing
station at Big Bear Lake is now run jointly with the New Jersey
Institute of Technology.
The Owens Valley Radio Observatory is in a radio-quiet location
400 km north of Pasadena, near Big Pine, California. Its facilities
include a 40-meter telescope, a five-element interferometer for
solar studies, and a 5.5-meter telescope dedicated to observations
of polarized radio emission from the galaxy. The Combined Array
for Research in Millimeter-wave Astronomy (CARMA) is a joint
project between Caltech, the University of California, the
University of Illinois, and the University of Maryland. It consists
of 15 antennas, located in an isolated area in eastern California.
The high-precision 10-meter telescopes of the millimeter array are
used at wavelengths of 1.3 to 4 mm to map the distribution of
interstellar gas and dust in star-forming regions of our own and
other galaxies. The array also enables detailed studies of the sun,
planetary atmospheres, and the envelopes around evolved stars.
These telescopes, which are equipped with very sensitive cryogenically cooled receivers and sophisticated signal-processing and

Areas of Study and Research

data-recording systems, give Caltech staff and students the widest

range of observing opportunities available at any university-related
radio observatory in the world.
The Caltech 10-meter Submillimeter Observatory, located on
Mauna Kea, Hawaii, was completed in 1986 for the study of the
chemistry and physics of planets and cool regions of the interstellar
medium.
The Chajnantor Observatory is situated at an altitude of 5,080 m
in the Chilean Andes. It is the site of the Cosmic Background
Imager, which is used for cosmic microwave background studies,
and will also be the site of the QU Imaging Experiment (QUIET)
and the Clover experiment, both of which aim at very high sensitivity polarized microwave background studies.
The Keck Foundation funded the construction of two 10-meter
optical-infrared telescopes, operated jointly with the University of
California as part of an interferometer. Each Keck Telescope has
four times the power of the Palomar 200-inch. They can be combined as an interferometer of unprecedented power. These are the
two largest optical-infrared telescopes in the world, equipped with
adaptive optics and state-of-the-art optical and infrared instrumentation, and they have made numerous fundamental advances in
astronomy and cosmology. Caltech is also a major partner in the
development of the Thirty-Meter Telescope (TMT).
BEHAVIORAL AND SOCIAL NEUROSCIENCE

The Institute offers an interdisciplinary program of study in neuroscience, psychology, economics, and political science that leads to
the Ph.D. degree. The program seeks to train students to do interdisciplinary work at the intersection of the natural and social sciences. At present, members from the biology, computation and
neural systems, social sciences, and humanities groups participate
in research and training in this area.
Areas of Research
This program is characterized by interdisciplinary research at the
frontier of neuroscience, psychology, economics, and political science. Examples of research topics of interest include the following:
Computational and neurobiological foundations of simple
decision making in animals and humans.
Computational and neurobiological basis of economic and
political decision making.
Affective neuroscience.
Neurobiological basis of social behavior in human and animal
models.
Neurobiological basis of moral judgment and decision making.
Applications of neuroscience to economics and political science.

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89

Physical Facilities
Research in this area is carried out in multiple laboratories spanning a wide range of experimental techniquesfrom behavioral
experiments to single unit neurophysiology. Researchers also have
access to two state-of-the-art facilities: the Caltech Brain Imaging
Center, which contains various human and animal brain scanners,
and the Social Science Experimental Laboratory, which contains
state-of-the-art facilities for conducting behavioral economic
experiments of group and market interactions.
BIOCHEMISTRY AND MOLECULAR BIOPHYSICS
90

Biochemistry and molecular biophysics has been established as an

interdisciplinary program, at the interface of biology, chemistry,
and physics, that seeks to understand the chemistry of life. Thus,
biochemists and molecular biophysicists study the atomic structure
and folding of biopolymers; their interactions with each other and
with small molecules; and the roles of particular biopolymers and
biopolymer assemblies in cellular physiology. The basic building
block of life is the cell; the intellectual focus of modern biochemistry and molecular biophysics is to understand how individual
parts interact to give cells their wide spectrum of functions. In
particular, biochemistry and molecular biophysics addresses the
principles through which the individual components of cells combine
in an orderly self-association to produce their form, their function,
and their dynamic behavior.
Areas of Research
General areas of research represented within the option include
signal transduction, cell cycle, DNA and RNA structure and
metabolism, control of gene transcription during development,
electron transport proteins and bioenergetics, biological catalysis,
macromolecular structure, membrane proteins, and biotechnology
and biomolecular engineering. More specific examples of biological phenomena currently under study include the transduction of
signals received by cell surface receptors into an appropriate
response, as in chemotaxis or transmission of signals across synapses in the nervous system; the replication of DNA; the biochemical
networks that control initiation and termination of cell division;
the controlled transcription of DNA sequences in the genome into
RNA and the processing of this RNA into mRNA and the subsequent translation into protein; the molecular mechanisms controlling the differentiation of precursor cells into specialized cells such
as neurons, lymphocytes, and muscle cells; the mechanisms by
which synaptic transmission in the brain is regulated during thinking
and the formation of memories; the processes, driven by funda-

Areas of Study and Research

mental principles of chemical bonding and molecular energetics,

by which a given linear sequence of amino acids folds into a specific
three-dimensional structure in the appropriate cellular environment; how electrons move within a cell to accomplish the many
redox reactions necessary for life; how light is harvested by photopigments and is perceived in vision; the function of integral membrane
proteins in energy and signal transduction processes; and the
mechanisms by which enzymes both efficiently and specifically catalyze biochemical interconversions. This fundamental understanding
of the molecular basis of biological processes provides a powerful
base for the development of applications in medicine, including
biotechnology and rational drug design, and in the chemical industry,
where nucleic acids, proteins, and their analogs are now being used
in the development of chemical systems for novel applications, and
where mutagenesis and selection systems are used to produce novel
materials.
BIOENGINEERING

Bioengineering research at Caltech focuses on the application of

engineering principles to the design, analysis, construction, and
manipulation of biological systems, and on the discovery and application of new engineering principles inspired by the properties of
biological systems.
Areas of Research
Biodevices (Burdick, Heath, Pine, Roukes, Tai, Yang)
BioNEMS, BioMEMS, laboratories-on-a-chip including microfluidic systems, neural networks, microscopes, and diagnostics, novel
measurement principles, neural interfaces and prostheses.
Bioimaging (Fraser, Gharib, Guo, Meyerowitz, Pierce, Yang)
Biophotonics, advanced imaging technologies, computational
image analysis, noninvasive biomedical imaging, single-molecule
technologies, flow-field imaging technologies, in-situ amplification.
Bioinspired Design (Gharib, Murray, Tirrell)
Engineering physiological machines, engineering self-powered
technologies, control systems, synthetic heteropolymers, and selfhealing circuits and systems.
Biomechanics (Bhattacharya, Gharib, Guo, Phillips)
Molecular and cellular biophysics, cardiovascular mechanics, muscle and membrane mechanics, multicellular morphodynamics, cellbiomaterial interactions.
Biomedical Engineering (Burdick, Davis, Fraser, Gharib, Heath,
Pierce, Roukes, Yang)
Neural prosthetics, molecular imaging during surgery, conditional
chemotherapies, BioNEMS diagnostics, on-chip diagnostic labora-

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tories, nanoparticle drug delivery, locomotion rehabilitation, and

portable point-of-care diagnostic devices.
Cell and Tissue Engineering (Elowitz, Fraser, Gharib, Guo, Tirrell)
Multicellular morphodynamics, principles of feedback
between tissue mechanics and genetic expression, nonnatural
protein biomaterials, cell-biomaterial interactions, developmental
patterning.
Molecular Programming (Murray, Pierce, Rothemund, Winfree)
Abstractions, languages, algorithms and compilers for programming nucleic acid function, molecular information processing,
molecular complexity theory, free energy landscapes, metastable
systems, self-assembly across length scales, algorithmic selfassembly, synthetic molecular motors, in-vitro and in-vivo nucleic
acid circuits.
Synthetic Biology (Arnold, Elowitz, Murray, Pierce, Rothemund,
Tirrell, Winfree)
Principles of biological circuit design, genetic circuits, protein
engineering, noncanonical amino acids, nucleic acid engineering,
rational design, directed evolution, metabolic engineering, biofuels,
biocatalysts, elucidation of systems biology principles using synthetic systems.
Systems Biology (Doyle, Elowitz, Guo, Heath, Lester, Meyerowitz,
Murray, Phillips, Sternberg)
Roles of circuit architecture and stochasticity in cellular decision
making, feedback, control and complexity in biological networks,
multicellular morphodynamics, principles of developmental
circuitry including signal integration and coordination, spatial patterning, and organ formation, principles of feedback between tissue
mechanics and genetic expression, neural development and disease.
BIOLOGY

Recent dramatic progress in our understanding of the nature of life

has revolutionized the science of biology. Applications of the
methods, concepts, and approaches of modern mathematics,
physics, chemistry, and information science are providing deep
insight into basic biological problems such as the manner in which
genes and viruses replicate themselves; the control of gene expression
in cells; the regulation of cellular activity; the mechanisms of
growth and development; and the nature and interactions of nerve
activity, brain function, and behavior. Qualified experimental and
computational biologists will find opportunities for challenging
work in basic research as well as in medicine and in biotechnology.
Because of the eminent position of the California Institute of
Technology in both the physical and biological sciences, students at
the Institute have an unusual opportunity to be introduced to
modern biology.

Areas of Study and Research

Areas of Research
Research (and graduate work leading to the Ph.D. degree) is
chiefly in the following fields: biochemistry, biophysics, cell biology, developmental biology, genetics, genomics and computational
biology, immunology, molecular biology, neurobiology, and structural biology. Biochemical methodology plays an important role in
many of these fields, and there is extensive interaction with related
programs in biochemistry within the Division of Chemistry and
Chemical Engineering, including the biochemistry and molecular
biophysics option.
The programs in cellular, molecular, and developmental biology are based upon approaches derived from biochemistry, biophysics, and genetics that offer new possibilities for expanded
insight into long-standing problems. Neurobiology is a major area
of emphasis within the Division of Biology. A comprehensive program of research and instruction in neurobiology has been formulated to span from molecular and cellular neurobiology to the
study of animal and human behavior, including the computational
modeling of neural processes.
A geobiology option is described in the geological and planetary sciences section.
Physical Facilities
The campus biological laboratories are housed in seven buildings:
the William G. Kerckhoff Laboratories of the Biological Sciences,
the Gordon A. Alles Laboratory for Molecular Biology, the
Norman W. Church Laboratory for Chemical Biology, the Mabel
and Arnold Beckman Laboratories of Behavioral Biology, the
Braun Laboratories in Memory of Carl F and Winifred H Braun,
the Beckman Institute, and the Broad Center for the Biological
Sciences. They contain classrooms and undergraduate laboratories, as well as research laboratories where both undergraduate
and graduate students work in collaboration with faculty members. Special facilities include rooms for the culturing of mutant
types of Drosophila, a monoclonal antibody production facility, a
fluorescence-activated cell sorter facility, scanning and transmission electron microscopes, a confocal microscope facility, a magnetic resonance imaging center, a transgenic mouse facility, a high
throughput sequencing and microarray analysis facility, and
a protein expression and purification center.
About 50 miles from Pasadena, in Corona del Mar, is the
William G. Kerckhoff Marine Laboratory. This laboratory provides facilities for research in cellular and molecular biology using
marine animals, and for collecting and maintaining these animals.

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BIOTECHNOLOGY

94

Biotechnology is a growing area of interdisciplinary research with

a long tradition at Caltech. It includes a wide range of research
opportunities in the Division of Biology, the Division of Chemistry
and Chemical Engineering, and the Division of Engineering and
Applied Science. Areas of emphasis include the development and
application of new methods and instruments for studying a spectrum of biological problems ranging from the structure, function,
and chemistry of key macromolecules such as proteins and DNA to
the imaging of cellular processes or the complex problems of
neural systems. Other programs focus on the creation, study, and
use of novel microorganisms and proteins, combining classical and
molecular genetic approaches with modern chemistry and engineering science. New challenges in data analysis and molecular
modeling bring together research in biology and chemistry with
computer science and applied and computational mathematics.
Research in these areas leading to the Ph.D. may be pursued by
entry into one of the relevant graduate options in the divisions
listed above. The interdisciplinary nature of biotechnology often
includes course work and research collaborations that embrace
more than one division. Each graduate option specifies the emphasis
of the educational program and its degree requirements.
Excellent facilities for biotechnology research are available in
each of the participating divisions. For example, the Beckman
Institute provides extraordinary resources for development and
application of new instruments and methods.
CHEMICAL ENGINEERING

The chemical engineering faculty teach and conduct research on

fundamental chemical, biological, and transport processes and their
application in understanding, designing, and controlling a broad
spectrum of complex chemical, biochemical, and environmental
processes. The faculty and students utilize their analytical skills and
laboratory resources to study diverse processes and to synthesize
new materials. The combination of engineering principles, chemistry, biology, physics, and mathematics that characterizes chemical
engineering at Caltech enables students and faculty to contribute
to the solution of a wide range of critical problems and to aid in
creating new areas of science and technology.
Areas of Research
Many different research areas are offered to students seeking the
degrees of Master of Science or Doctor of Philosophy in chemical

Areas of Study and Research

engineering. Particular research fields emphasized in the department include the following:
Biological Design and Engineering. Engineering of proteins and
metabolic pathways by computational and laboratory evolution
approaches. Biocatalysis for sustainable green production of
pharmaceuticals and specialty chemicals. Engineering organisms
to convert biomass to fuels and chemicals.
Fluid Mechanics and Transport Processes. Mechanics of polymeric
liquids, microstructured fluids, colloidal dispersions, and suspensions and granular media. Transport in heterogeneous
media.
Polymer Physics and Chemistry. Molecular understanding of
polymer melt rheology. Optical properties of polymer blends.
Dynamic modeling of polymer structure and rheology. Synthesis of tailored polymers by chemical and biological means.
Biomaterials. Synthesis and properties of organic materials
designed for use in living systems. Therapeutic modification of
existing systems.
Cellular Engineering. Quantitative analysis and redesign of
molecular events governing cell behavior.
Catalysis and Biocatalysis. Synthesis of molecular sieves and
organic-inorganic hybrid materials. Synthesis of inorganic
membranes for gas separations and catalysis. Biological
routes to the synthesis of chemicals.
Electronic Materials and Devices. Plasma processing of semiconductors, pattern etching and deposition. Modeling and simulation of pattern-dependent effects. Chemical reaction dynamics
of plasma-surface interactions.
Microplasmas. Sources of reactive radicals and ions at high pressures. Microreactors for gas conversion/pollutant destruction.
Synthesis of nanocrystals. VUV-excimer radiation emitters.
Nanotechnology. Aerosol synthesis of nanoparticles for microelectronic and photovoltaic applications. Nanoprobes, nanomechanics, nanofluidics. Crystallization in carbon nanotube
cavities. Synthesis and characterization of quantum dots and
nanostructural materials. Environmental consequences of
nanotechnology.
Environmental Chemical Engineering. Physics and chemistry of
atmospheric gases and aerosols, bioaerosols, climate change.
Aerosols and Colloids. Nucleation and growth of particles. Particle
formation and reactions. Structure and properties of colloidal
dispersions. Aerosol and colloidal particle characterization.
Applied Mathematics and Computational Physics. Supercomputer
applications in fluid mechanics and environmental modeling.
Concurrent computing. Asymptotic analyses of transport
processes.
Physics of Complex Fluids. Structures, phase transitions, and
dynamics of polymers, liquid crystals, surfactant solutions,
and suspensions.

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95

Materials for Energy Technologies. Electrochemistry of fuel

cells. Ion transport through solids. Design of thermoelectric
materials.

Physical Facilities
The chemical engineering laboratories, mainly housed in the
Eudora Hull Spalding Laboratory of Engineering and the Warren
and Katharine Schlinger Laboratory for Chemistry and Chemical
Engineering, are well equipped. The facilities include experimental
reactors, computational facilities, NMR spectrometers, and numerous special research equipment for molecular simulations, DNA
synthesis, and electronic, optical, and chemical measurements.
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CHEMISTRY

Caltech offers exciting opportunities for study and research at the

frontiers of chemical science. With approximately 30 faculty, the
chemistry program provides depth in the traditional areas of
chemistryorganic and inorganic chemistry, chemical physics,
theoretical chemistry, and chemical biology. Research areas include
chemical synthesis and catalysis, chemical dynamics and reaction
mechanisms, biochemistry, bioinorganic, bioorganic and biophysical chemistry, and materials chemistry. Chemical research at
Caltech is also highly interdisciplinary, mirroring the increasing
importance of molecular understanding in many fields of science.
Active interactions exist between chemistry and other disciplines at
Caltech, especially applied physics, biology, chemical engineering,
environmental science, geological and planetary sciences, and
materials science. Major initiatives are fostering broad collaborations in
energy and environment, molecular medicine, and nanomaterials.
Teaching is an important component of the chemistry option.
Caltech has trained generations of chemists who have become
leaders in academia, industry, and government, through undergraduate and graduate programs that are designed to encourage the
greatest possible amount of freedom, creativity, and flexibility.
Areas of Research
Caltech has a long and continuing reputation for excellence in
fundamental chemistry in molecular structure and the nature of
chemical bonding. Much of the current research in chemistry is
directed at establishing and manipulating the mechanisms of reactions of fundamental chemical and biological significance.
Programs in chemical physics emphasize studies of molecular
dynamics and structure using techniques that include femtosecond
lasers, molecular beams, ultra-high sensitivity spectroscopy,
and mass spectrometry, while novel methods such as ultrafast
electron diffraction and force-detected magnetic resonance are

Areas of Study and Research

being developed and applied to systems of increasing complexity.

Interdisciplinary research includes the development of powerful
approaches to fabricate, assemble, and utilize nanometer-scale
structures; spectroscopy and fundamental chemical mechanisms
of reactions in Earth and planetary atmospheres, star formation,
and interstellar chemistry; the dynamics of phase transitions; and
novel methods in mass spectrometry.
Catalysis by transition metals represents a central area of
research in the inorganic and organometallic areas. Current
research interests include the uses of transition metal complexes as
homogeneous and heterogeneous catalysts for polymer synthesis,
solar energy conversion and storage, and methane and water oxidation. Reactions of molecules on surfaces are an important focus,
especially on semiconductors. Research in bioorganic and bioinorganic chemistry includes the chemical basis of synaptic transmission by
ion channels; investigations of molecular recognition and
sequence-specific ligand binding to DNA; DNA-mediated charge
transport; and design of artificial transcription activators.
Chemical synthesis, a key part of much of the research
described above, is the primary research goal of several groups, and
includes projects aimed at the synthesis of complex organic molecules of importance in biology and human medicine. These efforts
include development of new and synthetically useful chemical
transformations mediated by novel organic and transition metalbased catalysts. The division has an exceptional program in polymer
science, with emphasis on the development of strategies and
methodologies for the synthesis of designed polymers using chemicaland biological-based approaches.
The theoretical chemistry program ranges from fundamental
studies of electron transfer to excited states and reaction dynamics
of small molecules, to simulations of biological systems and materials.
In these studies, theoretical techniques are being developed to
provide detailed understanding of electron transfer processes, proton
transfer reactions, energy randomization processes within molecules,
and the dynamics of reacting systems. Computer simulations are
addressing ever more complex systems, ranging from metals and
superconductors to soft materials and biomolecules.
Research in biochemistry and molecular biology within the
chemistry division exists within the larger framework of biochemical
studies at Caltech, and includes crystallographic and spectroscopic
analyses of macromolecule structures; studies on the design, folding, and stability of macromolecules; the mechanisms of
enzyme catalysis and allosteric transitions; interactions between
proteins and nucleic acids; macromolecular assemblies mediating
replication, transcription, and protein biosynthesis; the mechanism
and functional role of protein glycosylation; and mechanisms of
ion and electron transport in biological membranes.

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Physical Facilities
The laboratories of chemistry consist of eight units providing
space for about 25 research groups, including 300 graduate students
and postdoctoral research fellows. Crellin and Gates laboratories
house several research groups, the divisional instrumentation facilities,
and the divisional administrative offices. Synthetic research groups
occupy the Arnold and Mabel Beckman Laboratory of Chemical
Synthesis and Church laboratories. The Braun Laboratories and
the Broad Center for the Biological Sciences house biochemical
groups and are shared with the Division of Biology. The Arthur
Amos Noyes Laboratory of Chemical Physics is one of the major
research facilities for chemical physics and inorganic chemistry and
is adjoined by the Clifford S. and Ruth A. Mead Memorial
Undergraduate Chemistry Laboratory. Chemistry groups recently
joined several chemical engineering colleagues in the new Warren
and Katharine Schlinger Laboratory for Chemistry and Chemical
Engineering. A number of resource centers serving researchers of
the division are located in the Beckman Institute.
CIVIL ENGINEERING

Civil engineering includes the research, development, planning,

design, and construction associated with the infrastructure of the
built environment. Dealing with the function and safety of such
facilities as buildings, bridges, pipelines, dams, power plants, and
harbors, it is concerned with the protection of the public against
natural hazards such as earthquakes, winds, floods, landslides,
water waves, and fires.
Recent advances in technology, the escalation of urban problems, and the exploration of space have broadened the applications
of civil engineering, increasing the scope of research. New problems
have presented special challenges to the civil engineer well-trained
in the fundamentals of his or her profession. For this reason, in the
advanced study of civil engineering at the Institute, the application
of fundamental scientific principles and mathematics is emphasized
for the solution of engineering problems.
Areas of Research
Graduate work leading to advanced degrees lies chiefly in the
following fields: structural engineering and structural dynamics;
applied mechanics; earthquake engineering; finite element analysis;
and environmental engineering (see also environmental science and
engineering). In the past few years, graduate students and members
of the faculty have pursued a variety of research programs, including the analysis of structures subjected to earthquakes and other
dynamic loadings; optimal performance-based structural design;

Areas of Study and Research

system identification and control of structures; structural health

monitoring; the use of finite element methods for structural analysis;
and seismic risk and structural reliability.
Students whose interests are in environmental problems may
enroll for graduate degrees in either civil engineering or environmental science and engineering.
Physical Facilities
Civil engineering activities are housed in two buildings: the
Franklin Thomas Laboratory, which contains the earthquake
engineering research laboratory and the vibration laboratory; and
the W. M. Keck Engineering Laboratories, which contains the
environmental science and engineering laboratories. Excellent
computing facilities are available through the campus computing
network and in the specialized computing centers of various
research groups.
COMPUTATION AND NEURAL SYSTEMS

What does the brain compute? How does it do it? And why?
Faculty and students in the CNS option study how information is
acquired and processed by the brain. They are also interested in
designing machines that are adaptable, intelligent, and autonomous.
The unifying theme of the program is the study of the relationship
between the physical structure of a computational system (synthetic
or natural hardware), the dynamics of its operation and its
interaction with the environment, and the computations that it
carries out.
Areas of interest include coding and computation in networks
of neurons, sensory systems (vision, audition, olfaction), learning
and memory, control and motor behavior, planning and decision
making. Thus, CNS is an interdisciplinary option that benefits
from, and integrates, multiple traditional areas of expertise: molecular, cellular, neural, and systems biology, electrical and mechanical
engineering, computer science, psychology, and cognition, applied
mathematics, and physics.
Faculty in the program belong to the Division of Biology,
Division of Engineering and Applied Science, Division of Physics,
Mathematics and Astronomy, and Division of Humanities and
Social Sciences. They have an interest in developing conceptual
frameworks and analytical approaches for tackling seemingly disparate problems that share a common deep structure at the computational level. Students in the program will partake of a wide-ranging curriculum that will promote a broad understanding of neurobiology, sensory psychology, cognitive science, computational
hardware and software, and information theory.

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Areas of Research
Areas of research include the neuron as a computational device; the
theory of collective neural circuits for biological and machine
computations; algorithms and architectures that enable efficient
fault-tolerant parallel and distributed computing; learning theory
and systems, pattern recognition, information theory, and computational complexity; computational modeling and analysis of
information processing in biochemical and neural networks; the
design and use of synthetic macromolecules as computational
devices; light and magnetic resonance imaging of cell lineages, cell
migrations, and axonal connections in the forming nervous system;
learning, plasticity and memory; experimental and modeling studies
of localization and recognition by sensory systems (vision, olfaction,
audition) in insects and vertebrates on the basis of electrophysiology,
psychophysics, and functional imaging techniques; multiunit
recordings in behaving animals; neuroprosthetic devices and
recording methods in animals and humans; imaging and stimulation
of cortical areas in humans and other primates using functional
MRI, TMS, and tDCS; decision making, attention, awareness,
emotion, and consciousness in the primate brain using a
combination of neurophysiological, psychophysical, and computer
modeling techniques; cognitive psychology; and the study of
evolution in natural and artificial systems.
COMPUTER SCIENCE

Although computing is a ubiquitous tool in all areas of study and

research at Caltech, computer science focuses on the theory and
technology of computation itself: it is truly the study of information,
and of the structures that communicate, store, and process information.
Whether these structures are expressed in hardware and called
machines, in software and called programs, or in nature or society, the
fundamental concepts are similar. Students of the computer science
option within the Computing & Mathematical Sciences department at
Caltech do not specialize along traditional lines that divide hardware
and software, systems and applications, or theory and experiment.
Rather, a unified approach to the design and analysis of computing
structures is taken both in courses and in research.
Unlike the study of physical and natural sciences, the objects of
study by computer scientists are artificial systems; that is, structures
that are purposefully designed, taking into account physical limitations
of the real world and fundamental requirements of the computation
itself. Thus, design assumes a role equal in importance to analysis
and is a term found frequently in the curriculum and research.
Design is not only a creative activity but is also formal and systematic.
Managing the great complexity of useful systems requires a
representation of computations amenable to both mathematical
treatment and implementation.
Areas of Study and Research

Areas of Research
Research and advanced courses leading to the Ph.D. degree in
computer science are concentrated in the following areas: VLSI
systems; quantum and molecular computation; computer architecture;
parallel and distributed computation; theory of computation;
programming languages; semantics; programming methods and
correctness; information theory; machine learning and computational finance; computer vision; computer graphics; discrete differential
geometry; computer-aided design; and networking. Research
projects frequently involve work in several of these areas, with both
the theoretical and experimental aspects, as well as connections with
such fields as mathematics, physics, biology, economics, and electrical
engineering.

Physical Implementation of Computations. Computations must ultimately be implemented in some physical medium (e.g., semiconductor electronics, DNA self-assembly, quantum states of
elementary particles, molecular electronics). Developing robust
disciplines, abstractions, and methodologies that allow the
design of reliable computing substrates has been a focus of the
option since its inception. Caltech has been a leader in the early
development, engineering, and design of very large scale
integrated (VLSI) circuits. Beyond VLSI, efforts are under way
to understand quantum, biomolecular, and molecular electronic
substrates as possible media for future computing machines. As
was the case with semiconductor electronics, Caltech computing
can draw on the world-class expertise of its biology, physics, and
chemistry departments as it tackles the many challenging
opportunities that these new substrates present.
Systematic Design. A key theme in the Caltech computer science
option is the systematic design of systems at all levels. This
theme shows up in the design of numerical algorithms for physical
simulation and computer graphics, design of concurrent
and distributed systems, abstractions for physical computing
substrates, design of learning systems, design of programming
languages, automated optimization of computations for both
software and hardware implementation, as well as control and
optimization of networks. The success of computer systems has
allowed the building of systems of unprecedented scale and
complexity. These systems can only be understood and managed if
we carefully contain the complexity involved. We can only hope to
create and optimize efficient computing artifacts by systematically
defining and exploring their design space. This does not say that
system design is not a creative endeavor, but rather that careful
design allows us to expose the places where creativity is most
needed, and to carefully assess the impact of new ideas and
techniques.
Concurrency. The physical world is highly parallel. Caltech
computer science has embraced concurrency as a fundamental

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feature of computing systems from its inception. Within the

option, parallelism is a theme at all levels, from physical circuits
through tightly coupled, concurrent multiprocessors, through
distributed systems, up to Internet-wide computing systems and
beyond. Disciplines and systematic design for defining and
managing the potentially complex interactions in parallel
systems is a key focus.
Robust Modeling of Physical Systems. Caltech computer science
also has a unique focus in developing rigorous and robust models of
the physical world. These models are mathematically and physically
sound, often derived from differential geometric principles, and
serve as a basis for computer graphics and vision research, as well
as the simulation of mechanical, optical, and biological systems.
Theory. A key component of systematic design is a strong
theoretical understanding, which provides a basis for synthesis,
analysis, and verification. The theory of computation focuses on
deep mathematical problems, many of which have substantial
technological impact. Theory is not relegated to a single group
at Caltech, but rather forms an integral part of all disciplines
(learning, VLSI, systems, graphics, programming languages,
cryptography, etc.). As such, it has a strong connection to actual
practice in each domain. Theory in computer science at Caltech
includes traditional fields such as complexity analysis and
semantics, theories of numerical computation, optimization,
probability, and game theory.
Interdisciplinary Research. Computation enables better control
and understanding of the physical worldtwo ubiquitous
themes at Caltech. We have already noted the intimate way
in which computer science interacts with the physical sciences
to physically build computations. Computer simulations,
modeling, and analysis are now key enablers, allowing all
fields of science to advance rapidly. Modern mechanical and
aeronautical systems are enabled by vast computational processing for sensing and control. Furthermore, insights into
computational management of information helps us understand
information processing issues in natural systems (e.g., cells and
neurons) and build hypothetical models that advance our
understanding of natural cognition. Economic analyses play
an important role in the design of computing systems and,
in addition, research on information systems impacts business
and economics. These relations provide many opportunities
for scholars in computer science to work closely with colleagues
throughout Caltech. The centers for information science
and technology facilitate and promote such interdisciplinary
research (see http://www.ist.caltech.edu).

Areas of Study and Research

Physical Facilities
The computer science option has excellent computing facilities
ranging from high-performance workstations to multiprocessors
and supercomputers. The Computing & Mathematical Sciences
department maintains a large computer lab open to students and
offers a large collection of software for a wide range of applications.
The inventory of computers and graphics cards is frequently
upgraded, and students have easy access to state-of-the-art
equipment. The Institute libraries maintain a large collection of
journals in computer science and related fields.
CONTROL AND DYNAMICAL SYSTEMS

Some of the most exciting interactions between mathematics and

engineering are occurring in the area of analysis and control of
uncertain, multivariable, and nonlinear dynamical systems. While
changing technology has made control and dynamical systems
theory increasingly relevant to a much broader class of problems,
the interdisciplinary nature of this area means that it no longer has
a natural home exclusively or even primarily within any one of the
traditional engineering disciplines. The CDS option, as part of the
Computing & Mathematical Sciences department, is designed to
meet the challenge of educating students both in the mathematical
methods of control and dynamical systems theory and their
applications to engineering problems.
Automatic control is an enormously successful field that affects
every aspect of our lives. A combination of technological developments, economic pressures, and research advances has promoted
control into a central position in technology, and over the next
several decades, the impact of automatic control systems will
continue to grow. The applications we have seen so farsuch as
cheap and fast computer disk drives, active vehicle suspension control,
fly-by-wire aircraft, highly integrated manufacturing facilities, and
manned and unmanned space systemsare only the beginning of
this trend.
The rapid development of dynamical systems theory as an
intellectual discipline over the past 10 years has been equally striking.
Stimulated by the discovery of the phenomenon of deterministic
chaos, the dynamical systems approach has been adopted in a
variety of diverse engineering disciplines (e.g., chemical, mechanical,
electrical, civil, and aerospace), as well as the physical, biological,
and social sciences. At the same time, dynamical systems continues
to enjoy strong links with pure and applied and computational
mathematics.
While research in both control and dynamical systems is
inherently interdisciplinary and crosses many traditional engineering

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103

and scientific boundaries, their relationship is much deeper. As

theoretical disciplines, they are moving together rapidly. The
mathematical background required to do research in either control
or dynamical systems is nearly identical and can be difficult to
obtain within traditional curricula in engineering and mathematics.
The CDS option provides a coherent and complete graduate
curriculum with corresponding research opportunities, both
theoretical and applied.

104

Areas of Research
Theoretical research is conducted in all aspects of control, with
emphasis on robustness; multivariable and nonlinear systems;
optimal control; decentralized control; modeling and system
identification for robust control; control of Hamiltonian and
Lagrangian systems; and control of nonholonomic mechanical
systems. Techniques from operator theory, differential geometry,
dynamical systems, and computer science are combined to study
control problems in a wide variety of areas. A central theme is the
role of uncertainty and robustness, and the development of a
unified theory for modeling, system identification, analysis, and
synthesis of nonlinear control systems.
The CDS research program in nonlinear dynamics has two
components: one mathematical and the other driven by specific
areas of applications in science and engineering. The main thrust
of the mathematical research is to develop mathematical methods
for studying the dynamics of the types of nonlinear dynamical
systems that arise in science and engineering. Active areas include
developing methods for detecting and describing chaotic phenomena;
local and global bifurcation theory; homoclinic and heteroclinic
motions; Hamiltonian dynamics; geometric mechanics and
mechanical systems with symmetry; phase space transport theory;
geometrical dynamical systems theory for infinite dimensional systems;
computational methods for visualizing higher dimensional phase
space structures; and statistical methods for the description of
chaotic dynamics.
Active application areas at Caltech include complex systems in
networks and biology; multiscale modeling and simulation applied
to biological systems, fluids, and solids; vortex structures in
complex fluid flows; mixing and transport processes in fluids;
classical dynamics of molecules; phase space structure and
mechanisms that enhance and inhibit transport and energy flow;
turbomachines and complex combustion systems; nonlinear flight
dynamics for highly maneuverable aircraft; robotic locomotion and
manipulation; and the design of autonomous systems.

Areas of Study and Research

ELECTRICAL ENGINEERING

Electrical engineering at Caltech emphasizes both electronics and

systems. Closely allied with computation and neural systems,
applied physics, bioengineering, computer science, and control and
dynamical systems, it offers students the opportunity for study and
research, both theoretical and experimental, in a wide variety of
subjects, including wireless systems, quantum electronics, modern
optics, biophotonics, MEMS/NEMS, solid-state materials and
devices, power electronics, energy systems, control theory,
nanoscale systems, signal processing, data compression, and
communications.
Areas of Research and Physical Facilities
Substantial experimental laboratory facilities, housed mainly in the
Moore Laboratory of Engineering, are associated with each of the
research fields described below.
1. Quantum Electronics and Optical Communication (Yariv)
Research projects in progress include the generation and control
of ultrashort pulses, integrated optoelectric semiconductor
circuits, semiconductor injection lasers, molecular beam epitaxy
growth of submicron GaAs/GaA1As structures for optoelectronics and electronics, ultrafast (<10-12s) semiconductor
lasers, theoretical and experimental quantum opticslight
squeezing, studies of noise and pulse propagation in optical
fibers, and theoretical and experimental studies of new devices
and phenomena involving fiber grating, with special emphasis
on optical filters for wavelength division multiplexing in optical
fiber communication. A new direction being launched is to
develop the use of semiconductor lasers in optical phase-lock
loops for phase demodulation of optical beams and for a variety
of phase-coherent applications in optical communications.
2. Communications and Signal Processing (Effros, Hassibi, Ho, Low,
Vaidyanathan)Theoretical and computer experimental work
in a wide range of information, communication, and signaling
problems. Current research emphases are in error control
coding, modulation, and capacity calculations for channels that
occur in communication networks, multiuser mobile and cellular
radio, and deep-space communications; network communications, including multicasting, distributed operation, network
security; access, spectral sharing, dynamic channel allocation,
and multiuser detection in wireless systems; multiple-antenna
systems and space-time codes; information content and data
compression; applications of neural networks to communication and signal processing problems; traffic modeling, routing,
and network architectures for mobile services and ISDN; and
design and simulation of single-rate and multirate digital filters

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3.

106

4.

5.

6.

and filter banks to minimize the number of computational

operations for a given accuracy. Digital filter banks, subband
coding, wavelet transforms, multidimensional multirate signal
processing. Possibilities exist for joint work with microsystems,
wireless communication, digital signal processing, and data
compression.
Control (Doyle)Theoretical research is conducted in all
aspects of control, with emphasis on robustness, multivariable
and nonlinear systems, and optimal control. Theoretical
developments are tested using the latest in computer and
experimental facilities in a wide variety of application areas.
Opportunities on campus, at Caltechs Jet Propulsion
Laboratory, with industrial sponsors, and at NASA laboratories
include control problems associated with large flexible space
structures, refinery systems, flight control, robotics, control
of unsteady flows, and various other aerospace and process
control applications.
Wireless Sensing and Communications (Hajimiri)Circuits and
system design for wireless communication using integrated
circuit technology, fully integrated silicon-based mm-wave
circuits and phased array transceivers, novel modulation
techniques using integrated electromagnetic structures, highfrequency integrated power generation, equalization for wireline
communications, and multimode reconfigurable systems. This
area of research also includes analysis and design of communication building blocks, such as monolithic low-noise amplifiers
(LNA), active and passive mixers, local oscillators and frequency
synthesizers, frequency dividers and multipliers, power amplifiers, integrated filters, intermediate frequency amplifiers, and
baseband digital signal processing.
Learning Systems and Computational Finance (Abu-Mostafa)
The Learning Systems Group at Caltech studies the theory,
algorithms, and applications of automated learning. The theory
of learning uses mathematical and statistical tools to estimate
the information (data and hints) needed to learn a given task,
and the computational aspects of learning. The algorithms deal
with learning mechanisms in different models, such as neural
networks, and different learning protocols. The applications of
learning are very diverse. The group has emphasized computational finance applications, where learning is used in financial
forecasting, risk analysis, and derivative pricing. Other recent
applications include pattern recognition and medical diagnosis.
Energy (Rutledge)Assessment of future supplies of oil, gas,
and coal. The approach is historical; curve fits to the production
history are used to make projections of ultimate production, by
which is meant total production, past and future. We consider
the implications of these projections for alternative energy
sources, and for future climate.

Areas of Study and Research

7. MEMS/NEMS Sensors and Actuators (Tai)We exercise

VLSI, MEMS, and nanotechnologies to build miniature
devices. Current research projects have a lot of biomedical
applications, including integrated biochips, microfluidic chips,
cancer chips, stem-cell chips, bloodcount chips, smart skins,
neuroprobes, retinal implants and spinal cord implants, etc.
Hands-on fabrication of high-level integration is specially
emphasized for our students in the Caltech MEMS laboratory.
8. Digital Signal Processing (Hassibi, Vaidyanathan)Theoretical
and computer-oriented work on a wide variety of problems in
digital signal processing. Multirate systems and filter banks,
wavelets, filter design, quantization in signal processors, adaptive signal processing, statistical signal processing, robust
filtering, multidimensional multirate systems, and wavelet
transforms. Digital filter banks, digital communication systems,
multidimensional multirate signal processing. Image processing, digital halftoning, and denoising.
9. Computational Vision (Perona)Theoretical and experimental
research on the computational principles underlying vision
processes. Psychophysics and modeling of the human visual
system. Theory and applications of computer vision. Current
emphasis on visual object recognition; vision-based humanmachine interfaces; perception and modeling of human and
animal behavior. Areas of collaboration include learning theory,
computer graphics, neurophysiology, psychology, applied probability, robotics, geometry, and signal processing.
10. Nanofabrication and Design of Ultrasmall Devices (Scherer)
High-resolution lithography and dry etching allow the miniaturization of structures to below 10 nanometers. Using these
techniques, ultrasmall optical, magnetic, and fluidic structures
can be constructed. Current research includes the design and
fabrication of nanocavity lasers; photonic-crystal waveguides
and modulators; nanomagnet arrays; nonmechanical oscillators;
and microfluidic pumps, valves, and networks on biochips.
11. Distributed Information Systems (Bruck)Research on synthetic
and natural distributed information systems, including information systems in storage and communications (the synthetic
part) and the development of abstractions for the analysis and
design of biological regulatory networks (the natural part). The
information systems work includes developing efficient array
codes for increased reliability of RAID storage systems,
schemes for representing information in magnetic recording
and optical communications, and methods for representing and
protecting information in flash memories. The mathematics of
biology-related work includes the development of a calculus
for representing computation in gene regulatory networks:
for example, demonstrating for the first time that an approximate general computation can be achieved using a finite set of
chemical reactions, provided that they operate in a stochastic

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manner. Past projects include the RAIN (Reliable Array of

Independent Nodes) project. The RAIN technology resulted in
a spin-off company called Rainfinity (acquired in 2005 by
EMC), which focused on software products for the management of network information systems.
12. Network Information Theory (Effros)Theoretical analysis and
practical design of algorithms for efficiently representing and
communicating information in network systems. Current work
focuses on the development of computational tools for bounding the performance of large network systems. Tools useful to
these investigations include information theory, probability
theory, graph theory, optimization, and signal processing.
Possible areas of collaboration include networking, distributed
computing, communications, wireless communications, controls, and digital signal processing.
13. Integrated Circuits (Emami, Hajimiri)Analysis, design, simulation, verification, and testing of integrated circuits for various
applications, such as high-speed and wireless communications,
wireless local-area networks, highly stable frequency sources,
distributed integrated circuit design techniques for ultrahigh
speed silicon-based circuits, system and circuit design for
multiband systems, single-chip spectrum analyzers, performance limitation of A/D and D/A data converters, and robust
circuit-design techniques. Projects also include mm-wave
silicon-based circuits and arrays, self-healing circuits, highfrequency power generation in CMOS, analysis and design of
distributed circuits, multimode reconfigurable systems, as well
as modeling of the effect of substrate and supply noise in large
integrated circuits and design techniques to minimize their
effect, examination of integrated passive structures and their
fundamental performance limits, and noise modeling in amplifiers, mixers, and oscillators. More information can be found at
http://www.chic.caltech.edu.
14. Networking (Low)Control and optimization of communication and cyber-physical networks such as the Internet and
power networks. Current research focuses on fundamental
issues in network architecture; green IT, especially energy
efficiency of datacenters; and all aspects of smart grids, including
analysis, design, and deployment of information and communication technologies in power networks, integration of renewable
and distributed generation, demand response, electricity market
design, and games. Emphasis is on the interplay between
theory, algorithms, prototyping, and experimental studies to
maximize their potential impact.
15. Wireless Communications (Hassibi)Theoretical research on
link, system, and network aspects of wireless communications.
Current areas of interest include time-varying channel modeling; capacity computations for wireless channels; channel

Areas of Study and Research

estimation, identification, and equalization; multiple-antenna

systems and diversity techniques; space-time codes; modulation
techniques; channel access and spectral sharing through various
TDMA, FDMA, CDMA, and hybrid techniques; multiuser
detection and interference cancellation; dynamic channel allocation; models and performance analysis of wireless networks;
ad hoc networks; signal processing for wireless. The research
encompasses various areas of information theory, coding theory,
stochastic processes, statistical and adaptive signal processing,
and network theory.
16. Biophotonics (C. Yang)Experimental research on imaging and
extraction of information from biological targets through the
use of light. Current areas of interest include optofluidics,
needle endoscopy, phase conjugationbased turbidity suppression, optical coherence tomography, multiphoton imaging,
quadrature homodyne interferometry, and microscopy. More
information can be found at http://www.biophot.caltech.edu.
17. Mixed-signal Engineering (Emami)Design and implementation of high-performance analog and digital circuits for wireline and optical data communications, chip-to-chip and
on-chip signaling, clock generation and distribution, synchronization, and equalization. Low-power, high-bandwidth analogto-digital and digital-to-analog converters. Circuits and microelectronics for biological systems and neurosciences. Tools and
design methodologies for mixed-signal circuits and systems,
with the emphasis on modeling and understanding of the fundamental limits and physical properties.
18. Integrated Biosensors (Hajimiri)Use of intergrated circuits for
novel detection techniques of biological matters using various
sensing modes (e.g., electrical, magnetic, optical) and leveraging the complexity of silicon-based integrated circuits to create
state-of-the-art sensitivity for such sensors for a variety of biomolecules, such as DNA and proteins. This area also includes
analysis of the dynamics and kinetics of such sensors for a
variety of applications, including microarrays, point-of-care
sensors, and other medical equipment.
ENERGY SCIENCE AND TECHNOLOGY

The useful transformation of energy from one form to another

drives the engine of civilization. Access to plentiful, inexpensive,
and environmentally benign resources would free nations to pursue
their greatest human and economic potential. In the modern era,
the appetite for energy is convoluted, with a recognition of diminishing fossil fuel resources and of dramatic negative impacts on
global climate. The interdisciplinary program in Energy Science

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and Technology (EST) aims to foster revolutionary methods of

harnessing carbon-free energy sources while advancing related
technologies in carbon sequestration and further drawing connections to policy and economic considerations. The program brings
together traditional topics in thermodynamics and kinetics with
modern topics in biomolecular engineering, charge and mass transport, and photoelectrochemistry. Faculty and students in the EST
program are drawn from a broad range of academic options,
including materials science, chemistry, applied physics, chemical
engineering, mechanical engineering, and environmental science
and engineering. Areas of emphasis reflect this breadth of disciplines and include photovoltaics, photoelectrochemical cells, biofuels, fuel cells, batteries, thermoelectrics, hydrogen generation
and storage, and nuclear energy.
ENVIRONMENTAL SCIENCE AND ENGINEERING

This interdisciplinary graduate program is concerned with earth

system science and engineering. Complete information is available
at http://www.ese.caltech.edu.
At the heart of the ESE program are three core areas of
research expertise: environmental physics, environmental chemistry, and environmental biology. Research and instruction emphasize
basic scientific studies that underlie new solutions to challenging
environmental problems from atomic to global scale. These
include urban, regional, and global air quality; water supply and
water quality control; hazardous waste treatment; microbial ecology;
and global environmental and climate change.
Among the academic disciplines central to the program are
atmospheric and aquatic chemistry; environmental fluid mechanics;
environmental and geochemical microbiology; dynamic meteorology;
oceanography and hydrology; aerosol physics and chemistry,
chemical reaction engineering, and chemical kinetics and photochemistry. Courses are offered in the environmental science and
engineering program and in other related programs of the
Institute. Faculty members participating in this interdisciplinary
program are from the Division of Engineering and Applied
Science, the Division of Chemistry and Chemical Engineering, and
the Division of Geological and Planetary Sciences.
Areas of Research
Examples of recent and current research are theoretical and experimental studies on trace elements and individual chemical compounds in the environment; aerosol chemistry and physics; cloud
chemistry; photochemistry of important trace gases; studies of the
emissions sources and fate of organic chemicals in the atmosphere;
regional air pollution modeling and control; global-scale modeling

Areas of Study and Research

of tropospheric chemistry and the carbon cycle; marine geochemistry;

geochemical studies of paleo ocean circulation; trace-gas geochemistry; microbiology of iron-reducing organisms; termite-microbe
symbiosis and its impact on trace-gas dynamics; cultivation of
novel microbes with novel properties; antagonistic interactions
among competing soil microbes; climate studies including
transport of heat and moisture by the atmosphere; and monsoon
dynamics.
Physical Facilities
The laboratory experimental work in environmental science and
engineering is carried out across the Caltech campus with a wide
variety of modern instrumentation in the various laboratories
described below. In 2011, many of these facilities will be relocated
to the Linde + Robinson Laboratory.
The atmospheric chemistry and aerosol laboratory includes a
state-of-the-art facility that has been specially designed for studies
of the photochemical reactions of gaseous and particulate pollutants.
Dual 28 m3 indoor irradiated reaction chambers are used for direct
simulations of atmospheric conditions using carefully prepared
mixtures of hydrocarbons, nitrogen oxides, and aerosols. Both gasphase chemistry and the formation of aerosol particles are probed
with this system.
Analytical instrumentation includes monitors for major gas-phase
trace gases, gas chromatography, gas chromatography with mass
spectrometry, and the resources of the Environmental Analysis
Center for detailed chemical analysis of gas and aerosol samples.
Measurements of aerosol particle formation and growth in the
smog chamber experiments and in field studies are performed
using the scanning electrical mobility spectrometer, a fastresponse, high-resolution particle-sizing instrument developed at
Caltech, along with more conventional particle measurement
techniques (optical particle counters, cascade impactors, condensation
nuclei counters, and filter samplers). A novel aerosol mass
spectrometer is used for molecular speciation of aerosols.
Flow reactors are used for controlled studies of nucleation
processes, and to probe the dynamics of agglomerate aerosols.
Equipment is available sufficient to conduct field experiments
involving the measurement of atmospheric particulate matter
concentration, chemical composition and size distribution, and
gaseous pollutant concentration, simultaneously at up to 10
monitoring sites.
Caltech, in conjunction with the Naval Postgraduate School in
Monterey, California, operates the Center for Interdisciplinary
Remotely Piloted Aircraft Studies. This center operates research
aircraft for atmosphere science studies, including a Twin Otter aircraft instrumented to carry out state-of-the-art measurements of
atmospheric aerosol and cloud properties and composition. Caltech
faculty and graduate students regularly participate in large

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international field programs in atmospheric chemistry and aerosols

using the aircraft available in the Center.
The Environmental Analysis Center is equipped for chemical
analysis by electrochemistry, plasma emission mass spectrophotometry, gas chromatography, high-performance liquid chromatography, fluorescence spectroscopy, infrared spectrometry, gas
chromatographymass spectrometry (GC-MS), liquid chromatographymass spectrometry (LC-MS), high-resolution
MS/MS/MS, ATR-FTIR, electrospray mass spectrometry, supercritical fluid extraction (SCF/MS), multicomponent UV-visible
spectrophotometry, electrophoresis chromatography, gradientelution ion chromatography, gel permeation chromatography, total
organic carbon analysis, and, for physical characterization of aqueous
particles by light scattering, electrophoresis and electrical particle
size analysis.
The atmospheric photochemistry laboratory has a number
of lightsources and detectors for investigation of atmospheric
chemistry. Instrumentation development activities include design
of optical and mass spectrometers for environmental analytical
chemistry.
The environmental microbiology laboratory includes a facility
for the preparation of bacterial media, as well as equipment for the
isolation, cultivation, and physiological characterization of fastidious
and anaerobic microbes, DNA isolation and manipulation, DNA
sequence data manipulation and analysis, protein purification and
enzyme assays, and culture field analyses. In addition, access is
available to several electron microscope facilities on campus, as
well as the oligonucleotide probe synthesizer and the microprotein
sequenator.
The option provides students with access to scientific computing
through advanced supercomputers operated by the Division of
Geological and Planetary Sciences.
GEOLOGICAL AND PLANETARY SCIENCES

Students and faculty in the Division of Geological and Planetary

Sciences study the earth and planets to understand their origin,
constitution, and development, and the effect of the resulting physical and chemical environments on the history of life, and on
humanity. The approach to these problems relies strongly on the
basic sciences. Programs of study and research are pursued in
environmental science and engineering, geology, geobiology, geochemistry, geophysics, and planetary science. The curriculum is
flexible so that students with degrees in biology, chemistry, engineering, or physics may carry out graduate work within the division,
and interdisciplinary studies are encouraged.

Areas of Study and Research

Southern California provides an excellent natural laboratory for

the study of geology, tectonics, and earthquakes. Current advances
in understanding the dynamic motions of the earths interior have
opened new opportunities for the study of crustal motions and
earthquakes. Historic records of seismic activity are put into longterm perspective by studies of surface and bedrock geology. The
dynamics and geometry of crustal movements are studied on local,
regional, and global scales in order to understand the evolution of
continents, subduction zones, and mid-ocean ridges. The division
maintains active field programs in diverse areas in North America
and throughout the world.
The events that shaped the earth can be identified by studying
the structure of rocks and their chemical and isotopic compositions.
The absolute chronology of Earth and solar system history can be
established by measurements of radioactive isotopes. These geological events have been intimately associated with the origin and
evolution of life on Earth. The field of geobiology uses both geological and genetic evidence to examine the impact of life on the
earth and the impact of geological conditions on biology. The field
of geochemistry includes studies of radiogenic and stable isotopes,
petrology, chemical oceanography, and atmospheric chemistry.
These tools are applied to the origins of igneous and metamorphic
rocks, evidence of past climate change, tracing anthropogenic
influences on the earth, and the structure of planetary interiors.
The comparative study of the other planetstheir atmospheres,
surfaces, and internal structuresis important in our understanding
of Earth and its place in the cosmos. The early history of the solar
system can be approached by studies of extraterrestrial materials,
including lunar samples, interplanetary dust grains, and meteorites.
Physical Facilities
The division is housed in four adjacent buildings, which are well
equipped for modern instruction and laboratory work. They contain several seminar rooms and a library as well as student and
faculty offices. Numerous computers are distributed throughout
the division, including a facility for geographic information systems
and remote sensing. Many efforts within the division-related
geodetic, geological, and seismological investigation and monitoring of plate boundary regions are coordinated through the Caltech
Tectonics Observatory. The division operates a 512-node (4096
core) supercomputer used by students and faculty for Earth and
planetary science studies. Rock and mineral collections and sample
preparation areas are available. There are modern laboratories
equipped with a scanning electron microscope and electron microprobe; a variety of plasma-source, gas-source, thermal emission,
and secondary ion mass spectrometers; tunable laser spectrometers;
high-temperature furnaces and high-pressure apparatus including

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piston-cylinder, multi-anvil, diamond anvil, and shock-wave

facilities. Our most advanced analytical tools are operated by our
Center for Cosmochemical and Geochemical Microanalysis.
Cooperation with other departments on campus, such as materials
science and environmental science and engineering, provides access
to additional instrumentation for sample preparation and analysis.
A laboratory for molecular geobiology specializes in the culturing and the biochemical and genetic study of anaerobic bacteria.
A sensitive magnetometer facility is designed for the study of both
biomagnetism and paleomagnetics. The Seismological Laboratory,
housed in the GPS division, operates the Southern California
Seismic Network jointly with the U.S. Geological Survey. The
network records and analyzes real-time earthquake data from more
than 380 seismic stations located across Southern California. Data
from the network are available for research via the Southern
California Earthquake Data Center.
The Jet Propulsion Laboratory, NASAs lead center for planetary
exploration, is located seven miles from campus and is administered
by the Institute. Students and faculty participate in JPL activities
through joint research, instrument development, mission operations, and data analysis. In addition, Caltech owns and operates
several optical and radio observatories that are used partly for
planetary research. Active programs of planetary studies are pursued at the Owens Valley Radio Observatory, Palomar Mountain,
and the Keck Telescopes and, in the near future, the Thirty-Meter
Telescope project.
HISTORY AND PHILOSOPHY OF SCIENCE

The program in history and philosophy of science is devoted to the

study of the historical evolution and philosophical underpinnings
of the physical and biological sciences. Work in history and philosophy of science may be pursued as an undergraduate option, a
graduate minor, or on a course-by-course basis.
Historical research in the program includes the origins of
experimental practice, the social and institutional contexts of science, the origins and applications of quantitative methods, specific
developments since antiquity in physics, biology, and chemistry, as
well as biographical and comparative studies. Philosophical
research in the program deals with issues in causation, explanation,
scientific inference, the foundations of probability and decision
theory, philosophy of mind, psychology and neuroscience, and
scientific fraud and misconduct.

Areas of Study and Research

HUMANITIES

English at Caltech spans the major periods of American and British

writing. Students can pursue interests ranging from Shakespeare
and a survey of drama to romantic and modern poetry; from early
fiction to the postmodern novel.
History at Caltech examines the Western and non-Western past
to understand the evolution of culture, science, institutions, and
behavior. Courses span the medieval, Renaissance, and modern
periods; the United States, Europe, and Asia; and special topics
such as radicalism and demography. In certain courses, quantitative
methods drawn from the social sciences are applied to historical
studies.
Philosophy is concerned with the most fundamental issues
involving the nature of the world and of human knowledge, values,
and judgment. At Caltech, particular emphasis is placed on philosophy of the natural and social sciences, scientific inference, moral
and political philosophy, and philosophy of mind, psychology, and
the neurosciences. Members of the faculty have a variety of other
interests, including philosophical logic, moral psychology, and the
history of philosophy.
Courses in English, film history, and philosophy are given at
both introductory and advanced levels.
A variety of courses in classical and modern European languages
and in music and art history are available. Art history classes make
use of the resources of the Huntington Library, Art Collections,
and Botanical Gardens; the Los Angeles County Museum of Art;
and other museums in the area.
Areas of Research
The English faculty, interested in new approaches to studying their
subject, engage in research into the relationships between literature
and the pictorial arts, literature and history, and the material
production of literature.
Research in history covers a wide range of historical fields and
methodologies. Topics include an examination of the development
of racial attitudes and behavior in the 19th-century United States;
the history of the physical and biological sciences and of science in
relationship to society; history and film; and political and economic
development in early modern Europe. A number of faculty carry
out research and teaching in the interrelated subjects of science,
ethics, and public policy.
Research in philosophy includes work in philosophy of science,
philosophy of mind, history of philosophy, ethics, the evolution of
cognition, and political philosophy.

Humanities

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INDEPENDENT STUDIES PROGRAM

116

Independent Studies is an educational alternative for undergraduates whose goals cannot be satisfied with a normal undergraduate
option. The student gathers a three-person faculty committee,
representing at least two divisions of the Institute, and chooses his
or her own scholastic requirements under this committees supervision. Approval must also be obtained from the Curriculum
Committee, a standing committee of the faculty. The independent
studies program has no facilities of its own. Areas of study and
research may be selected from any part of the Institute. (For a
complete description, see page 224.)
INFORMATION SCIENCE AND TECHNOLOGY

Information Science and Technology (IST) is a multidivisional

research area that includes participants from the biology, chemistry
and chemical engineering, engineering and applied science,
humanities and social sciences, and physics, mathematics and
astronomy divisions. Areas of emphasis include networking and
distributed systems, neuromorphic engineering and sensory-based
machines, quantum computation and communications, molecular
electronics and biochemical computing, biological circuit design,
information flow in economic and social systems, and mathematical
foundations of information.
Physical Facilities
IST is mainly centered around the Annenberg Center for
Information Science and Technology and the Moore Laboratory.
Research centers associated with IST include the Lee Center for
Advanced Networking, the Center for Neuromorphic Systems
Engineering, the Center for Biological Circuit Design, the Center
for the Mathematics of Information, the Center for the Physics of
Information, and the Social and Information Science Laboratory.
MATERIALS SCIENCE

Materials scientists study relationships between the properties of materials and their internal structure, and how this structure can be controlled. The field of materials science at the California Institute of
Technology emphasizes fundamental issues in metals, oxides, semiconductors, ceramics, and composites. Additional faculty in electrical engineering, applied physics, and chemistry are also concerned with semiconductors and superconductors. Work in polymers is carried out in
aerospace engineering, chemistry, and chemical engineering.
Areas of Study and Research

Areas of Research
The current areas of research by the materials science faculty
include a wide variety of nontraditional materials, many far
removed from their equilibrium thermodynamic states. Examples
of such materials include metallic glasses, metal-matrix composites,
energy-storage materials, nanostructured materials, protonconducting solid acids and perovskites, and materials for electronic
devices. The physical characteristics of interest span a wide range
of mechanical, thermodynamic, electrical, magnetic, and electrochemical properties. Materials science is a cross-disciplinary field,
and graduate students in the materials science option can perform
their thesis research with a supervisor or cosupervisor in a different
option at Caltech.
Physical Facilities
Research by the faculty, graduate students, and a few advanced
undergraduates is conducted in the W. M. Keck Laboratory and
the Steele Laboratory. Material-preparation facilities include
equipment for physical vapor deposition under ultrahigh vacuum
conditions, melting, casting, and rapid solidification, equipment for
the processing of ceramic powders, and high-energy ball milling.
Facilities for the characterization of materials include an extensive
array of X-ray diffraction instruments including a single crystal
diffractometer, X-ray powder diffractometers with high-performance,
position-sensitive detectors, impedance spectrometers for transport
and dielectric measurements, Mssbauer spectrometers, differential
scanning calorimeters and differential thermal analyzers, thermogravimetric analyzers, and several test systems for the measurement
of mechanical properties. A microscopy facility has been built
around an FEI Tecnai TF30 300-keV transmission electron microscope with high resolution and analytical capabilities. Another
analytical 120-keV transmission electron microscope is dedicated
to materials research. In addition to the equipment within materials
science, a wide range of mechanical and microstructural characterization facilities are available elsewhere at Caltech.
MATHEMATICS

Areas of Research
Students in mathematics have the opportunity to work in many
fields of current research. The main active areas of research by the
faculty include the following:
Algebra. Finite group theory, algebraic groups, representation
theory, symmetric functions, algebraic K-theory.
Algebraic Geometry. Moduli spaces, birational geometry, Hodge
theory, Calabi-Yau varieties, arithmetic geometry.
Analysis. Classical real and complex analysis, harmonic analysis,
functional analysis and operator theory, orthogonal polynomials;
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complex, smooth, and random dynamical and Hamiltonian systems,

fractals, integrable systems, partial differential equations.
Combinatorics. Combinatorial designs and matrix theory, coding
theory, extremal set theory.
Geometry and Topology. Low-dimensional topology, hyperbolic
geometry, geometric group theory and foliations; symplectic
geometry and topology, topological gauge theory, knot theory,
and their interface with theoretical physics.
Mathematical Logic. Set theory and its interactions with analysis,
combinatorics, dynamical systems, and model theory.
Mathematical Physics. Schrdinger operators, random matrices.
Noncommutative Geometry.
Number Theory. Algebraic number theory, automorphic forms,
Shimura varieties, Galois representations, and L-functions.

Physical Facilities
The mathematics department occupies three floors of the Sloan
Laboratory of Mathematics and Physics. In addition to offices for
the faculty and graduate students, there are classrooms, a lecture
hall, a computer lab, and a lounge for informal gatherings of the
students and staff. The mathematics library is housed nearby in the
Millikan Library.
MECHANICAL ENGINEERING

Mechanical engineering at Caltech concerns itself with the boundaries between traditional disciplines of science and engineering in
order to develop new understanding and advanced technology to
address contemporary problems. Mechanical engineering encompasses three broad areas: mechanics (including active materials,
fracture mechanics, and mechanics of materials), mechanical systems
(including control and analysis of dynamic systems, engineering
design of electromechanical systems including microfluidic and
optofluidic devices, kinematics, optimization, robotics, and structural
design), and fluid and thermal systems (including acoustics, cavitation,
chemical vapor deposition, combustion, fluid flow and hydrodynamic instabilities, heat and mass transport, multiphase and
multicomponent flows, propulsion, and turbulence). These areas
are applied to a rich diversity of problems including bioengineering,
control of aircraft engines, design of vehicle structures, granular
flows, earthquake occurrence, hyper-redundant robots, jet noise
reduction, locomotion and grasping, medical applications of robotics,
navigation algorithms, structured design of micro-electro-mechanical
systems (MEMS), thin-film deposition, transportation systems,
propulsion systems, and rapid assessment of early designs.
The educational program in mechanical engineering at Caltech
prepares students for professional practice and research in an era of

Areas of Study and Research

rapidly advancing technology. It combines a strong background in

the basic and engineering sciences with laboratory and design
experience. It strives to develop professional independence, creativity, leadership, and the capacity for continuing professional and
intellectual growth.
Areas of Research
Mechanics of Materials. Studies in the field of mechanics of materials are an integral part of the mechanical engineering option.
In general, work pursued within the mechanical engineering
option emphasizes aspects of mechanics that are concerned with
mechanical behavior of homogeneous and heterogeneous solids,
bridging temporal and spatial scales, thin film, MEMS, active
materials, composites, dynamic deformation, fracture and frictional sliding of solids, computational modeling, and advanced
experimental diagnostic techniques. Additional interests include
the mechanics of heterogeneous geological systems.
Mechanical Systems and Engineering Design. Activities in these
areas encompass a broad range of traditional mechanical engineering fields, including control systems, dynamics, kinematics,
and mechanical design, as well as cross-disciplinary areas such
as signal processing, computer control, engineering computation,
electromechanical design, micro-electro-mechanical systems
(MEMS) design, and bioengineering. General areas of interest
include design theory and methodology, imprecision in engineering design, engineering system design, MEMS design,
kinematics, robotics, autonomous systems, control of mechanical
systems, computer-aided design, and simulation.
Thermal Systems and Fluid Dynamics. This area encompasses a
broad spectrum of research activities, including convective
heat transfer (packed beds, moving granular media, rotating
flows), chemical vapor deposition of thin films, computational
fluid dynamics including molecular dynamic simulations,
acoustics of turbulent flows, explosion dynamics including
deflagrations, detonations, and shock waves, two-phase flow
including colloidal dispersions, cavitation, turbomachines for
flow of liquids and rocket propellants and combustion, and
transport phenomena in micro/nanofluidic systems including
phase transitions, fluid instabilities in free surface flows, and
Marangoni and thermocapillary forcing in thin liquid films.
Physical Facilities
Laboratory facilities are available in a number of areas, including
control of mechanical systems, computer-aided design, flow visualization, heat transfer, liquid phase turbomachines, thin-film
deposition, robotics, and hydrodynamic water tunnels. These
facilities are shared by research groups collaborating with applied
mechanics, applied physics, civil engineering, and control and
dynamical systems.

Mechanical Engineering

119

PHYSICS

120

Areas of Research
Students in physics will find opportunities for research in a number
of areas where members of the faculty are currently active, including
those listed below. Physics research at Caltech is often done in
collaboration with scientists in the departments of applied physics,
astrophysics, planetary science, engineering, chemistry, biology,
and other departments, as well as with collaborators at other
universities and laboratories. Additional research programs and
more detailed information can be found on the Caltech physics
department website.
Experimental Elementary Particle Physics. Activities in elementary
particle physics are aimed primarily at finding physics beyond
the Standard Model. Experimental efforts employ hadronic
colliders, e+e- colliders, and neutrino beams at several international facilities. Current experiments include the Large
Hadron Collider at CERN, which is searching for the Higgs
boson and physics beyond the Standard Model; the MINOS
and Nona experiments at Fermilab, studying long baseline
neutrino interactions; the BABAR and follow-up experiments,
searching for new physics in CP-violating and other rare
processes in B meson and t lepton decays.
Theoretical Elementary Particle Physics. The particle theory group
studies the unification of interactions based on string theory,
the detailed properties of hadrons described by QCD, the
quantum properties of black holes, the foundations of cosmology,
including dark matter and dark energy, and other aspects of
mathematical physics.
Nuclear Physics. The interests of the nuclear group include
understanding the detailed properties of neutrinos and performing
precision nuclear measurements to search for physics beyond
the Standard Model. Neutrino oscillations are investigated at
off-campus facilities using accelerators and antineutrinos
produced in reactors to provide detailed information on the
relative neutrino masses and mixing properties. Precision measurements of neutron decay allow sensitive searches for new
physics, while measurements of the neutron electric dipole
moment may help explain the dominance of matter over
antimatter in the universe.
Observational Astrophysics. Research in this area covers a broad
range of topics using observational tools covering the entire
electromagnetic spectrum. The high-energy astrophysics group
at the Space Radiation Laboratory (SRL) uses X-ray and
gamma-ray detectors aboard spacecraft and balloons to investigate
energetic processes from compact astrophysical objects, including
gamma-ray bursts from neutron star and black hole systems,

Areas of Study and Research

supernova and hypernova dynamics, and the development of

stars and galaxies in the early universe.
The cosmic ray group at SRL uses data from a variety of
spacecraft to study the composition of energetic particles arriving
from the sun, the local interstellar medium, and beyond, in
order to understand the origin and acceleration of energetic
particles in space.
The ultraviolet astronomy group uses satellite observations,
such as from the GALEX spacecraft, to explore the ultraviolet
sky. Studies include the birth and death of stars, galaxy dynamics
and evolution, and other areas.
The submillimeter astronomy group studies star formation,
interstellar gas, galaxies, and quasars using the Caltech
Submillimeter Observatory and other facilities. Far-infrared
observations are made using NASAs Sofia Observatory. An
active program is also underway to develop new superconducting
detector technologies for use at these wavelengths, in collaboration
with scientists at the Jet Propulsion Laboratory.
The infrared astronomy group studies a host of astrophysical
phenomena using Caltechs Palomar Observatory, the twin
10-meter optical telescopes at the Keck Observatory, and
observations from the Spitzer Space Telescope. Caltech also
manages the Spitzer Science Center on campus.
Theoretical Astrophysics. The TAPIR (Theoretical Astrophysics
Including Relativity) group carries out research on an everchanging list of topics, including high-energy astrophysics and
the physics of black holes and neutron stars, gravitational-wave
astrophysics, cosmology, the formation of stars and galaxies in
the early universe, and general relativity.
Cosmology. The observational cosmology group explores the
structure and dynamics of the early universe using precise
measurements of the cosmological microwave background radiation
from detectors on the ground, on balloons, and on spacecraft.
Efforts to directly detect dark matter are also underway. These
experiments include an active program of detector development
in collaboration with scientists at the Jet Propulsion Laboratory.
Theoretical studies seek to understand the large-scale structure
of the universe, including the physical nature of dark matter and
dark energy.
Gravitational-wave Astronomy. Observations from the LIGO and
LISA projects seek to use gravitational radiation to study a variety
of astrophysical sources. Theoretical studies are aimed at
developing sensitive data analysis techniques and calculating
G-wave signals from sources such as coalescing black holes and
neutron stars.
Condensed-Matter Physics. Areas of interest include correlated
electron systems, 2-D matter, phase transitions, atomic and
excitonic Bose condensation, nanomechanical and nanoelectronic

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systems, biosensors, quantum electromechanics, phonon

physics, high-temperature superconductivity, graphene and
carbon nanotube systems, quantum entanglement, dynamics of
disordered systems, chaos, pattern formation, and systems far
from equilibrium. Resources include numerous labs in the
Caltech physics department, at the Kavli Nanoscience Institute
at Caltech, and at the Jet Propulsion Laboratory.
Quantum Optics and Information. Research on campus and at the
Institute for Quantum Information at Caltech includes studies
of the nature of quantum computation and quantum information,
cavity quantum electrodynamics, algorithms and error correction
techniques in quantum computation, and generally how quantum
physics can be harnessed to improve the acquisition, transmission,
and processing of information.

Physical Facilities
The physics and astrophysics departments and laboratories are
mainly housed in six buildings on campus: the Norman Bridge
Laboratory, the Alfred P. Sloan Laboratory of Mathematics and
Physics, the W. K. Kellogg Radiation Laboratory, the George W.
Downs Laboratory of Physics, the C. C. Lauritsen Laboratory of
High Energy Physics, and the Cahill Center for Astronomy and
Astrophysics. Off-campus astronomical facilities include Palomar
Observatory, the Keck Observatories, Owens Valley Radio
Observatory, the Caltech Submillimeter Observatory, the
Combined Array for Research in Millimeter-wave Astronomy
(CARMA), and the Laser Interferometer Gravitational-Wave
Observatory (LIGO).
SOCIAL SCIENCE

The social science program at Caltech is highly interdisciplinary,

integrating economics, political science, quantitative history, law,
anthropology, and psychology. It makes extensive use of mathematical
modeling, laboratory experiments, and econometric techniques.
Social science at Caltech strongly emphasizes the understanding
and analysis of the relationships between individual incentives,
political and economic institutions, and public policy.
Areas of Research
Caltech social scientists are leaders in the field of laboratory
experimentation. They have focused upon the behavior and design
of auctions and auction-like mechanisms, public goods provision,
interpersonal bargaining, and committee decision making.
Considerable laboratory experimentation also focuses upon the
workings of financial markets, and seeks to elucidate basic principles

Areas of Study and Research

that underlie the pricing of assets, trading, and information

aggregation in these markets. Many of these experiments are
conducted through the use of networked computers in the William
D. Hacker Social Science Experimental Laboratory.
In recent years, new avenues of experimentation in social science
have emerged with advances in neuroscience. Utilizing f MRI
brain-imaging, eye-tracking, and other measurement technologies,
research at Caltech has begun to explore the neural foundations of
decision making in game theoretic and market settings. The real
world provides another setting for experimental research, and
Caltech social scientists have conducted game theoretic-based
experiments involving a wide variety of subjects, ranging from
urban Americans to African villagers.
In the area of economic theory, research at Caltech has played a
major role in the design of new institutions that more efficiently
allocate resources and provide public goods. There has also been
considerable research at Caltech on developing better theoretical
and statistical models of individual choice behavior.
Political scientists at Caltech focus primarily upon quantitative
analyses of voting, legislative behavior, and public policy. They
draw heavily upon techniques and approaches used in a variety of
other disciplines, such as economics, statistics, and legal studies.
During the past decade Caltech faculty members have been active
contributors to the Voting Technology Project, a joint CaltechMIT research effort that evaluates the performance and reliability
of U.S. balloting technology, registration systems, and election
administration. Caltech political scientists have also pioneered
techniques for the detection of vote fraud and other election
anomalies.
As in the case of economics and political science, historical
research conducted at Caltech employs mathematical modeling and
sophisticated statistical techniques to attack a wide range of historical
questions. These include the development of capital markets in
Europe, the impact of racial discrimination in the United States,
the causes of recurrent financial crises in capitalist economies, and
the determinants of economic growth.

Social Science

123

Section Three

Information for
Undergraduate
Students

124

Undergraduate Information

The undergraduate program leads to a four-year Bachelor of

Science degree. Admitted students matriculate in the fall term only.
Caltech does not have a summer session or part-time program and
cannot consider you if you already have a bachelors degree from
another college, university, or the equivalent. If you have matriculated at any college, university, or the equivalent in a program
leading to any degree, you will probably be required to apply as a
transfer student and should read the requirements in the section
titled Transfer Admissions.
ADMISSION TO THE FRESHMAN CLASS

Students are admitted to the freshman class on the basis of strong

academic performance in a rigorous course of college preparatory
study, especially in the areas of math and science; results of the
SAT or ACT, and one SAT science subject test and the SAT
mathematics level 2 test; teacher and counselor evaluations;
personal characteristics; a demonstrated interest in math, science,
or engineering; and information provided on the application.
Applying
Information on the application process can be found on the admissions
office website at http://www.admissions.caltech.edu. Students are
encouraged to apply online through the Common Application. For
further information on admission, please call (626) 395-6341 or
e-mail [email protected]. To be considered for admission,
applications to the freshman class must be submitted online or
postmarked by January 3.
Early Action
The Early Action application process requires that the completed
application be postmarked or submitted online by November 1.
Under this application plan, students will be notified in midDecember of the admission decision. Students admitted under
Early Action have until May 1 to make their commitment to
attend.
High School Requirements
Students are expected to prepare for Caltech by successfully
completing the following curriculum:
Four years of mathematics (including calculus)
One year of physics
One year of chemistry
Three years of English (four years recommended)
One year of U.S. history/government (waived for international
students)

Freshman Admission

125

Standardized Exams
Applicants are required to take the following standardized tests by
the October test series for Early Action consideration, and by the
December test series for Regular Decision consideration:
SAT or ACT
SAT mathematics level 2
One of the following SAT subject tests: Biology, Chemistry,
or Physics
Information regarding the College Board examinations can be
found in the Bulletin of Information, which may be obtained
without charge at most high schools, or by contacting the College
Board, 45 Columbus Avenue, New York, NY 10023-6992;
(609) 771-7600; [email protected]; or http://www.college
board.com. For ACT, 500 ACT Drive, P.O. Box 168, Iowa City,
IA 52243-0168; (319) 337-1270; http://www.act.org.

126

Essays
The essays, which are required as a part of the application, are
intended to provide students the opportunity to communicate their
interests, experiences, and background. Since Caltech is interested
in learning about each applicant, the essays are viewed as an
important part of the admission decision process.
Evaluations
Two evaluations and a Secondary School Report are required. One
must be from a math or science teacher, and one from a humanities
or social science teacher (see the instructions in the application).
A Secondary School Report must be filled out by the applicants
high-school counselor or other school official.
Additional Material
Descriptions of research projects and hands-on science and
engineering experience are helpful, as is material that demonstrates
experiences outside math and science. Additional material should
be identified with name and date of birth.
Acceptance
Caltech is a National Association for College Admissions
Counseling member and therefore agrees to comply with the
candidates reply date of May 1. Places in the entering class will
not be held after May 1. Early Action applicants will be informed
of their status in mid-December, and Regular Decision applicants
will be informed by April 1.
Deferral of Entrance
For reasons of travel or work, Caltech will consider requests from
admitted students for a one-year deferral of entrance. Students
who request a deferment must submit a written request stating the
purpose of postponement.
Undergraduate Information

Advanced Placement, International Baccalaureate, and College Credit

Caltech encourages all prospective undergraduate applicants to
prepare by challenging themselves with the most rigorous course
of study available, including the Advanced Placement (AP) and
International Baccalaureate (IB) programs. However, college credit
for AP or IB classes is not automatic. Course credit and/or placement in an accelerated program is sometimes granted as deemed
appropriate by the department faculty. The awarding of Caltech
course credit takes place at the time of registration each fall.
Biology
Biology majors who have passed Bi 8 and Bi 9 are considered to
have met the core requirement of Bi 1.
Chemistry
For those students who qualify for advanced placement in chemistry, the Institute requirement of 15 units of Ch 1 ab can be satisfied by completing with passing grades two terms of (i) Ch 21 abc
(9 units each term), or (ii) Ch 41 abc (9 units each term). The students qualifications for advanced placement in chemistry will only
be determined by the performance on a placement examination to be
administered in the summer prior to registration. Similarly, qualified students, with the instructors consent, are allowed to substitute either Ch 3 b or Ch 4 a for the core chemistry laboratory
requirement (Ch 3 a).
English/Writing
All incoming students (freshmen and transfers) must submit a
placement essay to determine whether they are adequately prepared
for the substantial writing component that is part of all freshman
humanities courses. Most new students participate in a web-based
version of this assessment, which is usually conducted in early
June. A makeup assessment is held just before fall classes begin.
Based on results of this writing assessment, students may be
required to take En 1 a or En 2 before enrolling in a freshman
humanities class. (En 1 ab and En 2 count for general Institute
credit only.) During the first week of classes, students will be
required to produce an in-class writing sample to confirm the
initial placement.
Mathematics
During the summer before the freshman year, entering freshmen
are asked to take a diagnostic exam in basic calculus that will determine which students will be placed in a special section of Ma 1 a
for those with less complete preparation, and later take Ma 1 d;
and if they are interested in advanced placement, they may also
take an examination to determine whether they will begin the
mathematics core sequence at an advanced level.

Freshman Admission

127

Normally, an entering freshman takes Ma 1 abc, Calculus of

One and Several Variables and Linear Algebra. This course covers
the calculus of functions of one and several variables; infinite
series; vector algebra; basic and advanced linear algebra; derivatives
of vector functions, multiple integrals, line and path integrals; and
theorems of Green and Stokes. The course is divided into a lecture
part and a recitation part that focuses mainly on problem-solving.
Students in need of additional problem-solving practice may be
advised to take Ma 8 (in addition to Ma 1 a) in the first quarter.
Physics
The required freshman physics course, Ph 1 abc, is considerably
more rigorous than most advanced placement work, and entering
freshmen are encouraged to take Ph 1. A test is administered during
the summer to aid in the organization of Ph 1; students who have
performed particularly well can discuss the possibilities for advanced
placement with the physics representative during orientation.
A second test may then be required.
New Student Orientation
128

All freshmen and transfer students are expected to attend the New
Student Orientation as a part of the regular registration procedure.
The orientation takes place the week prior to the beginning of
classes. A large number of faculty members and upperclass student
leaders participate, helping to introduce the new student to the
Caltech community. The orientation period provides an opportunity
for the new student to become acquainted with the campus, the
Honor System governing personal conduct, and other aspects of
life at Caltech. In addition, he or she can meet classmates, upperclass students, and faculty. Thus the new student can begin to feel
at home at Caltech and to share in the common agreement on
intellectual and moral standards before the pressure of academic
work begins.
ADMISSION TO UPPER CLASSES BY TRANSFER
Transfer Admissions
Caltech admits transfer students for the fall term only. We require
a completed application, letters of recommendation, an official
transcript from the last secondary school attended and all colleges
or universities attended, descriptions of all college-level math and
science courses, and completion of the Caltech Transfer Entrance
Examinations. Please review the section titled Eligibility Criteria
for Admission to determine whether you meet the eligibility
requirements for transfer admissions consideration.

Undergraduate Information

Academic Preparation
The following is a list of the Caltech core curriculum, taken by all
Caltech students during their first two years. It is expected that
transfer students will have had exposure to mathematics and science
courses on a comparable level prior to entry to Caltech. Any of the
following core courses that have not been covered by incoming
transfer students must be taken upon matriculation to Caltech.
There are no specific topics expected to have been covered in
humanities and social science classes.
An evaluation of each transfer students written English is
required prior to registration and may result in an additional
course requirement.
Freshman courses:
Mathematics 1 abc
Physics 1 abc
Chemistry 1 ab
Chemistry 3 a
Biology 1
Humanities and Social Science electives
Menu science class (see page 177; can be taken freshman or
sophomore year)
Sophomore courses:
Mathematics 2 ab
Physics 2 ab or Physics 12 abc
Additional laboratory science
Humanities and Social Science electives
Eligibility Criteria for Admission
The Institute admits to its sophomore and junior classes a small
number of students who have excellent records at other institutions
of collegiate rank and who perform satisfactorily on the Caltech
Transfer Admissions Entrance Examinations.
Students must have completed their secondary school education,
and have subsequently enrolled at a college or university and
earned credit, in order to be considered for transfer admission.
Transfer students are not admitted to the senior year at Caltech.
Students who have already completed a bachelors degree in any
subject are not eligible for transfer.
Standardized Test Requirements
Transfer applicants are not required to submit SAT scores. The
Test of English as a Foreign Language (TOEFL) is required of
transfer applicants whose native language is not English and who
have not been studying in an English-speaking country for two
years or more. The TOEFL should be taken by the February test
date.

Admission to Upper Classes by Transfer

129

Evaluation of Written English

All entering transfer students will be required to undergo an evaluation of their written English prior to enrolling.
Transfer Admissions Entrance Examinations
All applicants are required to take Caltech Transfer Admissions
Entrance Examinations in mathematics and physics. Further
instructions are included with the Caltech Transfer Application.
Transfer of Credit
The courses for which transfer applicants will receive credit, and
the corresponding class standing, will be determined at the time of
enrollment. Faculty members review each course submitted for
credit on an individual basis. It is not possible, therefore, to answer
questions regarding the acceptability of course work taken elsewhere.
If the standard of work taken elsewhere is uncertain, additional
examinations may be required before the question of credit is
finally determined.

130

Graduation Requirements
Admitted transfer students must meet the following requirements
in order to receive a Caltech Bachelor of Science degree.

Regardless of the amount of credit awarded upon matriculation,

transfer students must spend at least two years (six terms) in
residence at Caltech. Students must also earn at least 216 units
at Caltech, not including courses taken to satisfy math and
science core curriculum requirements.
Students must take, or have taken the equivalent of, all core
curriculum courses.
Students must satisfy all of their chosen options degree requirements. Transfer students may choose from among all Caltech
undergraduate options.

Admissions Application
Applications are available September 1. Completed applications
should be received by the Office of Undergraduate Admissions by
February 15. Applicants will be notified of the decisions of the
Admissions Committee in early May. Information on the application
process can be found on the admissions office website at
http://www.admissions.caltech.edu. Students are encouraged to
apply online through the Common Application. For further
information on admission, please call (626) 395-6341 or e-mail
[email protected].
The 3/2 Dual Degree Plan
Caltech invites students from a select group of liberal arts colleges
to transfer to Caltech upon completion of their junior year. After
two years in residence at Caltech, and the successful completion of
our requirements, 3/2 students will be granted a Bachelor of
Undergraduate Information

Science degree from Caltech and a second bachelors degree from

their liberal arts college. Students may transfer into any of the
Caltech options.
Students from the following institutions are eligible to apply to
the 3/2 program:
Bowdoin College (ME)
Bryn Mawr (PA)
Grinnell College (IA)
Haverford College (PA)
Mt. Holyoke College (MA)
Oberlin College (OH)
Occidental College (CA)

Ohio Wesleyan University

(OH)
Pomona College (CA)
Reed College (OR)
Spelman College (GA)
Wesleyan University (CT)
Whitman College (WA)

Applications and a program description are available from the 3/2

liaison at each of the liberal arts college partners and from the
Caltech Office of Undergraduate Admissions. Deadline for
submission of 3/2 applications and support materials is April 1.
Admission to the 3/2 program is not guaranteed and will be
determined by the Caltech Faculty Upperclass Admissions
Committee. Students applying should have a record of superior
academic achievement at their home institutions, and strong letters
of recommendation from their 3/2 liaison and an additional faculty
member. They must have completed a minimum of one year of
calculus-based physics and mathematics (two years are recommended),
including multivariable calculus and differential equations, and one
year of chemistry.
Exchange Programs
Exchange programs exist with Occidental College and Art Center
College of Design, permitting Caltech students to receive credit
for courses taken at these colleges. Students from these colleges
also may receive credit for courses taken at the Institute. Tuition
payments are not required, but the student may have to pay any
special fees. The student must obtain approval from the instructor
of the exchange course. Exchange courses taken by Caltech students
must have prior approval by the students option, by the division
providing courses most similar to the proposed course, and by the
registrar. Students wishing to take such courses should obtain
the appropriate form at the Registrars Office, get the required
signatures as above, and return it to the registrar. Freshmen at
Caltech ordinarily cannot participate in this exchange.
Visiting Student Program
A limited number of students from other institutions of collegiate
rank may enroll at Caltech to take classes for up to one year. These
students are classified as visiting students and will not receive
Caltech degrees. Applicants should have an excellent academic
record and be recommended by their home institutions. Visiting

Admission to Upper Classes by Transfer

131

students are responsible for all costs, including Caltechs tuition

and fees. Accommodations in Institute housing depends on
availability. Decisions on admission are made by the Dean of
Students Office, and prospective visiting students should contact
this office by April 1 to apply for fall enrollment.
STUDY ABROAD

132

Study abroad allows students to gain a firsthand experience of life

in countries abroad, while also gaining a broader exposure to the
sciences, engineering, economics/management, the social sciences,
and humanities. Students who study abroad develop an international viewpoint that transfers to their education at Caltech and to
their graduate study and future career regardless of the field they
pursue professionally.
Please see the Financial Aid section of this catalog for details on
applying for and eligibility for financial aid related to study abroad.
Note that supplemental charges and travel should be listed by the
student in his or her financial-aid budget so that these amounts can
be considered when funding is calculated.
Additional information, including application procedures and
exact deadline dates, is available from the Fellowships Advising and
Study Abroad Office at http://www.fasa.caltech.edu.
Cambridge Scholars Program
The Caltech Cambridge Scholars Program offers qualified juniors
and seniors the opportunity to spend a fall or winter term at the
University of Cambridge in England. Students are hosted by and
live in one of the Cambridge Colleges participating in the program. The participating colleges are Corpus Christi, Pembroke,
St. Catharines, and St. Johns. Students pay Caltech room, board,
tuition, and other standard Caltech fees for the term. There may
be a small supplemental charge for room and tuition. The supplement varies yearly depending on prices and the exchange rate.
Students are admitted into one Cambridge department in the
biological sciences, physical sciences, computer sciences, mathematics, engineering, or economics to take classes within the tripos,
i.e., subject, offered by that department. Students may only take
courses in one tripos unless special permission is granted, and this
is usually granted by Cambridge if a student needs a course to fulfill a Caltech option requirement. Students will find more information on the tripos structure and Cambridge University in the
Fellowships Advising and Study Abroad Office or at
http://www.cam.ac.uk.
During the term at Cambridge, students take the equivalent of
at least 36 Caltech units, usually four Cambridge courses, but may
take five in most cases. The exact number of courses depends on

Undergraduate Information

Cambridge departmental requirements. For their classes, students

receive a minimum of 36 Caltech units that can be used for general
or option credit or to fulfill other Institute course requirements.
Note that the final number of units and whether the units can be
used to fulfill departmental requirements will be determined after
faculty review upon a students return to Caltech.
Caltech students have the use of all Cambridge facilities and are
matriculated into the university for the term. A minimum 3.2 GPA
is required to apply. Eligible sophomores and juniors interested in
either the fall or winter term should apply by the January deadline
for the next academic year. Further information, including application procedures, more about Cambridge University, and exact
deadline date, is available from the Fellowships Advising and Study
Abroad Office at http://www.fasa.caltech.edu.
Please see the Financial Aid section for details on applying for
and eligibility for financial aid related to study abroad. Note that
supplemental charges and travel should be listed by the student in
his or her financial aid budget so that these amounts can be considered when funding is calculated.
Copenhagen Scholars Program
The Caltech Copenhagen Scholars Program offers qualified
juniors and seniors the opportunity to spend the fall at the
University of Copenhagen (KU) or the Danish Technical
University (DTU). At KU students may concentrate in the
physical sciences, mathematics, biological sciences, or economics.
At DTU students can take courses in engineering or the applied
sciences as well as the sciences, e.g., chemistry, physics, and math.
Students live in a modern kollegiet (dormitory) with Danish
students. There is a supplemental charge for the room because the
Copenhagen semester is 15 weeks long plus one week of fall vacation. The supplement varies yearly depending on prices and the
exchange rate.
There is no board plan, but each kollegiet has a well-equipped
kitchen, and students may cook for themselves or with the other
students on the hall. Aside from the supplemental room charge, all
students pay standard board and tuition, but should budget additional funds for food due to the length of the semester. Note that
while students pay Caltech board fees, the board fee is used to
spend on food while in Copenhagen. Students can cook in their
kollegiet or eat out. Caltech fees are due by the normal fall due
date.
Both KU and DTU are on a semester system, and Caltech students attend from around August 25 to mid-December. Students
have a one-week vacation in mid-October, and many use this vacation week to travel in Denmark or Europe. DTU students attend a
one-week orientation the last week of August, and students going to
KU have an advising and orientation period the last week of August.

Study Abroad

133

134

Students take two to four courses in their Caltech option or a

closely related subject and a course in the Danish language. Students
attending Copenhagen University are required to take the course
in Danish culture but may substitute or take in addition a course
taught in English on subjects such as the Danish monarchy, Danish
architecture, Danish film, or the Vikings, depending on what is
offered that fall. Students who will be studying primarily at DTU
are required to take the Danish-language course and may audit or
take for credit a course in Danish culture or take one of the courses
noted above. The Danish-culture course, in addition to weekly lectures, offers field trips to interesting cultural and historical sites in
the city and surrounding area. All upper-level undergraduate or
beginning graduate-level courses at KU and DTU can be taught in
English. More information can be found at http://www.dtu.dk or
http://www.ku.dk.
For this work, students receive a minimum of 36 Caltech units
that can be used for general or option credit or to fulfill other
Institute course requirements. Note that the final number of units
and whether the units can be used to fulfill departmental requirements will be determined after faculty review upon a students
return to Caltech.
Students can enroll in an optional three-week-long Danishlanguage course in August. There is no charge for this course. This
course is not required, but all students are required to take Danish
language during the fall semester for credit.
A minimum 3.0 GPA is required to apply. Eligible sophomores
and juniors should apply by the January deadline for the fall semester at KU or DTU. Further information, including application procedures and exact deadline dates, is available from the Fellowships
Advising and Study Abroad Office: http://www.fasa.caltech.edu.
Please see the Financial Aid section for details on applying for
and elibility for financial aid related to study abroad. Note that
supplemental charges and travel should be listed by the student in
his or her financial aid budget so that these amounts can be considered when funding is calculated.
cole Polytechnique Scholars Program
The cole Polytechnique Scholars Program offers qualified juniors
and seniors the opportunity to spend the fall, winter, or spring term
at the cole Polytechnique, which is located outside of Paris in the
town of Palaiseau, about 40 minutes by train from Paris. Note that
the winter and spring term can only be attended in years that do
not overlap with Caltech term dates and only with the
permission of cole Polytechnique and Caltech. In addition, seniors
may not attend the spring term if they plan to graduate in June.
The cole Polytechnique (the Polytechnic School), often
referred to by the nickname X, is the foremost French grande
cole of engineering (according to French and international rank-

Undergraduate Information

ings). Founded in 1794 and initially located in the Latin Quarter in

central Paris, it was moved to Palaiseau in 1976. It is one of the
oldest and most prestigious engineering schools in the world, with
a very selective entrance exam. As one of the worlds foremost
establishments in science education, the cole Polytechnique trains
graduates who become outstanding scientists, engineers, researchers,
managers, and politicians.
At cole Polytechnique, students can take courses in engineering or the applied sciences as well as the sciences, e.g., chemistry,
physics, and math, as these are also taught. Students can also take
classes in the social sciences and humanities. Two classes must be
in the students Caltech option in science, engineering, or economics
and two classes can be taken in other subjects or in the students
option.
All classes are taught in French, and all discussions, assignments, and exams are in French. Students must have very good ability
in speaking, reading, and writing French before applying for this program. Students will continue to take French at their level while at
cole Polytechnique.
cole Polytechnique has different academic schedules depending on the year of study. Caltech students who study at cole
Polytechnique for a term (usually the fall) during their junior or
senior year can only select classes from the third year of the cole
Polytechnique curriculum, and all classes must be selected from
this years curriculum. Note that the second-year classes are not
allowed as this year goes from the fall through January and then
has a second semester versus two terms. The third-year specialized
curriculum has a schedule that corresponds closely to Caltechs
three-term system, and students must take all classes from the
third-year curriculum. These classes are equivalent to 100-level
classes at Caltech. For further information, go to this URL and
scroll down to the third-year specialized education section:
http://www.polytechnique.edu/page.php?MID=216.
A minimum 3.5 GPA is required to apply. Eligible sophomores
and juniors apply to study during their junior or senior year by the
Caltech internal deadline, which is usually in January.
Note that students must be nominated by Caltech in order to
apply and cannot apply without going through the internal Caltech
nomination process, which is run by the Fellowships Advising and
Study Abroad Office. Only this office can provide the required
nomination. Each year application specifics will be provided to
sophomores and juniors in the fall. Students will be required to
complete both Caltech Study Abroad Proposal and Forms and
complete the cole Polytechnique application forms as well as
undergoing a formal assessment of French skills by Caltechs
French instructor.
Please see the Financial Aid section for details on applying for
and elibility for financial aid related to study abroad. Note that

Study Abroad

135

supplemental charges and travel should be listed by the student in

his or her financial aid budget so that these amounts can be considered when funding is calculated.

136

Edinburgh Scholars Program

The Caltech Edinburgh Scholars Program offers qualified juniors
and seniors the opportunity to spend the fall at the University of
Edinburgh. The University of Edinburgh is on a semester system,
and Caltech students attend from mid-September to mid-December.
All students are required to attend a weeklong orientation held the
week before classes start. All students live in university dormitories
or flats, which are within walking distance from the George Square
(humanities and social sciences) and the Kings Buildings (the science
and engineering campus). The university operates a free shuttle bus
from the George Square campus to the Kings Buildings campus.
Students pay Caltech room, board, tuition, and other standard
Caltech fees for the term. There is a supplemental charge for
housing due to the longer length of the term. The supplement
varies yearly depending on prices and the exchange rate.
Students are admitted into one of Edinburghs academic
departments in the College of Science and Engineering. Note that
students cannot be admitted into the economics department
because that is in the College of Humanities and Social Sciences,
but they can take 20 credits in that department. Students whose
option is BEM or economics may be allowed in an urgent situation
to take 40 credits in economics in order to fulfill BEM or economics option requirements.
Students take a minimum of 60 Edinburgh credits per semester
and a maximum of 80 credits, but no more than five courses. Students will take a minimum of 40 credits in their option or another
science or engineering subject and can take 20 credits (one course)
in the College of Humanities and Social Sciences. Note that 60
credits is the standard courseload, but most Caltech students take
70 to 80 credits. Note that at least 36 Caltech units must be taken.
A minimum 3.0 GPA is required to apply. Eligible sophomores
and juniors should apply by the January deadline for the fall semester
at Edinburgh. Further information, including application procedures and exact deadline dates, is available from the Fellowships
Advising and Study Abroad Office: http://www.fasa.caltech.edu.
Please see the Financial Aid section for details on applying for
and elibility for financial aid related to study abroad. Note that
supplemental charges and travel should be listed by the student in
his or her financial aid budget so that these amounts can be considered when funding is calculated.
London Scholars Program
The Caltech London Scholars Program offers qualified juniors and
seniors the opportunity to spend the fall at University College
London, which is located in the lovely Bloomsbury area of

Undergraduate Information

London. University College London (UCL) is on a semester system, and Caltech students attend UCLs autumn semester from
about the third week of September to mid-December. All students
are required to attend an orientation (Wednesday evening through
Friday/Saturday) before the semester begins. All students live in a
UCL hall of residence, which is located within a short walk or
short bus ride from the academic buildings of the UCL campus.
Students pay Caltech room, board, tuition, and other standard
Caltech fees for the term. There is a supplemental charge for
housing/board due to the longer length of the term. The supplement varies yearly depending on prices and the exchange rate.
Students are admitted into one of UCLs academic departments in the physical, life, or engineering sciences and must take
2 UCL/30 ECTS (European Credit Transfer System) credits.
Students are required by UCL to take at least 50% of their classes
in their admitting department. Usually the admitting department is
in a subject area that most closely corresponds to the students
Caltech option, but there is some leeway provided the student has
the background to be admitted to the department in question.
Note that students can be admitted to two departments in the life,
physical, or engineering sciences and take at least 25% of their
classes in each. However, dual admission is only available if there is
a compelling reason, e.g., double-option students who need to fulfill a course requirement.
The remaining 50% of classes can either be taken in the admitting department, another department in the sciences or engineering,
or the humanities and social sciences with the exception of the
English literature department, which does not admit visiting students (even those with majors in English literature). Note that
there are ample opportunities to take literature courses from a
number of departments that offer such classes, e.g., Slavonic and
East European studies, Classics, Scandinavian studies, European
cultural studies, Hebrew and Jewish studies, and French. Note that
such departments offer classes taught in translation and in the
foreign language as well as literature classes taught in the foreign
language.
A typical UCL semester class is 7.5 ECTS or 5 ECTS credits in
the sciences or life sciences. In engineering subjects, a one-semester class is typically 2.5 UCL/3.75 ECTS credits. Caltech students
must take a minimum load of 30 ECTS credits during their semester at UCL and a maximum of 37.5 units. This would be equivalent to 36 to 45 Caltech units. UCL classes can be used for general
or option credit or for humanities and social science credit. Note
that the final number of units and whether the units can be used to
fulfill departmental requirements will be determined after faculty
review upon a students return to Caltech.
Note that students cannot be admitted into the economics
department as a primary department but can be admitted into the
economics department as a secondary department. Such students

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must take at least 50% of their classes in their primary department

in the physical, life, or engineering sciences and at least 25% of
classes in economics. Students may also be admitted to the statistical sciences department, which offers some economics-related
courses. Only students with a secondary admission to economics
may take higher-level classes. Note that students can take up to
two first- or second-year courses in the economics department
without a formal dual admission.
A minimum 3.0 GPA is required to apply. Eligible sophomores
and juniors should apply by the January deadline for the fall semester at UCL. Further information, including application procedures
and exact deadline dates, is available from the Fellowships Advising
and Study Abroad Office.
Please see the Financial Aid section for details on applying for
and elibility for financial aid related to study abroad. Note that
supplemental charges and travel should be listed by the student in
his or her financial aid budget so that these amounts can be considered when funding is calculated.

138

ROTC

Air Force Reserve Officer Training Corps (AFROTC) offers two-,

three-, and four-year programs leading to a commission as a second
lieutenant in the United States Air Force. The AFROTC program
is open to almost all students pursuing baccalaureate and graduate
degrees. Classes consist of one hour of academics and two hours of
leadership laboratory per week for freshmen and sophomores, and
three hours of academics and two hours of leadership laboratory
per week for juniors and seniors. AFROTC offers a variety of oneto four-year scholarships valued at up to 100 percent of annual
tuition, along with a nontaxable monthly stipend. Air Force ROTC
is offered on the campuses of the University of Southern California,
California State University San Bernardino, Harvey Mudd College,
Loyola Marymount University, and the University of California,
Los Angeles. You do not need to be a student at any of these colleges
to attend AFROTC on their campuses. For more information,
contact the Department of Aerospace Studies at (213) 740-2670 or
visit http://www.usc.edu/afrotc. No military commitment is
incurred until entering the junior year of the program or receipt of a
scholarship after the freshman year.
The Army ROTC program at USC offers four-, three-, and
two-year scholarships that pay tuition costs up to $17,000 a year.
In addition, the program pays all contracted cadets a stipend of
$2,500 to $4,000 a year and an annual book allowance of another
$600. High-school students need to apply for the four-year
scholarship during the fall of their senior year, and no later than

Undergraduate Information

November 15. All Caltech students interested in an Army ROTC

three- or two-year on-campus scholarship need to apply early in their
spring semester, and no later than March 15, for the next academic
year. Completion of the program leads to a commission as a second
lieutenant in one of 17 occupational branches in the Regular Army,
Army Reserve, or the National Guard. These scholarship provisions
are subject to change, and interested students are encouraged to
contact the Department of Military Science at the University
of Southern California for further information: PED 110,
Los Angeles, CA 90098, (213) 740-1850.
REGISTRATION REGULATIONS
Procedures
Students must register on the dates specified in the academic
calendar. Students are not registered until they have both
enrolled in an approved list of courses, and
are current with the Bursars Office. All undergraduate students
with an outstanding Bursars bill balance of $300 or more and
graduate students with a Bursars bill balance of $1,500 or more
will have a hold placed on their registration for the subsequent
quarter the day before online registration opens. The hold will
be released once students have paid their bill or worked out a
satisfactory payment plan with the Bursars Office.
Any student who has not completed both phases of registration
within one week after the first day of classes will be removed from
the Institute rolls.
Students are required to maintain continuity of registration
until the requirements for the Bachelor of Science degree are
fulfilled, except in the case of an approved undergraduate student
sabbatical. If continuity is broken by withdrawal, reinstatement is
required before academic work may be resumed.
Changes in Registration
All changes in registration must be reported to the Registrars
Office by the student prior to the published deadlines. A grade of
F will be given in any course for which a student registers and
which he or she does not either complete satisfactorily or drop. A
course is considered dropped when a drop card is completed and
returned to the Registrars Office. A student may not at any time
withdraw from a course that is required for graduation in his or
her option, without permission of the registrar.
A student may not add a course after the last day for adding
courses, or withdraw from a course after the last date for dropping
courses, without the approval of the Undergraduate Academic

Registration Regulations

139

Standards and Honors (UASH) Committee. Registration for added

courses is complete when an add card, signed by the instructor and
the students adviser, has been filed in the Registrars Office. No
credit will be given for a course for which a student has not properly
registered. The responsibility for submitting drop cards and add
cards to the Registrars Office before the deadlines for dropping or
adding courses each term rests entirely with the student. Failure to
fulfill the responsibility because of oversight or ignorance is not
sufficient grounds to petition for permission to drop or add courses
after the deadline. It is the policy of the UASH Committee that no
petitions for the retroactive dropping or adding of courses will be
considered except under very extenuating circumstances.
Humanities Drop Policy
Students who do not attend the first class of the term will be
automatically dropped from the class. Students who notify the
instructor in advance of their inability to attend the first class may
remain enrolled in the class at the instructors discretion.
Summer Research or Summer Reading
140

Qualified undergraduate students who are regular students at the

Institute are permitted to engage in research or reading during the
summer, but in order to receive academic credit the student must
have the approval of his or her division and must complete the
registration process for such summer work before June 1. An
undergraduate may not receive payment for research carried
out for academic credit. Students who are registered for summer
research or reading will not be required to pay tuition for the
units. A student may apply up to 18 units of summer research
per summer and 36 units in total toward Institute graduation
requirements.
The Institute recognizes that students may want to take
advantage of paid internships that provide unique off-campus
educational opportunities that integrate and enhance the classroom
experience. Students are encouraged to explore and discuss such
opportunities with their academic adviser and the dean or associate
dean of students. If appropriate, the adviser and dean or associate
dean can approve such internships as integral to a Caltech educational
experience. There is no academic credit for such work. The
internships should commence after the end of the third term and
end prior to the resumption of classes in the fall.
Undergraduate Student Sabbatical
An undergraduate student sabbatical must be sought by written
petition, which must be accompanied by a completed withdrawal
card. The dean or associate dean of students may grant a sabbatical
provided (a) the student is in good standing, in other words does
not have to meet special academic requirements as a result of

Undergraduate Information

reinstatement, (b) the sabbatical is for one year or less, although

special circumstances can be considered, and (c) the sabbatical
extends over a period that includes at least one full term.
The dean or associate dean may also grant a leave for medical
reasons provided the petition is recommended by the senior director of
health and counseling services. Return from a leave for medical
reasons also requires the recommendation of the senior director of
health and counseling services, and the final approval of the dean
or the associate dean. A student returning from a leave for medical
reasons will maintain the same academic standing that he or she
had previously.
Involuntary Leave
The dean of students may place a student on an involuntary leave
if persuaded by the evidence that such action is necessary for the
protection of the Institute community or for the personal safety or
welfare of the student involved. The withdrawal card may state a
specific date after which the student may return or it may be
indefinite as to term. The dean of students may stipulate conditions
that must be met before the student may return. These conditions
might include a letter of recommendation from the senior director
of health and counseling services. A decision by the dean to place a
student on involuntary leave is subject to automatic review within
seven days by the vice president for student affairs (or his or her
designee).
Withdrawal from the Institute
Formal separation from the Institute is effected by filing a
completed withdrawal card in the Dean of Students Office to be
forwarded to the registrar and other appropriate offices. The
effective date of a withdrawal is entered by the dean or associate
dean of students. A student leaving the Institute at any time during
the term without filing a formal withdrawal card will not be
considered withdrawn. In such a case, any grades reported by the
instructors will be recorded on the official transcript, and the grade
of F will be recorded for all other courses. A student who withdraws,
or is absent for a term (or longer), without an approved undergraduate
student sabbatical must petition for reinstatement to return to the
Institute. Return from involuntary leave requires approval through
the Dean of Students Office. Reinstatement rules are listed under
scholastic requirements. If the withdrawal occurs after Add Day of
any term, a W (standing for withdrawn) will be recorded on the
students transcript for all courses in which the student is enrolled.
A grade of W is not included in the computation of the students
grade-point average. The record will also indicate whether an
undergraduate student sabbatical was granted.

Registration Regulations

141

SCHOLASTIC REQUIREMENTS

All undergraduates are required to meet certain scholastic standards as outlined below.

142

Eligibility for Registration

Eligibility to register is determined by the students record as of
the first day of classes of the term in which registration is sought.
Undergraduates who register for programs that make it appear that
they are no longer candidates for a B.S. degree or who are not
making satisfactory academic progress may be refused further
registration by the Undergraduate Academic Standards and
Honors (UASH) Committee.
Freshmen are ineligible to register for subsequent terms
if they have accumulated 24 or more units of E or F, exclusive
of PE;
if they have accumulated three or more course grades of E or F,
exclusive of PE;
if, in any term of their freshman year following a reinstatement,
they obtain six or more units of E or F, exclusive of PE.
Ineligible freshmen must petition the UASH Committee for
reinstatement if they wish to continue as students. The dean of
students or associate dean may act on a petition if (i) it is the
students first ineligibility and (ii) the student has received fewer
than 42 units of E or F, exclusive of PE. For other petitions, action
must be taken by the UASH Committee.
Undergraduate students, except first- and second-term freshmen,
are ineligible to register for another term
if they fail during any one term to obtain a grade-point average
of at least 1.4, or if they receive 27 or more units of E or F,
exclusive of PE, during any one term;
if they fail to obtain a grade-point average of at least 1.9 for the
academic year, or if they accumulate 45 or more units of E or F,
exclusive of PE, over the academic year (students who have
completed at least three full terms of residence at the Institute
and have been registered for their senior year shall no longer be
subject to the requirement that they make a grade-point average
of at least 1.9 for the academic yearseniors must, however,
receive a grade-point average of at least 1.4 and receive fewer
than 27 units of E or F each term);
if they have completed fewer than 36 units in the previous
term and fewer than 99 units in the previous three terms in
residence;
if, once reinstated, they fail to complete a full load of at least 36
units in the following term with a grade-point average of at
least 1.9.

Undergraduate Information

If a late grade makes a student ineligible after the start of the next
term, the official transcript shall show the ineligibility and a reinstatement. If the late grade is reported to the registrar before
midterm deficiency notices are due for the subsequent term, the
student shall be held to the requirement as above to complete a full
load of at least 36 units with a grade-point average of at least 1.9.
If a late grade received on or before the last day for adding
classes makes a reinstated student eligible, the ineligibility and the
reinstatement will be removed from the students record.
No student ineligible to register on the first day of classes will
be permitted to register unless a petition for reinstatement has
been submitted and acted upon.
Students ineligible for registration because of failure to meet
the requirements stated in the preceding paragraphs may submit a
petition to the UASH Committee for reinstatement, giving any
reasons that may exist for their previous unsatisfactory work and
stating any new conditions that may lead to better results. Each
such petition will be considered on its merits. For the first such
ineligibility, the petition may be acted on by the dean of undergraduate students, after consultation with the student and
examination of the record. At the deans discretion, such cases may
be referred to the UASH Committee for action. All subsequent
reinstatements must be acted upon by the Committee. A second
reinstatement by UASH will be granted only under exceptional
conditions.
Departmental and Option Regulations
Selection of Option
By the middle of the third term, freshmen must notify the
Registrars Office of their selection of an option in engineering,
humanities, social sciences, or science to be pursued in subsequent
years. Upon the selection of an option, a freshman will be assigned
an adviser in that option, whose approval must then be obtained
for registration for the following year.
Undergraduate students may request to add an approved minor
to their program of study. The request for a minor must be
approved by the option representatives of the students option and
proposed minor. A plan must be presented which meets the minimum
requirements for both the option and the minor, but the option
representatives may impose additional requirements as well. The
approved request must be submitted to the registrar before the
start of the senior year.
Undergraduate students may be allowed to major in two
options for the Bachelor of Science degree. In order to do so the
student must present a rationale for the double option and a plan
of study leading to completion of the degree in four years. The
plan, and any substantive modifications, must be approved by a

Scholastic Requirements

143

committee composed of the option representatives of the two

options. The plan must meet the minimum requirements for both
options as set forth in this Catalog, but the committee may impose
additional requirements as well. The approved plan should be
submitted to the registrar during the sophomore year, but in any
case no later than the start of the senior year. The student will
then be assigned an adviser by each option. Consult the registrar
for appropriate procedures.
Continuing in an Option
Students whose grade-point averages are less than 1.9 at the end of
an academic year in a specific group of subjects designated by their
department or option may, at the discretion of their department,
be refused permission to continue the work of that option. Such
disbarment does not prevent the students from continuing in some
other option or from taking additional courses to raise their
average in their original option. Students without an option will
fall under the direct jurisdiction of the dean of students. Students
may remain without an option for no more than one year.
144

Change of Option
An undergraduate in good standing at the Institute shall be permitted
to transfer into any option of his or her choice provided he or she
has (a) a 1.9 GPA in subjects required for graduation in that option
or in a specific group of subjects designated by that option or (b)
permission of the option representative or committee. A change of
option is effected by obtaining a Change of Option petition from
the Registrars Office. The completed petition must then be signed
by the option representative for the new option (who will assign a
new adviser), and filed with the Registrars Office. Institute
regulations require that a student who has made normal progress
at the Institute be able to change options at any time up to the end
of the sophomore year without penalty either as to time until
graduation or as to excessive unit requirements in any term.
Term Examinations
Term examinations will be held in all subjects unless the instructor
in charge of any subject shall arrange otherwise. No student will
be exempt from these examinations. When conflicts exist in a students
schedule, it is the students responsibility to report the conflict to
the instructor in charge of one of the conflicting examinations and
make arrangements for another time.
Satisfactory Academic Progress
A student will be declared ineligible to register if he or she has
completed fewer than 36 units in the previous term and has
completed fewer than 99 units in his or her three most recent
terms in residence.

Undergraduate Information

Graduation Requirement
To qualify for graduation a student must complete the prescribed
work in one of the options with a passing grade in each required
subject and with a grade-point average of 1.9. A grade of F in an
elective course need not be made up, provided the student has
received passing grades in enough other accepted units to satisfy
the minimum total requirements of the option.
Candidacy for the Bachelors Degree
A student must file with the registrar a declaration of candidacy
for the degree of Bachelor of Science on or before the first
Monday of November preceding the date on which he or she
expects to receive the degree. All subjects required for graduation,
with the exception of those for which the candidate is registered
during the last term of his or her study, must be completed and
the grade recorded by the second Monday of May preceding
commencement.
Graduation in the Normally Prescribed Time
Any undergraduate student who fails to complete the requirements for
graduation at the end of 12 terms must petition the Undergraduate
Academic Standards and Honors Committee for approval to
register for further work each term.
Requirement for a Second Bachelor of Science Degree
Under exceptional circumstances, a student may be permitted to
return to study for a second Bachelor of Science degree. To receive
this permission, the student must petition the Curriculum
Committee. If the petition is approved, the student must then
register for three consecutive terms of additional study, completing
in each term at least 36 units, and must meet all the requirements
for graduation in the second option. If additional time is needed to
complete the degree, the student must also petition the
Undergraduate Academic Standards and Honors Committee for an
extension. A student admitted for a second Bachelor of Science
degree in a particular option may not change to another option
without first submitting a new petition to the Curriculum
Committee and receiving the explicit approval of that committee.
Graduation with Honor
Students who have achieved a high scholastic standing or who have
carried out creative research of high quality may be recommended
to the faculty for graduation with honor by the Undergraduate
Academic Standards and Honors Committee. The Committee
shall consider for graduation with honor those students who have
achieved an overall grade-point average of 3.5 and others who, on
the basis of exceptional creativity, have been recommended to the
Committee by a faculty member or by a division or option of the
Institute.

Scholastic Requirements

145

Excess of or Fewer Than Normal Units (Overloads and Underloads)

An overload is defined as registration for more than 54 units by an
upperclassman or more than 51 units by a freshman. An underload
is registration for fewer than 36 units. A student who wishes to
carry an overload in any term must obtain the approval of his or
her adviser and of the dean or associate dean of students. Petitions
for overloads will not be accepted later than the last day for adding
classes in any term.
Underloads for freshmen, sophomores, and juniors must be
approved by the dean or associate dean. Seniors may take an
underload by presenting for the registrars approval a senior underload petition and a course plan for graduation the following June,
provided that the plan does not require an overload in any term.
Allowance and Transfer of Credit

146

Transfer of Credit from Other Institutions

Regularly enrolled students who want to obtain credit for college
courses taken elsewhere should have a copy of the transcript of
their work sent to the Registrars Office. The student should then
obtain an Allowance of Credit form from the Registrars Office and
take this, with the transcript, to the representative of the option in
which credit is desired. Credit will be granted when this form, with
the appropriate signatures, is returned to the office.
Allowance of Credit in the Humanities and Social Sciences
In general, Caltech students should fulfill Caltech course requirements by taking courses at Caltech. Students are expected to have a
well-reasoned educational goal for taking classes elsewhere. The
only exceptions are transfer students admitted to advanced standing. Credit for comparable work done at other institutions with
similar academic standards is not granted automatically.
Students who wish to take courses elsewhere (whether on leave,
in the summer, or during the academic year) should consult, in
advance, with the executive officer for the humanities or the executive officer for the social sciences, or their designees, to minimize
any misunderstanding regarding the nature of credit they may
receive. Upon completion of the course, the student must obtain
an Allowance of Credit form from the registrar, obtain the signed
approval of the executive officer, or his or her designee, for transfer
credit, and return the completed form to the Registrars Office.
The executive officers are the final authority in the allowance of
credit.
Guidelines and specific information about allowance of credit
are available from the Division of the Humanities and Social
Sciences.

Undergraduate Information

Other Allowances of Credit

Except for transfer credit and credit based on Caltech placement
exams upon admission, credit will not be granted for Caltech
courses in which the student is not officially enrolled, except in
special circumstances by arrangement with the instructor. Such
arrangements must be approved by the Curriculum Committee,
and the student must petition the Committee before the work is
undertaken.
UNDERGRADUATE EXPENSES

For freshman and transfer students applying for admission, there is

a $60 application fee. This fee is nonrefundable.
Housing contracts must be submitted to the assistant director of
housing-occupancy by the date specified in the instructions accompanying the contract.
Expense Summary 201011
147

General:
General deposit ............................................................$ 100.001
Orientation fee .................................................................500.001
Tuition ........................................................................34,989.00
$ 35,589.00
1

This charge is made only once during residence at the Institute.

Other:
Student fees ................................................................$ 1,293.00
Room (contract price) ...................................................6,441.002
Board (5 days/week) ......................................................4,956.00
Additional meal allowance (est.) ...................................1,413.00
Books and supplies (est.) ...............................................1,323.00
Personal expenses (est.) .................................................1,974.00
2

The housing/room rate is calculated based on the weighted average of all available
undergraduate on-campus housing options.

The tuition and fees charge for all students is payable in three
installments at the beginning of each term. Fees are subject to
change at the discretion of the Institute.
Refunds and Fees
Refunds and Repayments
For all students, the institutional charges, e.g., tuition and room
and board, will be prorated according to the amount of time the

Undergraduate Expenses

student spent in academic attendance before withdrawing from the

Institute before the end of the sixth week of the term. These prorated charges will be compared to the payments received on behalf
of the student, and the Institute will determine whether the student is entitled to a refund or owes additional funds to Caltech.
For students receiving funds from federal Title IV, from
Caltech, and/or from state programs, the Institute will follow federal
and other applicable regulations to determine the amount of all
program funds the student has earned at the time of withdrawal. In
general, the amount of financial aid earned is based on the amount
of time the student has spent in academic attendance. If the
amount of aid disbursed to the student is greater than the amount
the student has earned, unearned funds must be returned. If the
amount the student was disbursed is less than the amount the
student earned, the student will be eligible to receive a postwithdrawal disbursement.

148

Determining the Students Last Date of Attendance or Withdrawal

Date: The Office of the Registrar is responsible for obtaining
requests for withdrawal from the undergraduate or graduate dean
and for processing official withdrawals. In order to calculate the
refund or repayment, Caltech will establish the students withdrawal date. This date is one of the following:
the date that the student began the withdrawal process
prescribed by Caltech;
the date the student otherwise provided official notification
to the registrar (written or oral) of his or her intent to
withdraw;
the midpoint of the academic term if no official notification
is provided;
the date determined by the registrar if there are special
circumstances (illness, accident, grievous personal loss); or
the date the registrar determines the student has not
returned from an approved student sabbatical or if the
student does not qualify for a sabbatical.
Academically Related Activities that Determine Academic Attendance:
The Institute may use the last date of attendance at an academically
related activity as the students withdrawal date. This may occur if
a student begins the withdrawal process and then attends an
academically related activity after that date. Caltech considers an
academically related activity to include the following:
attendance at a lab
attendance at a lecture
completing a quiz and/or test
participation in a study session
academic counseling session
academic advisement session
turning in a class assignment

Undergraduate Information

Determining the Return of Federal Funds: The Financial Aid Office

and/or the Graduate Office will calculate the federal funds that
must be returned to the appropriate federal accounts.
If a student withdraws from the Institute prior to the first day of
classes for the period of enrollment, Caltech will return 100 percent
of the students federal financial aid in accordance with federal
procedures, as well as Caltech and/or state grants or aid.
If a student withdraws any time after the first day of classes for
the period of enrollment, the Institute will perform the following:
Determine the percentage of the payment period that the
student completed. If the student completed more than
60 percent of the period, he or she earned 100 percent of the
aid for the period. If the student completed 60 percent or
less, the percentage of the period completed is the percentage of aid earned. This percentage is determined by dividing
the number of days attended in the period of enrollment by
the total days in the period.
Apply the earned percentage to the amount of aid actually
disbursed and the amount that could have been disbursed
(earned aid).
Subtract earned aid from aid that was actually disbursed.
This results in the amount of unearned aid to be returned.
The Financial Aid Office and/or the Graduate Office (as appropriate) will allocate the return of funds back to the student aid
programs in the following order:
1. Federal Direct Unsubsidized Stafford Loan Program
2. Federal Direct Subsidized Stafford Loan Program
3. Federal Perkins Loan Program
4. Federal Direct PLUS Loan Program
5. Federal Pell Grant Program
6. Federal SEOG Program
7. Other Title IV Programs
Any remaining refund will be returned to the other state, institutional, or private student assistance utilized. Federal Work Study is
not included in any of these calculations.
Appeals on Refunds: Any questions or problems related to refunds
should be directed to the Bursars Office. For further information
on refunds and repayments, contact the Financial Aid Office, the
Graduate Office, or the Bursars Office.
Dropping a Course: A students financial-aid package will be adjusted
to reflect any tuition adjustment made by the Bursars Office as well
as any other adjustments required by law or by the applicable fund
donor(s). In addition, students who are not enrolled full time as of the
last day to add courses will have their aid revised. Generally, students
enrolling less than three-fourths time will have an increased work
award. Additional information is available in the Financial Aid Office.

Undergraduate Expenses

149

150

Refund upon Withdrawal: When a student, for whatever reason,

withdraws from Caltech during an academic term, a refund of
tuition as well as room and board, if applicable, is calculated. The
amount of refund is determined by how much of the term has
elapsed. If the student is a recipient of student financial assistance,
that assistance, if applicable, will be reduced as a result of his or
her withdrawal. Recent federal legislation determines the amount
of refund for recipients of federal Title IV student assistance. It is
the purpose of this section to inform students of the financial
implications of withdrawal.
If the student is not a recipient of federal financial aid, the
Institutes refund policy returns any refund of tuition or room and
board first to the programs from which assistance has been
received (i.e., scholarships, Caltech gift assistance). Any amount
remaining will then be returned to the student. The nonTitle IV
portion will be distributed as appropriate, first to outside agencies,
as required, then to the Caltech grant, scholarship, or loan,
depending on the composition of the aid package. These distributions will occur as credits to the appropriate aid funds and
charge(s) to the students Caltech account.
If the student is the recipient of federal Title IV student assistance, any refund must then be applied first to the federal aid
program(s) in the prescribed order listed on page 148.
In the event that a students disbursed financial aid exceeds the
direct costs on the students personal account, a credit balance will
result. Withdrawal will result in the reversal or repayment of the
resulting credit balance.
General Deposit
Each new student is required at his or her first registration to make
a general deposit of $100, to cover possible loss and/or damage of
Institute property. Upon graduation or withdrawal from the
Institute, any remaining balance of the deposit will be refunded.
Fees for Late Registration
Registration is not complete until the student has enrolled in a
program approved by his or her adviser and has paid tuition and
other fees. A penalty fee of $50 is assessed for failure to register
within five days of the scheduled dates. A $50 late penalty will be
charged by the Bursars Office for failure to clear a past-due
account within five days of the beginning of instruction.
Honor System Matters
Monies owed to the Institute resulting from a Board of Control
decision may be collected through the Bursars Office, at the
request of the dean of students.

Undergraduate Information

Special Fees
Students taking the Summer Field Geology course (Ge 120 ab)
should consult with the division about travel and subsistence
arrangements and costs.
Unpaid Bills
All bills owed the Institute must be paid when due. Any student
whose bills are past due may be refused registration for the following term. All undergraduate students with an outstanding bursars
bill balance of $300 or more will have a hold placed on their registration for the subsequent quarter the day before online registration opens. The hold will be released once students have paid their
bill or worked out a satisfactory payment plan with the Bursars
Office.
Caltech Credit Card Charges
If an undergraduate student owes more than $300 at the end of the
quarter, the students ID card will be deactivated on the seventh
day of the following quarter and they will be unable to charge any
new purchases. Cards will be reactivated once students have paid
their bill or worked out a satisfactory payment plan with the
Bursars Office.
FINANCIAL AID

Caltech believes that qualified students who wish to attend the

Institute should not be prevented from doing so for financial reasons. Although the Institute expects students and families to
finance the cost of education to the fullest extent possible, the
Institute will make every effort to assist those who need help,
including those whose financial circumstances change during the
year.
Demonstrated financial need is the difference between the
annual cost of attending Caltech and the amount the student and
parents can reasonably be expected to contribute toward those
costs. Costs include actual tuition, student fees, room and board,
an allowance for meals not covered in the board contract, books
and supplies, and personal expenses. For U.S. citizens or eligible
noncitizens who reside in the United States, Canada, Mexico, or
Guam, costs include a travel allowance designed to (partially) offset
the cost of two round-trips from a students home during the academic year, and a travel allowance based on airfare for two roundtrips. Caltechs estimate of a familys ability to contribute is determined annually in accordance with nationally established guidelines.

Financial Aid

151

152

Eligibility for each type of assistance varies, depending upon the

source of funds. Assistance offered by Caltech includes federal,
state, and institutional grants, subsidized part-time jobs, and lowinterest loans. U.S. citizens or eligible noncitizens (as defined in
the Free Application for Federal Student Aid [FAFSA]) may apply
for state and federally funded programs. International students may
apply for institutionally funded programs.
Students should not wait to be accepted for admission to
Caltech before applying for financial aid. With the exception of
international students, applications for admission are evaluated
separately from requests for financial aid. Students with complete
financial-aid applications on file will be considered for all applicable
types of need-based assistance. A renewal application must be
submitted each year. In addition to direct financial assistance,
information is available, upon request, about education payment
plans and financial-planning resources. (For information on nonneed-based scholarships and prizes, see pages 166175.)
All students who believe they will need assistance to attend
Caltech are encouraged to submit financial-aid applications.
The Financial Aid Office staff is happy to talk with students
and their families at any time to explain the application process,
Caltechs computations, and available programs. For further information on the determination of financial need and on application
procedures, as well as on financial-aid awards and programs, contact
the Financial Aid Office, California Institute of Technology, Mail
Code 110-87, Pasadena, CA 91125; call (626) 395-6280; or visit
the Caltech Financial Aid Office website at http://www.finaid.
caltech.edu.
How to Apply for Financial Aid
Slightly different procedures and deadlines exist for each category
of students applying for financial aid. Detailed descriptions of these
procedures and priority due dates for prospective and continuing
students may be found on the Caltech Financial Aid Office website
at http://www.finaid.caltech.edu.
Application Process for Caltech and Federal Financial Aid for Entering
Students (U.S. Citizens and Eligible Noncitizens)
The following materials are needed to apply for all financial-aid
funds administered by the Caltech Financial Aid Office. We realize
that you may not have access to your completed 2010 federal
income-tax information by the priority due dates and ask that you
complete the application based on the best estimates available.
CSS/Financial-Aid PROFILE Application:
Register for the 201112 CSS/Financial Aid PROFILE after
October 1, 2010. Designate California Institute of Technology
as one of the recipients by using Caltechs CSS Code, 4034.

Undergraduate Information

Due dates: Applicants must register for the CSS/Financial Aid

PROFILE by December 15, 2010. Regular Decision applicants
must submit the completed PROFILE application by January 15,
2011. Note: Early Action applicants must register for the
CSS/Financial Aid PROFILE by October 15, 2010, and must submit the completed PROFILE application by November 15, 2010.
Free Application for Federal Student Aid (FAFSA):
The 201112 FAFSA will be available on January 1, 2011, at
www.fafsa.ed.gov. File the FAFSA and designate California
Institute of Technology as the recipient by using Caltechs
Undergraduate Federal Code Number, 001131. Due date:
February 1, 2011.
Parents and Students Federal Income Tax Return:
Parents and students must submit 2010 Federal Income Tax
Returns (including all schedules and W-2s) before eligibility for
financial aid can be determined. Applicants will be sent an e-mail
from the College Board with instructions on how to submit their
tax returns using the Institutional Documentation Service (IDOC).
Log in to the IDOC site at https://idoc.collegeboard.com/idoc/
index.jsp, download and complete the IDOC cover sheet, and submit your 2010 federal income-tax return, all schedules, all W-2
forms, and all other required documents directly to the College
Board. If you or your parents own corporations, partnerships, or
trusts, please include copies of those tax returns (Forms 1041,
1065, 1120, 1120S, K-1). If you or your parent(s) did not and will
not file a federal income tax return, please complete the Parent or
Student Certification of Nonfiling. Please attach copies of W-2 or
1099 forms (if applicable) to the Parent or Student Certification of
Nonfiling. Use the IDOC Cover Sheet to submit this form and all
other required documents directly to the College Board along with
your IDOC cover sheet. Due date: March 2, 2011.
Verification Worksheet:
All students and parents must complete and sign the 201112
Verification Worksheet, available at www.finaid.caltech.edu/forms.
Use the IDOC cover sheet to submit the appropriate worksheet
directly to the College Board. Due date: March 2, 2011.
Caltech Supplemental Application:
All students must complete the 201112 Caltech Supplemental
Application, available at www.finaid.caltech.edu/forms. Use the
IDOC cover sheet to submit this form directly to the College
Board. Due date: March 2, 2011.
CSS Noncustodial PROFILE Application:
If your parents are divorced, separated, or never married, your
noncustodial parent will need to complete the 201112 CSS

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153

Noncustodial PROFILE Application. After your CSS/Financial

Aid PROFILE application is processed, you will receive an e-mail
from the College Board with instructions on how to submit this
information. Once you have your login information, your noncustodial parent can access the application at https://ncprofile.collegeboard.com/ncpWeb/pageflows/Main/Ncp MainController.jpf.
Due date: March 2, 2011.
CSS Business/Farm Supplement:
If you or either of your parents is self-employed or owns a business
or farm, you will need to submit the 201112 CSS Business/Farm
Supplement, available at the Caltech Financial Aid Office website.
You will receive an e-mail from the College Board with instructions
on how to submit this form and other required tax documents
using the Institutional Documentation Service (IDOC). Log in to
the IDOC site to get your IDOC cover sheet. Use the IDOC
cover sheet to submit this form and all other required documents
directly to the College Board. Due date: March 2, 2011.

154

Caltech Scholarship Data Form:

Complete the 201112 Caltech Scholarship Data Form to be
considered for named and endowed scholarships. Entering students
will not be issued a Caltech ID numberrequired for the form
until sometime in June 2011. Due date: July 15, 2011.
International Applicants
If you are applying for admission as a freshman for the fall of 2011
and are not a citizen or permanent resident of the United States at
the time of your application for admission, you will need to refer
to the Caltech Financial Aid Office website at http://www.finaid.
caltech.edu for instructions for applying for financial aid.
International applicants who do not apply for financial aid by published deadlines, or who are denied aid for their first year at
Caltech, are not eligible for need-based financial aid for any other
academic period while they are undergraduates at the Institute
(with the exception of citizens of Canada and Mexico). Those with
financial-aid offers will be eligible to apply for assistance in subsequent years. All eligible students must reapply for aid each year.
Starting with the 201112 academic year, international students
will be required to complete the CSS/Financial Aid PROFILE.
This online application has been modified to collect family income
and asset information from international students. Students will
need to register for the PROFILE service online at www.collegeboard.com by December 15, 2010, and indicate the college(s) to
which they will be applying. (Students can also visit EducationUSA
Advising Centers, which are located around the world, to register
online.) Students will then receive a personalized PROFILE
application at www.collegeboard.com that should be completed
and submitted by February 1, 2011. Please refer to the complete

Undergraduate Information

application instructions provided on the Caltech Financial Aid

Office website at http://www.finaid.caltech.edu.
Types of Aid Available
There are three basic categories of financial aid that may be
awarded.
1. Grants and scholarships represent gift aid, which does not
need to be repaid. In general, a Caltech scholarship is awarded
based on financial need. Caltech named and/or endowed scholarships are considered to be based on need and merit, with the
exception of the Lingle, Axline, and Presidents scholarships,
which are based only on merit. If you qualify for a state or federal grant, this grant would be included in your financial-aid
package.
2. Federal Work-Study or Caltech Work-Study represents student
employment funds that have been allocated for you to earn during the academic year. Summer Caltech Work-Study represents
funds that have been allocated for you to earn during the summer. While a work-study award is not a guarantee of employment, Caltech generally has more opportunities for student
employment than it has students interested in working.
3. Low-interest educational loans: Students are generally offered
Federal Perkins Loans or Caltech/Institute loans. Students
may be awarded Federal Direct Stafford Loans if they request
them.
Caltech Scholarships
Awarded to students with demonstrated financial need. Recipients
are expected to be enrolled full-time. The named and/or endowed
scholarships are also need-based, but many have a merit component. Recipients of named and/or endowed scholarships are often
selected after their initial financial-aid offer based on scholarshipspecific eligibility. These scholarships are almost always used to
replace some or all of the recipients Caltech scholarship. The
Financial Aid Office makes every attempt to renew these scholarships, contingent upon the recipients continuing to meet the
specific eligibility criteria.
Federal Grants
Federal Pell Grant
Awarded to exceptionally needy undergraduate students who are
seeking their first bachelors degree. Amounts are set by the federal
government based on need and enrollment status. In 201011,
awards ranged from $1,176 to $5,550 for full-time students; awards
for part-time students are set in proportion to their enrollment,
i.e., three-quarter time, half-time, less than half-time. Recipients
must be in good academic standing.

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Academic Competitiveness Grant

Awards $750 for the first year of undergraduate study and $1,300
for the second year of undergraduate study to students who are
enrolled at least half-time, are receiving a Federal Pell Grant, are
U.S. citizens or eligible noncitizens, and have completed a rigorous
high-school program as determined by the state or local education
agency and the U.S. Secretary of Education. (For the published list
of rigorous programs of study, go to http://www.ed.gov/admins/
finaid/about/ac-smart/state-programs.html.) Second-year students
must have maintained a cumulative grade-point average of at least
3.0 on a 4.0 scale. This program is scheduled to expire at the end
of the 201011 school year.

156

National SMART Grant

Awards $4,000 for the third and fourth years of undergraduate
study to students who are enrolled at least half-time, are receiving
a Federal Pell Grant, are U.S. citizens or eligible noncitizens, and
have a cumulative grade-point average of at least 3.0 on a 4.0 scale
in the courses for their program (not only those in the major); and
are majoring in physical, life, or computer science, engineering,
mathematics, technology, or a critical foreign language. This program is scheduled to expire at the end of the 201011 school year.
Federal Supplemental Educational Opportunity Grant
Awarded to undergraduates with demonstrated need who are seeking their first bachelors degree. Priority goes to full-time Pell
Grant recipients. Recipients must be in good academic standing.
Awards cannot exceed $4,000 per year.
State Grants
Cal Grant A
Provides tuition and fee assistance to undergraduate California
residents seeking their first bachelors degree. Awarded on the basis
of cumulative grade-point average and financial need. Qualifying
students can receive up to $9,708, renewable for up to four years.
Continuing Cal Grant recipients must maintain good academic
standing in addition to financial need. They are not required to
resubmit verification of their grade-point average for renewal.
Cal Grant B
Provides a living-allowance stipend and tuition/fee assistance to
undergraduate California residents seeking their first bachelors
degree. Awards are based on cumulative grade-point average and
high financial need. Recipients are generally from disadvantaged
economic or educational backgrounds. Awards for first-year students provide up to $1,551 for books and living expenses. When
renewed or applied beyond the first year, awards also include

Undergraduate Information

tuition and fee assistance of up to $9,708. Continuing Cal Grant

recipients must maintain good academic standing in addition to
financial need. They are not required to resubmit verification of
their grade point averages for renewal.
Other State Grants
Other states, such as Pennsylvania, Vermont, and Rhode Island,
may offer grant assistance to their residents who plan at attend
Caltech. Students are encouraged to contact their respective state
post-secondary agencies for specific eligibility and renewal criteria.
Educational Loans
An educational loan is a serious financial obligation and must be
repaid. You should carefully consider the repayment obligation
before you accept educational loans. Loans can be an invaluable
resource for many students and their families in financing a college
education. Students can postpone paying a portion of their educational costs until they complete their education or leave school.
The repayment period on most loans can extend up to 10 years
after graduation or leaving school.
Graduating with educational debt is a fairly common experience
for students. At Caltech, however, the average educational indebtedness at graduation is significantly lower than the national average
for students attending four-year private and public colleges. Over
the last several years, the average for Caltech graduates has been
among the lowest in the nation for four-year colleges.
Federal Perkins Loans
Awarded to students based on financial need. The maximum
amount an eligible student may borrow is $5,500 per award year if he
or she has not successfully completed a program of undergraduate
education ($8,000 per year for graduate students). The maximum
aggregate amount that may be borrowed is $11,000 for any student
who has not yet completed two years of undergraduate work;
$27,500 for an undergraduate student who has completed two
years of undergraduate work and is pursuing an undergraduate
degree; and $60,000 for a graduate student, including loans borrowed as an undergraduate. The aggregate loan limits include only
the unpaid principal. Perkins Loans carry an annual interest rate of
5 percent. Interest does not accrue while the borrower is enrolled
in school at least half-time, during the grace period (the time
before which the borrower must begin or resume repaying a loan),
or during authorized deferments. The borrower is responsible for
paying the interest that accrues on the loan during repayment or
forbearance (a temporary postponement of payments). Loans are
repayable over a period of up to 10 years and have a nine-month
initial grace period.

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157

Your monthly payment amount will depend on the size of your

debt and the length of your repayment period. The minimum
monthly payment is $40.
The William D. Ford Federal Direct Loan Program
This program offers eligible students and parents the opportunity
to borrow money directly from the federal government to help
pay the cost of attendance at Caltech. The U.S. Department of
Education makes loans, through Caltech, directly to students
and/or parents. The Institute will use the loan(s) to pay your
tuition/fees and other direct charges such as room and board,
and give the student any remaining money for indirect costs.
Students and/or parents make their repayments directly to the
federal government.
Direct loans include
1. The Federal Direct Stafford Loan Program;
2. The Federal Direct Parent PLUS Loan Program;
3. The Federal Direct Graduate PLUS Loan Program; and
4. The Federal Direct Consolidation Loan Program.
158

Federal Direct Stafford Loan

There are two types of Federal Direct Stafford Loans: subsidized
and unsubsidized. The federal government pays the interest on
subsidized loans while the borrower is enrolled at least half-time
and during authorized periods of deferment. The interest on
unsubsidized loans begins to accrue immediately upon disbursement and is generally capitalized (added to the amount borrowed)
when the borrower is no longer enrolled at least half-time.
Eligibility for subsidized Stafford Loans is based on financial
need as demonstrated by the FAFSA. Students who do not demonstrate sufficient need or whose need is met may borrow unsubsidized Stafford Loans provided their total financial aid, including
the Stafford Loan, does not exceed the total estimated cost of
attendance.
Dependent undergraduate students (excluding students whose
parents cannot borrow Parent PLUS loans) may borrow Stafford
Loan amounts not to exceed an annual total of
$5,500 for first-year students, with no more than $3,500 in
subsidized Stafford;
$6,500 for second-year students, with no more than $4,500
in subsidized Stafford; and
$7,500 for third- and fourth-year students, with no more
than $5,500 in subsidized Stafford.
Independent undergraduate students and dependent undergraduate
students whose parents are unable to borrow Parent PLUS loans
may borrow additional unsubsidized Stafford Loan amounts not to
exceed an annual total of
$9,500 for first-year students, with no more than $3,500 in
subsidized Stafford;

Undergraduate Information

 $10,500 for second-year students, with no more than $4,500

in subsidized Stafford; and
$12,500 for third- and fourth-year students, with no more
than $5,500 in subsidized Stafford.
Graduate students may borrow Stafford Loan amounts not to
exceed an annual total of $20,500, with no more than $8,500 in
subsidized Stafford.
The maximum outstanding total subsidized and unsubsidized
Stafford Loan debt is
$31,000 for dependent undergraduate students, with no
more than $23,000 in subsidized Stafford;
$57,500 for independent undergraduate students (or for
dependent undergraduate students whose parents do not
qualify for PLUS loans), with no more than $23,000 of this
aggregate amount in the form of subsidized loans; and
$138,500 for graduate students (including loans for undergraduate study), with no more than $65,500 of this aggregate
in the form of subsidized loans.
Stafford Loan interest rates:
The interest rate on subsidized Stafford Loans disbursed for
enrollment periods that begin after July 1, 2010, and before
June 30, 2011, is fixed at 4.5% for undergraduate students.
The interest rate on subsidized Stafford Loans disbursed for
enrollment periods that begin after July 1, 2009, and before
June 30, 2010, is fixed at 5.6% for undergraduate students.
The interest rate on subsidized Stafford Loans disbursed for
enrollment periods that began after July 1, 2008, is fixed at
6.0% for undergraduate students.
The interest rate on unsubsidized Stafford Loans disbursed
for enrollment periods that began after July 1, 2006, is fixed
at 6.8% for both undergraduate and graduate students.
The interest rate for subsidized and unsubsidized Stafford
Loans disbursed for enrollment periods that began before
July 1, 2006, is variable and will be adjusted each year on
July 1, though it will never exceed 8.25% for both undergraduate and graduate students.1
To offset the federal governments cost of the program, the
borrower must pay an up-front origination fee of the principal
amount of the loan. From July 1, 2009, to June 30, 2010, the origination fee for Stafford Loans is 1.5%. The maximum repayment
period under this program is 10 years, not including authorized
periods of deferment. Direct Stafford Loans have a six-month
grace period that starts the day after the borrower graduates, leaves
school, or drops below half-time enrollment. Repayment begins
when the grace period ends. Deferments are available for new
borrowers during at least half-time enrollment at an eligible insti-

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159

tution; during periods of academic study in approved graduate

fellowship or rehabilitation programs; and for periods of unemployment and economic hardship.
Applications for Federal Direct Stafford Loans are available on
the Caltech Financial Aid Office website. Complete information
on Stafford Loan deferments and repayment options is also available from the Financial Aid Office.
1

160

Interest rates for enrollment periods that begin on or after July 1, 2010, can be found at
http://studentaid.ed.gov/PORTALSWebApp/students/english/FFEL_DL_InterestRates.jsp.

Federal Parent PLUS Loan

Parent PLUS loans are available to the parents or stepparents of
dependent undergraduate students. These credit-based loans are
not based on federal need or subsidized by the government, but
students must file a FAFSA in order for their parents to qualify for
a Parent PLUS loan. The interest rate on Parent PLUS loans
disbursed for enrollment periods that began after July 1, 2006, is
fixed at 7.9 percent. Interest is charged on Direct Parent PLUS
loans during all periods, beginning on the date of the loans first
disbursement. There is no annual limit to the amount that can be
borrowed through the Parent PLUS loan program. In general,
parents may borrow the difference between the cost of the students education and any other financial aid received. PLUS loans
may also be used to pay for all or part of the expected family contribution. In addition to the interest, parents pay a loan fee of 4
percent of the principal amount of each Direct Parent PLUS loan
received. For Parent PLUS loans that are first disbursed on or
after July 1, 2008, parent borrowers have the option of deferring
repayment based on the enrollment status of the dependent student on whose behalf a Direct PLUS loan was obtained.
Specifically, Parent PLUS loan borrowers may defer repayment
While the dependent student on whose behalf the loan was
obtained is enrolled on at least a half-time basis, and
During the six-month period after the dependent student on
whose behalf the loan was obtained ceases to be enrolled on
at least a half-time basis.
If a Parent PLUS loan borrower does not request a deferment, the
first payment on the loan will be due within 60 days after the loan
is fully disbursed.
Applications for Federal Direct Parent PLUS loans are available
on the Caltech Financial Aid Office website. Applications must be
submitted to the Financial Aid Office for eligibility certification.
Complete information on Parent PLUS loan deferments and
repayment options is also available from the Financial Aid Office.

Undergraduate Information

Federal Student Aid Ombudsman

The Federal Student Aid Ombudsman works with student loan
borrowers to informally resolve loan disputes and problems. The
office of the ombudsman helps borrowers having problems with
the following federal loans: direct loans (subsidized and unsubsidized Direct Stafford Loans, Direct PLUS loans, and Direct
Consolidation Loans); Federal Family Education Loans (subsidized
and unsubsidized Stafford Loans, FFEL PLUS loans, and FFEL
Consolidation Loans); guaranteed student loans, SLS loans, and
Federal Perkins Loans. If a student needs the assistance of the
ombudsman in order to resolve disputes or problems, he or she
may contact the office at U.S. Department of Education, FSA
Ombudsman, 830 First St., NE, Washington, D.C., 20202-5144;
(202) 377-3800 or (877) 557-2575; [email protected];
or visit the website at http://www.ombudsman.ed.gov.
Caltech Loans
Awarded to students who are not eligible for or who may have used
their eligibility for Federal Perkins Loans. Generally, no interest is
charged and no repayment of principal is required while a student
maintains a continuous course of study at Caltech. Like the
Federal Perkins Loan program, repayment on Caltech loans begins
nine months after graduation, leaving school, or less than half-time
enrollment. Caltech loans carry an annual interest rate of 5 percent. More specific information is provided on the promissory note
and the disclosure statement provided to students prior to disbursement of the loan.
Cecil L. Kilgore Student Loans are available to members of all
undergraduate classes, including freshmen, under the same general
guidelines established for Caltech loans as described above. It is
the funds policy to make loans available at the lowest possible cost
to the student, with priority given to students in the field of power
engineering.
Other loans/emergency loans may be available to students regardless of their eligibility for financial aid. The Hoover Loan Fund
enables students to borrow small sums of money to cover unforeseen emergencies. These loans are usually payable within the same
academic year and are administered by the dean of students on a
case-by-case basis. Additional information and applications may be
obtained from the Dean of Students Office.
The Caltech Y also has a no-interest, 30-day, emergency-loan
program. Maximum loans are $50. Additional information and
applications may be obtained from the Caltech Y.
Student Employment
Work programs provide students with a double incentiveto earn
money to help with college expenses while gaining valuable job
experience.

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Student employment opportunities are generally available to all

Caltech students, even those who have not applied for financial aid
or qualified for need-based aid. Students should go to
http://www.career.caltech.edu/joblistings/index.shtml to register
on NACElink to see relevant job listings. Note that students are
discouraged from working more than 16 hours per week and must
seek the approval of the dean of students to do so. First-year students may not work during fall term and must receive the dean of
studentss approval to work during the second or third term. Note
that first-year students are usually permitted to work unless they
have experienced academic difficulty during the previous term or if
the dean determines that work would interfere with satisfactory academic progress.
Students can expect to earn at least the California state minimum wage of $8 per hour. Compensation rates will vary based on
the position, a students skills, and previous work experience. Please
note that undergraduate students who serve as teaching assistants
may only have one assignment per term of up to 12 hours per
week. Any assignments involving greater hours require the
approval of the dean of graduate studies.
162

Federal Work-Study
Awarded to domestic students who have demonstrated financial
need through their submission of the FAFSA, this federally funded
program provides part-time employment to eligible students.
Most Caltech students are awarded $2,000 in Federal WorkStudy (FWS). Some students may be awarded less. Since entering
students are not permitted to work on-campus in the fall term and
can only work in the winter term if they receive permission from
the dean of students, student employment awards for entering students are limited to $750 in their first year. Employment awards
will increase to the standard student employment amount offered
to continuing students after the first year. The maximum amount
of FWS wages that a student may earn is determined by his or her
financial need. Students have the option to move all or a portion of
their loan or student employment from one program to the other
at any time during the academic year until April 22, 2011.
Please go to the work-study page on the Caltech Financial Aid
Office website (http://www.finaid.caltech.edu/workstudy) for additional information about student employment at Caltech.
Caltech Work-Study
The Caltech Work-Study Program is funded by the Institute and is
designed to provide part-time employment for international students
who have demonstrated financial need, and other students who do
not qualify for the Federal Work-Study Program. The Caltech
Work-Study Program is limited to on-campus employment or
student employment positions at the Jet Propulsion Laboratory.

Undergraduate Information

The programs regulations parallel the Federal Work-Study

Programs regulations.
Financial Aid When Studying Abroad
Caltech provides student financial aid (in the form of grants, scholarships, and loans) to those undergraduates with demonstrated
financial need who desire to participate in the Institute-sponsored
Caltech Cambridge Scholars Program, Caltech Copenhagen
Scholars Program, Caltech Edinburgh Scholars Program, or
Caltech London Scholars Program.
Enrollment in a study-abroad program approved for credit by
Caltech will be considered enrollment at the Institute, for the
purpose of applying for and receiving federal student financial
assistance. To be eligible for consideration in Caltechs studyabroad programs, students must be in good academic standing, as
defined in the Caltech Catalog and as certified by the Institutes
registrar. They must also meet the minimum GPA requirement as
outlined in the information provided by the Fellowships Advising
and Study Abroad Office. In addition, students selected to be
Cambridge, Copenhagen, or University College London Scholars
will be provided a memo of understanding outlining the terms of
their study-abroad participation. (For more information on study
abroad, see page 132.)
Costs include but are not limited to tuition, fees, room, board,
additional meals not covered by a board contract, books, supplies,
personal expenses, and a standard transportation allowance from
the students home to Caltech. Transportation expenses related to
the students travel between Caltech and the study-abroad institution are the responsibility of the student; financial-aid recipients
may be offered interest-free Institute loans to cover study-abroad
travel expenses. Students will have their expected family contribution and financial package calculated in the same manner as other
students. Students studying abroad are subject to the standard
Caltech policy of a maximum of 12 terms of eligibility for financial
aid. Cambridge, Copenhagen, University College London, and
University of Edinburgh Scholars candidates must meet all financial-aid priority deadlines and eligibility requirements to receive
aid. It is the students responsibility to ensure that all necessary
documents are filed and complete with regard to their application
for financial aid. Cambridge, Copenhagen, University College
London, and University of Edinburgh Scholars will continue to be
considered for available federal, state, Caltech grant, scholarship,
and loan funds. The Fellowships Advising and Study Abroad
Office will make the necessary arrangements with the Bursars
Office to ensure that scholars who may be eligible for funds in
excess of the direct charges to the Institute receive those funds
prior to their departure.

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Other Resources

164

A number of both local and national organizations offer outside

scholarships to continuing students throughout the year, some of
these regardless of need. The student newspaper, the California
Tech, announces eligibility criteria for several such scholarships.
Those relevant to undergraduate students will also be posted in the
Scholarship News section of the Caltech Financial Aid Office website. Such scholarships can also often be found with the help of a
search service. We recommend FastWeb (www.fastweb.com);
BrokeScholar (www.brokescholar.com); and College Answer
(www.collegeanswer.com). (For more information on scholarship
services, go to http://www.finaid.org.)
Outside scholarships acquired by students are considered, by
federal regulation, to be a resource available during the academic
year. Caltechs policy is to use outside scholarships to replace the
student employment and/or loan components of the financial-aid
package. For entering students, we generally replace student
employment first. For continuing students, loans are generally
replaced first. Only if the total outside scholarships exceeds the
student employment and/or loan that would have been included in
your financial-aid package will it be necessary to reduce Caltech
scholarship. In general, a students total financial aid, including
outside assistance, cannot exceed his or her demonstrated financial
need. Under no circumstances can a students total financial aid,
including Caltech merit scholarships, exceed their estimated cost
of attendance.
Financial-Aid Disbursement
Most financial-aid funds are credited directly to your student
account and are applied first to institutional charges for the current
term. Funds are credited no earlier than 10 days prior to the first
day of the term. Aid that can be credited directly to your account
will be credited when you have
completed and returned your award letter;
provided all required documents for the aid programs you
have been awarded;
made satisfactory academic progress;
enrolled in at least the minimum number of credits for the
financial-aid programs you have been awarded;
completed all necessary loan documents and, for first-time
Direct Stafford Loan borrowers, completed the online
Entrance Interview.
If the disbursement of your aid results in a credit balance, any
aid awarded in excess of institutional charges will be paid to the
student as a refund. Refunds must be requested by the account
holder. Requests may be made by e-mail, telephone, or in person
at the Bursars Office. Prior to receiving funds, it may be necessary
to fill out and sign a refund form. Refunds can be obtained in cash

Undergraduate Information

or by check. A maximum refund of $500 cash per day can be

received from the Bursars Office cashier. Refund checks are
requested by the Bursars Office and issued by Accounts Payable.
This usually takes five working days from the day of request.
Outside scholarships are usually disbursed in the form of a
check and must be handled according to the sponsors specifications. If the funds are sent to the Financial Aid Office or the
Bursars Office, they will be credited to your account. Again, if the
crediting of any outside scholarship results in a credit balance on
your account, you may request that the credit balance be refunded
to you. Federal regulations allow Caltech to credit financial-aid
funds to your account for payment of tuition, fees, and room and
board charges. You must give the Bursars Office written authorization to keep a credit balance on your account from one term to the
next term during the academic year. Federal guidelines prohibit
keeping a credit balance from one academic year to the next. If you
complete your financial-aid file late in the term, resulting in the
late disbursement of your financial-aid funds, you may be subject
to late fees assessed by the Bursars Office.
Cal Grant B stipend payments will be credited to your tuition
account unless you contact the Financial Aid Office in person
within the first three weeks of the term to make alternate arrangements. Again, if the crediting of any financial aid results in a credit
balance on your account, you may request that the credit balance
be refunded to you.
In general, loans are disbursed in three installments, one at the
beginning each term. For most Caltech students who are enrolled
for the full academic year, this means that one-third of their loan(s)
will be disbursed at the beginning of the fall term, another at the
beginning of the winter term, and the final third at the beginning
of the spring term. Students whose loan periods are for one term
receive their entire disbursement at the beginning of that term.
If you work through either the Federal Work-Study or the Caltech
Work-Study program, you will be paid by check through the
biweekly Caltech payroll system. Checks are normally distributed
at your actual work site.
Since financial aid is generally awarded on the assumption of
full-time enrollment, it is possible that some or all of your aid will
need to be adjusted if your enrollment status results in a reduction
in your tuition for a term. If you withdraw or drop below half-time
enrollment after the last day for adding classes for a term, you may
be required to repay all or a portion of the aid that has already
been credited to your account. You must inform the Financial Aid
Office if you take a leave of absence or change your enrollment
subsequent to receiving your financial aid. Cal Grant recipients
who take a leave of absence are advised to contact the California
Student Aid Commission (www.csac.ca.gov) and submit a form to
remain eligible for the program.
You have the right to cancel your loan(s) anytime before disbursement and up to 14 days after disbursement.
Financial Aid

165

Satisfactory Academic Progress

In order to continue to receive financial aid at Caltech, students
must maintain satisfactory academic progress toward completion of
the baccalaureate degree as defined in the Caltech Catalog.
Whenever this is not maintained, approval for reinstatement by the
Undergraduate Academic Standards and Honors Committee, the
registrar, or the dean of students (as described in the Caltech
Catalog) shall reestablish satisfactory progress for purposes of
financial-aid eligibility. In general, assistance is available to eligible
students for the first 12 terms of enrollment (or the equivalent for
transfer or less than full-time students). Exceptions may be
approved after submission of a petition to the Financial Aid Office.
Petition forms are available in the Financial Aid Office.

166

Class Level
For financial-aid purposes, undergraduate students are classified
according to the number of units earned and the number of terms
in residence at Caltech. Both these criteria must be satisfied for
class-level eligibility. Students are regarded as freshmen until eligible for sophomore status, and as sophomores, juniors, or seniors if
they meet the corresponding criteria set below. Units earned are
defined as units completed with a passing grade.

Classification

Minimum Units Earned

Minimum Terms
in Residence

Sophomore
Junior
Senior

108
216
324

3
6
9

Part-Time Enrollment (Underloads)

Underloads (undergraduate students taking less than 36 units in a
term) must be approved by the registrar or the Undergraduate
Academic Standards and Honors Committee. All students planning
to carry an underload should contact the Financial Aid Office prior
to taking less than a full-time course load.
PRIZES

Robert P. Balles Caltech Mathematics Scholars Award

An annual prize of $1,000 is awarded to the mathematics major
entering his or her senior year who has demonstrated the most outstanding performance in mathematics courses completed in the students first three years at Caltech. The executive officer for mathematics, in consultation with the faculty, determines the recipient.
The prize is made possible by a gift from Mr. Robert P. Balles.

Undergraduate Information

Mabel Beckman Prize

The Mabel Beckman Prize is given in memory of Mrs. Beckmans
many years of commitment to Caltechs educational and research
programs. The prize is awarded to an undergraduate woman who,
upon completion of her junior or senior year at Caltech, has
achieved academic excellence and demonstrated outstanding leadership skills, a commitment to personal excellence, good character,
and a strong interest in the Caltech community. This prize is given
at commencement.
Eric Temple Bell Undergraduate Mathematics Research Prize
In 1963 the department of mathematics established an Undergraduate Mathematics Research Prize honoring the memory of
Professor Eric Temple Bell, and his long and illustrious career as a
research mathematician, teacher, author, and scholar. His writings
on the lives and achievements of the great mathematicians continue to inspire many hundreds of students at Caltech and elsewhere.
A prize of $500 is awarded annually to one or more juniors or
seniors for outstanding original research in mathematics, the winners being selected by members of the mathematics faculty. The
funds for this prize come from winnings accumulated over the years
by Caltech undergraduate teams competing in the William Lowell
Putnam Mathematics Contest, an annual nationwide competition.
Bhansali Prize in Computer Science
The Bhansali Prize was established in 2001 by Vineer Bhansali
(B.S. 87, M.S. 87) in memory of his grandfather, Mag Raj
Bhansali. The prize and honorarium are awarded to an undergraduate student for outstanding research in computer science in the
current academic year. Awardees are selected by a committee of
computer science faculty.
Amasa Bishop Summer Study Abroad Prize
This prize is awarded to one or more freshmen, sophomores, or
juniors to fund summer study abroad in an organized program
with the aim of gaining exposure to foreign language and international issues or cultures, including global issues in the sciences and
engineering.
Marcella and Joel Bonsall Prize for Technical Writing
The Marcella and Joel Bonsall Prize for Technical Writing was
established by the late Marcella Bonsall to encourage SURF
students to develop excellent technical writing skills. Mentors
may nominate their students papers for consideration. A faculty
committee recommends the winning papers. Five prizes can be
awarded annually: a first prize of $500; second prize, $300; and
three $200 third prizes.

Prizes

167

Richard G. Brewer Prize in Physics

The Richard G. Brewer Prize is awarded to the freshman with
the most interesting solutions to the Physics 11 hurdles, in
recognition of demonstrated outstanding intellectual promise and
creativity at the very beginning of his or her Caltech education.
The award is a stipend that will support the student for the
summer while he or she works on an independent Physics 11
project. This award is made possible by a gift from Dr. Richard
G. Brewer, a Caltech alumnus who received his B.S. degree in
chemistry in 1951.
Fritz B. Burns Prize in Geology
This prize is awarded to an undergraduate who has demonstrated
both academic excellence and great promise of future contributions
in the fields represented by the Division of Geological and
Planetary Sciences.

168

Bonnie Cashin Prize for Imaginative Thinking

This $5,000 prize, established in 1997 by Bonnie Cashin, is awarded
each year to the entering freshman who has written the most imaginative essays in the Application for Freshman Admission. The
Freshman Admissions Committee will nominate awardees to the vice
provost, who will approve the selection. The award may be shared if
there is more than one deserving student in a particular year.
Donald S. Clark Memorial Awards
From a fund contributed by the Caltech Alumni Association, annual
awards of $1,000 are made to two juniors in engineering options.
The award recognizes service to the campus community and a
grade-point average equal to or greater than that required for
graduation with honor. The awards honor the work of Professor
Clark, class of 1929, both in the field of engineering and in his
service to the Alumni Association.
Deans Cup and Student Life and Masters Award
Two or more awards, selected by the deans, the assistant vice president for student life, and the master of student houses, respectively,
are presented to undergraduates whose concern for their fellow
students has been demonstrated by persistent efforts to improve
the quality of undergraduate life and by effective communication
with members of the faculty and administration.
Doris Everhart Service Award
The Doris Everhart Service Award is given annually to an undergraduate who has actively supported and willingly worked for
organizations that enrich not only student life, but also the campus
and/or community as a whole, and who has, in addition, exhibited
care and concern for the welfare of students on a personal basis.
The award was made possible by Sally V. Ridge and was established to honor Doris Everhart.
Undergraduate Information

Richard P. Feynman Prize in Theoretical Physics

This prize was established through gifts in memory of Richard P.
Feynman and the senior class gift of the class of 1989. It is awarded
annually to a senior student on the basis of excellence in theoretical physics. The prize consists of a cash award and a copy of the
three-volume set The Feynman Lectures on Physics.
Haren Lee Fisher Memorial Award in Junior Physics
Mr. and Mrs. Colman Fisher established the Haren Lee Fisher
Memorial Award in Junior Physics in memory of their son. The
General Electric Foundation also contributed to the fund under
the matching plan of their Corporate Alumnus Program. A prize
of $350 will be awarded annually to a junior physics major, who is
selected by a physics faculty committee as demonstrating the greatest promise of future contributions to physics.
Henry Ford II Scholar Awards
Henry Ford II Scholar Awards are funded under an endowment
provided by the Ford Motor Company Fund, a nonprofit organization supported primarily by contributions from the Ford Motor
Company. Each award, up to $5,000, will be made annually either
to the engineering student with the best academic record at the
end of the third year of undergraduate study, or to the engineering
student with the best first-year record in the graduate program.
The chair of the Division of Engineering and Applied Science
names the recipient.
Jack E. Froehlich Memorial Award
The family and friends of the late Jack E. Froehlich, who did his
undergraduate and graduate work at Caltech and was later the
project manager for Explorer I for the Jet Propulsion Laboratory,
established a prize fund that provides an award of $1,500 to a
junior in the upper five percent of his or her class who shows outstanding promise for a creative professional career. The student is
selected by the deans and the Undergraduate Academic Standards
and Honors Committee.
George W. and Bernice E. Green Memorial Prize
The George W. and Bernice E. Green Memorial Prize was established in 1963 with contributions given in memory of George W.
Green, who for 15 years served on the staff of the Caltech business
office and was vice president for business affairs from 1956 to
1962. The prize of $1,500 is awarded annually to an undergraduate
student in any class for original research, an original paper or essay,
or other evidence of creative scholarship beyond the normal
requirements of specific courses. The student is selected by the
deans and the Undergraduate Academic Standards and Honors
Committee.

Prizes

169

Lucy Guernsey Service Award

Awarded to one or two students who have provided exceptional
service to the Caltech Y and/or the community, are involved with
service projects, have demonstrated leadership in community and
volunteer service efforts, and who exemplify a spirit of service.
Established by the Caltech Y ExComm in honor of Lucy
Guernsey, the Ys executive director from 1989 to 1991.
Arie J. Haagen-Smit Memorial Fund
The Arie J. Haagen-Smit Memorial Award was established in 1977
to honor the memory of the pioneering bioorganic chemist who
discovered the chemical constituents of smog. Dr. Haagen-Smit
was a member of the Caltech faculty for 40 years, and his family
and friends have arranged for a prize of $750 to be given at the
end of the sophomore or junior year to a student in biology or
chemistry who has shown academic promise and who has made
recognized contributions to Caltech. The selection is made by a
committee of representatives from the biology and chemistry
divisions, and the deans.
170

Frederic W. Hinrichs, Jr., Memorial Award

The Board of Trustees of the California Institute of Technology
established the Frederic W. Hinrichs, Jr., Memorial Award in
memory of the man who served for more than 20 years as dean
and professor at the Institute. In remembrance of his honor,
courage, and kindness, the award bearing his name is made annually to the senior who throughout his or her undergraduate years
at the Institute has made the greatest contribution to the student
body and whose qualities of character, leadership, and responsibility have been outstanding. At the discretion of the deans, more than
one award, or none, may be made in any year. This award is given
at commencement.
Alexander P. and Adelaide F. Hixon Prize for Writing
The Hixon Prize for Writing was established in 2000 by Alexander
P. and Adelaide F. Hixon. The prize will be awarded annually to
an undergraduate student for the best composition in a freshman
humanities course. The prize is administered by the writing center,
and the winner will be chosen by a committee from the humanities division, with preference given to the paper best illustrating
the relationship between the humanities and science and/or
engineering.
The George W. Housner Prize for Academic Excellence and Original Research
The George W. Housner prize is given annually to a senior in the
upper 20 percent of his or her class who has demonstrated excellence in scholarship and in the preparation of an outstanding piece
of original scientific research. The student is selected by the deans

Undergraduate Information

and the Undergraduate Academic Standards and Honors

Committee. At the discretion of the dean, more than one award
may be made in any year. The prize, presented at commencement,
consists of a cash award and a certificate. This prize is made possible by a gift from George W. Housner, Carl F Braun Professor of
Engineering, Emeritus.
Bibi Jentoft-Nilsen Memorial Award
Family and friends of Bibi Jentoft-Nilsen, class of 1989, have provided this award in her memory. The cash award of $500 is for an
upperclass student who exhibits outstanding qualities of leadership
and who actively contributes to the quality of student life at
Caltech.
Scott Russell Johnson Undergraduate Mathematics Prize
This prize of $2000 is awarded to the best graduating mathematics
major. The prize may be split between two students. In deciding on
the winner, special consideration will be given to independent
research done as a senior thesis or SURF project. The executive
officer for mathematics, in consultation with the faculty, determines
the recipient. The prize is made possible by a gift from Steve and
Rosemary Johnson in memory of Scott Johnson, B.S. 83.
D. S. Kothari Prize in Physics
This prize was established in 1998 in memory of Dr. D. S. Kothari,
who received his Ph.D. under Lord Rutherford in 1933, and subsequently made significant contributions in theoretical astrophysics
and science education. The award of $500 is given each year to a
graduating senior in physics who has produced an outstanding
research project during the past year.
Margie Lauritsen Leighton Prize
From a fund established by Dr. Fay Ajzenberg-Selove and Dr.
Walter Selove, the departments of physics and astrophysics will
annually award the Margie Lauritsen Leighton Prize to one or two
undergraduate women who are majoring in physics or astrophysics,
and who have demonstrated academic excellence. The prize consists of a cash award and will be made at the end of the sophomore
year.
Harry Leiter Memorial Mechanical Engineering Prize
This prize shall be awarded to a candidate for the degree of
Bachelor of Science in mechanical engineering who has demonstrated extraordinary creativity as judged by a faculty committee
appointed each year by the executive officer for mechanical engineering. The prize consists of a citation and a cash award. This
prize is made possible by a gift from Dr. Symme Leiter.

Prizes

171

Lemelson-MIT Caltech Student Prize

The Lemelson-MIT Caltech Student Prize is awarded to a Caltech
senior or graduate student who has created or improved a product
or process, applied a technology in a new way, redesigned a system,
or in other ways demonstrated remarkable inventiveness. Students
gain invaluable exposure to the science, business, and investment
communities through participation in this competition.
Library Friends Senior Thesis Prize
This prize was established in 2010 to recognize senior theses that
exemplify research and the effective use of library resources. An honorarium of $1,200 accompanies the citation. The thesis is an extensive, independent written work produced during the senior year,
usually within a senior thesis course series. The university librarian
and Library Friends oversee evaluation and make recommendations
to the Undergraduate Academic Standards and Honors Committee
for final selection. An oral presentation may be requested. At the discretion of the Library Friends, more than one award, or none, may
be made in any year. This award is given at commencement.
172

Mari Peterson Ligocki (B.S.81) Memorial Fund

This award is made to one student who through his or her personal character has improved the quality of student life at Caltech. It
recognizes the student who provides quiet support and kind
encouragement to peers. This fund was established by Mr. Jos F.
Hel Jr. (B.S. 79) to honor the memory of Mari Peterson Ligocki,
who possessed these qualities. The award consists of dinner for two
at the recipients choice of a fine restaurant, and a grant toward any
project or cause of the recipients choosing. It may be seed money
for a project in any field, whether science-related or not.
Gordon McClure Memorial Communications Prize
This prize is awarded to undergraduate students for excellence in
written and oral communication skills. Awards will be given in the
following fields: English, history, and philosophy.
Mary A. Earl McKinney Prize in Literature
The Mary A. Earl McKinney Prize in Literature was established
in 1946 by Samuel P. McKinney, M.D., of Los Angeles. Its purpose
is to promote proficiency in writing. The terms under which it is
given are decided each year by the literature faculty. It may be
awarded for essays submitted in connection with regular literature
classes, or awarded on the basis of a special essay contest. The
prize consists of cash awards amounting to $750.
Galina D. Moller Memorial Fund for Women
The Galina D. Moller Memorial Fund was established to honor
Dr. Galina Moller (M.S. 74, Ph.D. 80), an alumna who was
keenly aware of the special challenges encountered by professional

Undergraduate Information

women. The fund provides support for activities related to study,

research, or professional development of undergraduate women.
For example, the funds could help defray the cost of attending a
conference or seminar. The deans will allocate the funds as
appropriate.
Robert L. Noland Leadership Award
The Robert L. Noland Leadership Award is a cash award of $2,000
for upperclass students who exhibit qualities of outstanding leadership. The kind of leadership to be recognized is most often
expressed in personal actions that have helped other people and
that have inspired others to fulfill their leadership capabilities. The
scholarship was set up by Ametek in 1978 in honor of its president,
Robert L. Noland, a Caltech alumnus. Two or more awards are
generally made each year.
Rodman W. Paul History Prize
The Rodman W. Paul History Prize was established in 1986 by
some of his many colleagues and friends to honor Professor Pauls
35 years of teaching and research at the Institute. The prize is
awarded annually to a junior or senior who has shown unusual
interest in and talent for history.
Doris S. Perpall SURF Speaking Prize
Robert C. Perpall (B.S. 52, M.S. 56) endowed this prize in memory of his late wife, Doris S. Perpall, to encourage students to prepare excellent SURF presentations. SURF Seminar Day is the first
round of the Perpall Speaking Competition. The best presentations in each session are nominated for advancement to a second
round, held in November. The final round is held in January.
Three prizes are awarded annually, a first prize of $1,000; second
prize, $600; third prize, $400.
Howard Reynolds Memorial Prize in Geology
The Howard Reynolds Memorial Prize in Geology is awarded to
a sophomore or junior who demonstrates the potential to excel in
the field of geology, and who actively contributes to the quality of
student life at Caltech.
Herbert J. Ryser Scholarships
The Herbert J. Ryser Scholarships were established in 1986 in
memory of H. J. Ryser, who was professor of mathematics at
Caltech from 1967 to 1985. Professor Ryser contributed greatly
to combinatorial mathematics and inspired many students with his
carefully planned courses. The scholarships are given on the basis
of merit, preferably in pure mathematics. Recipients are selected
by the executive officer for mathematics after consulting the
faculty. This year the scholarship is worth $6,000.

Prizes

173

San Pietro Travel Prize

This prize is awarded to one or more sophomores, juniors, or
seniors to fund an adventurous and challenging summer experience
that expands the recipients cultural horizons and knowledge of the
world.
Richard P. Schuster Memorial Prize
This award is made from a fund established by family, friends, and
colleagues of Richard P. Schuster, Jr., a graduate of Caltech and
the Institutes director of development at the time of his death.
The recipient is a junior or senior in chemistry or chemical engineering; selection is based on financial need and a demonstration
of academic promise.

174

Eleanor Searle Prize in Law, Politics, and Institutions

The Eleanor Searle Prize was established in 1999 by friends and
colleagues to honor Eleanor Searle, who was the Edie and Lew
Wasserman Professor of History at Caltech. The prize will be
awarded annually to an undergraduate or graduate student whose
work in history or the social sciences exemplifies Eleanor Searles
interests in the use of power, government, and law.
Renuka D. Sharma Prize and Award in Chemistry
This prize was established in 2009 by Prof. Brahama D. Sharma, in
memory of his daughter Renuka D. Sharma, to be given to the
sophomore who has demonstrated outstanding performance in
chemistry during his or her freshman year. The prize, consisting of
a cash award of $1,000, was donated to encourage scholastic
achievement early in a students career and is administered by the
Division of Chemistry and Chemical Engineering.
Don Shepard Award
Relatives and friends of Don Shepard, class of 1950, have provided
this award in his memory. The award is presented to a student, the
basic costs of whose education have already been met but who
would find it difficult, without additional help, to engage in
extracurricular activities and in the cultural opportunities afforded
by the community. The recipientsfreshmen, sophomores, and
juniorsare selected on the basis of their capacity to take advantage of and to profit from these opportunities, rather than on the
basis of their scholastic standing.
Hallett Smith Prize
The Hallett Smith Prize was established in 1997 to commemorate
Professor Smiths long career as one of this centurys most distinguished Renaissance scholars. The cash prize is given annually by
the literature faculty to the student who writes the finest essay on
Shakespeare.

Undergraduate Information

Paul Studenski Memorial Fund Prize

This travel grant is awarded to a Caltech undergraduate who
would benefit from a period away from the academic community
in order to obtain a better understanding of self and his or her
plans for the future. The recipient is selected by the Caltech Y
Studenski Committee.
Alan R. Sweezy Economics Prize
The Alan R. Sweezy Economics Prize was established in 1995 by
family, friends, and colleagues to honor Professor Sweezy for his
36 years of teaching and research at the Institute. The prize is
awarded annually to a junior or senior who has shown unusual
interest in and talent for economics.
Frank Teruggi Memorial Award
The Frank Teruggi Memorial Award was established in 1998 by
friends and classmates of the late Frank Teruggi, a Caltech undergraduate who was murdered in Chile in 1973 during the military
coup led by Augusto Pinochet. The annual award of $500 honors
the spirit of Franks life, especially in the areas of Latin American
studies, radical politics, creative radio programming, and other activities aimed at improving the living conditions of the less fortunate.
Morgan Ward Prize
The Morgan Ward Prize was established by the department of
mathematics in 1963 to honor the memory of Professor Morgan
Ward in recognition of his long service to mathematics and to the
Institute. The competition is open only to freshmen and sophomores. An entry consists of a mathematical problem together with
a solution or a significant contribution toward a solution. One or
more winners are selected by a faculty committee acting on the
advice of student judges. Each prize of $75 is funded by the same
source used to sponsor the Eric Temple Bell Prize.
Fredrick J. Zeigler Memorial Award
The Fredrick J. Zeigler Memorial Award was established in 1989
to honor Fredrick J. Zeigler, a member of the class of 1976 and an
applied mathematics major. The award, which carries a cash prize
of $2,500, is given to a pure or applied mathematics student in his
or her sophomore or junior year. Selected by the faculty in pure
and applied mathematics, the award recognizes excellence in scholarship as demonstrated in class activities or in the preparation of an
original paper or essay in any subject area.
Note: Prizes and awards may be subject to federal and state income tax.

Prizes

175

GRADUATION REQUIREMENTS, ALL OPTIONS

176

To qualify for a Bachelor of Science degree at the Institute, students must obtain passing grades in each of the required courses listed below; must satisfy the additional requirements listed under the
undergraduate options; and must achieve a grade-point average of
not less than 1.9. Students must also register for the appropriate
number of units that results in normal progress toward a B.S. degree.
The requirements for the B.S. degree are the ones stated in the
catalog published in the first year of a students enrollment at
Caltech, under normal circumstances. Changes to those requirements can occur due to actions and decisions made by the students
option, the registrar, the Curriculum Committee, or the Faculty
Board. A student may elect to satisfy the requirements stated in a
catalog from a different year than