Doctoral Thesis Exception Request to the 6-Month Embargo
This Exception form must be submitted at least one month before the expiration of the embargo on the thesis in question.
The Caltech Doctoral Thesis Dissemination Policy applies exclusively to Caltech doctoral students. Students depositing Masters, Engineering or undergraduate-level theses are not affected by the policy. If you have any questions please contact the library at thesis [at] library.caltech.edu.
Exceptions to the policy, i.e., extending the embargo to include the campus or beyond six months, must be requested in writing and include documentation supporting the request, and will require the consent of the University Librarian, the Division Chair, the Vice Provost, and the Dean of Graduate Studies. Extensions will typically be limited to six months.
Examples of situations where an extension of the embargo may be granted:
- Portions of the thesis are included in a publication under review in a journal whose policy explicitly requires embargo. The written request must include documentation, and an additional six-month extension of the embargo may be granted.
- A patent application or licensing agreement is under negotiation and the Office of Technology Transfer and Corporate Partnership advises continued embargo. The written request must include documentation, and an additional six-month extension of the embargo may be granted.
Examples of situations where an exception will not be granted:
- The advisor intends to prepare a patent application, but has not yet done so.
- The student intends to prepare a paper, but has not yet done so.
- The student seeks to extend the embargo to campus in order to keep some methodology described in the thesis secret in order to apply it to other areas.
Students should consult with their advisor(s) before submitting this form.