A Complete Guide to Submitting Research Papers and Publications for Caltech Undergraduate Applicants
Caltech is globally recognized for its exceptional STEM education and deep commitment to research. Because of this reputation, many families assume that meaningful research experience is required for admission. In reality, Caltech clearly states that research submissions are optional supplemental materials, not core application requirements.
In this article, you will find a clear and comprehensive explanation of how Caltech evaluates research, the difference between Research Papers/Publications and the STEM Portfolio, the required components, and practical guidance to help your student decide which path fits their situation.
1. Research Experience Is Not Required for Admission
Caltech emphasizes that research submissions are not mandatory. In fact, only about 35% of recently admitted students submitted a research paper or publication.
This means students without research experience can still prepare a highly competitive application through strong academics, rigorous coursework, personal projects, competition achievements, and compelling essays.
Still, if a student has engaged in meaningful scientific research, Caltech provides a structured way to submit that work.
2. Two Submission Categories: “Research Papers & Publications” and the “STEM Portfolio”
Caltech divides research-related submissions into two distinct categories. Understanding the difference is essential.
Category 1: Research Papers & Publications
This category is reserved for experiences that meet all three of the criteria below:
- Conducted within a university lab or a research-affiliated institution
- Worked closely with a senior researcher or reported directly to one
- Produced a paper that is published, submitted, or in preparation
Only formal, institution-based research that leads to a legitimate manuscript falls into this category.
Category 2: STEM Portfolio
If a student’s experience does not meet the three criteria above, or if they cannot submit all required documents (listed later), the submission automatically becomes part of the STEM Portfolio.
Common examples suited for the STEM Portfolio include:
- Research programs conducted during the school year or summer
- IB Extended Essay or other course-based independent research
- Personal engineering or science projects completed without a mentor
- Research-oriented coursework completed for credit
- Any scientific or creative STEM project the student is proud of
Most high school research experiences naturally fit under this portfolio option.
3. Required Components for “Research Papers & Publications” Submissions
Caltech requires four components, and all must be submitted.
Missing even one will reclassify the submission as a STEM Portfolio.
1) Original Research Paper or Publication
- Caltech prefers the full manuscript, if possible.
- Abstracts or posters are acceptable when the full paper cannot be shared.
- If the work is embargoed, the supervising professor must explain this in the recommendation letter.
2) Research Supervisor Recommendation Letter
This must come from someone who directly oversaw the student’s work.
Who may write the letter:
- Principal Investigator (PI)
- Postdoctoral researcher or mentor
- Adult co-researcher
- Research program administrator
Key elements that must be included:
- The student’s specific contributions
- Their role, skills, and level of independence
- How their work connects to the submitted paper
Submission process:
- The student submits their application
- Gains access to the Beaver Breakroom portal
- Completes the research description form and enters the recommender’s email
- Caltech emails the recommender a direct upload link
3) Research Description Form
Every student submitting a research paper must complete this form.
If multiple papers are submitted, a separate form is required for each.
The form asks questions such as:
- How did the student obtain the research opportunity?
- What were their contributions and responsibilities?
- What was the research duration?
- What was the research topic?
- What is the current status of the paper (published/submitted/in preparation)?
4) Viva Exam
Caltech uses this short online exam to understand a student’s research more deeply.
The link is available through the Beaver Breakroom portal.
Although the exam is straightforward, students must be able to clearly explain their own research, which can be challenging without practice.
4. Additional Considerations for Families
Multiple Research Submissions Are Allowed
Students may submit several research papers.
If all papers were completed under the same mentor or institution, only one recommendation letter is needed.
Research Does Not Have to Match the Intended Major
A student applying for chemistry may submit a physics paper, and vice versa.
Caltech values intellectual curiosity and research engagement regardless of field.
Students Without Research Are Not at a Disadvantage
Caltech evaluates the whole applicant. Many admitted students have:
- Strong math and science coursework
- Competition results
- Independent projects
- Passion-driven STEM activities
- Strong recommendations and essays
Meaningful research can help—but it is not the defining factor.
5. Practical Guidance for Parents and Students
- Caltech’s requirements for research papers are strict, so many students will find that the STEM Portfolio is the more appropriate submission format.
- If a student does not have formal lab experience, a thoughtful STEM Portfolio can still highlight major strengths.
- Students submitting a formal paper must ensure all four required components are complete and properly uploaded.
- Because the Viva Exam asks students to articulate their research independently, practicing explanations beforehand is strongly recommended.
Caltech ultimately seeks students with genuine curiosity, academic depth, and a passion for exploring scientific ideas. Regardless of whether a student submits formal research, a well-crafted application can fully showcase their potential.
Thank you so much.
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Source : CalTech Research Papers and Publications ( https://bit.ly/49Q3nEb)
