(This is a translation of the official version in Chinese 沪交研〔2019〕87 号. In case of any discrepancy, the Chinese version shall prevail.)

Chapter One: General Provisions

Article 1 In order to carry forward the spirit of innovation while being realistic and pragmatic, create a rigorous academic environment, maintain the academic morality, regulate the academic behavior and rectify the academic conduct, this academic conduct code is hereby formulated in accordance with relevant laws and regulations and the Constitution of SJTU Special Committee on Academic Environment and Integrity, and with reference to the actual conditions of the University.

Article 2 This code applies to all postgraduate students currently studying at the University (including those of Professional Degrees), and those who have received a Master or Doctoral degree from the University (hereinafter referred to as “graduate(s)”).

Article 3 While conducting academic activities, the graduates shall abide relevant laws and regulations, and adhere to the academic conduct code. The graduates shall actively participate in the courses, lectures or activities concerning academic norms, getting familiar with the thesis/dissertation writing specifications, improving their writing skills. Supervisors and Schools shall enhance the training on academic integrity, providing the graduates with timely and effective guidance and supervision during the process of postgraduate study, scientific research and thesis/dissertation writing.

Article 4 The University shall handle academic misconduct based on the principles of justified procedure, explicit and sufficient evidence, precise judgment and appropriate punishment. The University shall also adhere to the principles of fairness, openness and justice. The academic misconducts shall be handled strictly by combining education with punishment, and information on the decision should be announced in an appropriate manner.

Chapter Two: Academic Morality and Norms

Article 5 Graduates shall respect the labor, rights and interests of the others, and cite the publications or achievements of the others in accordance with the academic norms. The citations shall not be seen as the main or core component of one’s research achievements.

Article 6 When citing the achievements, views, plans, materials, data, etc., of others, the graduates shall indicate the source explicitly/adequately. In principle, one shall cite the original literature and/or first-hand materials. In case one needs to cite the citation of others, the intermediate source should also be noted.

Article 7 For research achievements accomplished during the graduate study at the University or by using mainly the resources of the University, the affiliation of the achievements shall be Shanghai Jiao Tong University. The graduates shall guarantee that the University is entitled to fully and effectively use the achievements, key technologies or data. Patent ownership belongs to the University, while the inventor who accomplishes the research can share the benefits of the patent right.

Article 8 Graduates shall follow the truth in assigning authorship to the academic research achievements. Only those who make substantial contribution to the achievements are entitled to be listed as the authors. Those qualified shall be listed as the authors, unless in case of confidential or the qualified person agrees in written that he/she shall not to be listed. For collaborative research, the authors shall be listed in proper order according to their respective contribution, unless otherwise specified in a lawful agreement.

Article 9 The academic achievement shall be reviewed and signed by all the authors before its official publication. Each author shall be responsible for his/her own part of work, and bear the corresponding academic and/or legal responsibilities. The principal investigator shall be responsible for the achievement as a whole.

Article 10 All academic papers or other achievements related to the dissertation work published in the name of "Shanghai Jiao Tong University" shall be reviewed and approved by the supervisor before they are delivered or submitted. The graduates shall report the title of the achievement, author(s), registration time and other key information to the supervisor or other person designated by the supervisor.

Article 11 In the publications, the graduates shall express their gratitude in an appropriate manner to the persons or organizations that have provided guidance, advice, assistance or funding to the work. Omissions or errors in this regard, once found, shall be timely reported to relevant personnel and institutions, and effective remedy measures shall be taken.

Article 12 The graduates shall use standard language, punctuation marks, figures and units of measurement in the text of their academic achievements.

Chapter Three: Definition of Academic Misconduct

Article 13 Academic misconduct refers to any of the following behaviors occurring during scientific research or related activities:

(1) Plagiarizing, copying, or encroaching upon someone else’s academic achievements;

(2) Misrepresenting the others’ research achievements;

(3) Fabricating data, materials, literature and/or notes, or falsifying research results;

(4) Being listed as authors of research achievements or academic papers without participating in the research activities; improperly using the name of someone else without permission; fabricating co-authors; or failing to indicate the work or contributions of the others in the achievements of jointly accomplished research;

(5) Providing inveracious information or false academic information while applying for research projects, achievements and rewards, professional positions and/or titles, applying for academic degrees, or publishing papers;

(6) Buying or selling papers; writing papers for the other or using ghostwriters; submitting papers by a third party;

(7) Other behaviors that seriously violate the acknowledged academic norms and academic integrity.

Article 14 Under any of the following circumstances, the academic misconduct shall be deemed as serious:

(1) Causing baneful influence;

(2) Gaining or exchanging profits;

(3) Retaliating against the informant;

(4) Committing academic misconducts in an organized way;

(5) Committing academic misconducts multiple times;

(6) Other cases that cause serious consequences or baneful influence.

Chapter Four: Investigation and Punishment

Article 15 The investigation and identification of academic misconduct is subject to relevant stipulations of the Constitution of SJTU Special Committee on Academic Environment and Integrity.

Article 16 Graduates confirmed to have academic misconduct related to the application or conferral of the degree, upon deliberation by the Academic Degree Evaluation Committee, the concerned graduate and his/her supervisor shall be punished by the following measures according to the seriousness of the offense:

(1) For those who intend to apply for a degree: postpone or disqualify the degree application;

(2) For those who have already been awarded a degree: revoke the degree already granted and annul the degree certificate;

(3) The supervisor shall be suspended the qualification to admit new graduate students for one to three years, or they shall be permanently deprived the qualification to supervise graduates. Serious violations shall be handled by the Human Resources Office in accordance with relevant regulations.

Article 17 The decisions shall be delivered to the person concerned by relevant School (Department) within 10 working days from the date of issuance. Upon receiving the decision, the graduate shall sign on the receipt. If he/she refuses to do so, the School (Department) staff shall record the situation on the receipt and have the receipt signed by two witnesses. If the graduate has already left the University, the decision can be sent via mail. If the graduate cannot be reached, an announcement shall be published on the Graduate School website. After 15 consecutive days from the date of publishing the announcement, the decision shall be deemed to have been received by the graduate.

Article 18 The decision shall be announced in a proper way and recorded in the personnel files of the graduate concerned. Since the date the decision is made, within at least 3 years, the University shall not accept degree application submitted by the graduate who has been deprived the qualification for degree application or whose degree was revoked.

Article 19 In case of objection to the decision, the graduate concerned may, within 30 working days after receiving the decision, file an opposition or review application to the Secretariat of the SJTU Special Committee on Academic Environment and Integrity. If the graduate is dissatisfied with the review result, and file another opposition or review application based on the same facts and reasons, the application shall not be accepted. If the graduate concerned appeals to relevant departments, the case shall be handled in accordance with relevant regulations. Execution of the decisions shall not be suspended during the process of appeal.

Article 20 This conduct code is subject to interpretation by the Graduate School and comes into force as of the date of promulgation. The previous “SJTU Academic Conduct Code for Graduate Students” is abolished simultaneously.