(This is a translation of the official version in Chinese沪交研〔2018〕6号; in case of any discrepancy, the Chinese version shall prevail.)
Chapter One: General Provisions
Article 1 To further improve the quality of graduate degree theses (and dissertations) and to guarantee the quality of the conferment of academic degrees, these regulations are hereby formulated in accordance with “Provisions on the Sampling Inspection of Master Theses and PhD Dissertations” (Xuewei  5) which was stipulated by the Academic Degrees Committee of the State Council (hereinafter referred to as ADCSC) and the Ministry of Education, and with reference to the actual conditions of the University.
Article 2 The term “sampling inspection of the graduate degree theses” in these Regulations refers to the sampling inspections of the Master theses (including those for professional master degrees) and PhD dissertations for conferred degrees that is organized by ADCSC and the Academic Degrees Committee of Shanghai Municipality (hereinafter referred to as ADCSM), and to the sampling inspection of the PhD dissertations organized by Academic Degrees & Graduate Education Development Center, Ministry of Education, entrusted by the University (hereinafter referred to as “SJTU SI”).
Chapter Two: Measures for Sampling Inspection
Article 3 ADCSC and ADCSM carry out annual sampling inspection of Master theses and PhD dissertations respectively for academic degrees conferred in the previous academic year. The detailed procedure should follow the regulations as prescribed by these relevant superior departments.
Article 4 The SJTU SI is implemented by the Graduate School, which shall be carried out within the same time frame for the anonymous review of the PhD dissertations prior to the final defense. Targeted sampling inspections may also be carried out by the Graduate School whenever necessary.
Article 5 The SJTU SI shall be carried out either by randomly sampling or trace sampling. Emphasis will be put on theses/dissertations by students with extended study duration, part-time students, students in the research group or academic discipline where there were theses/dissertations found to be problematic during the sampling inspection conducted by ADCSC or ADCSM of the previous year.
Article 6 The thesis/dissertation drawn for sampling inspection shall be reviewed anonymously. The review conclusion and comments provided by the anonymous reviewers would be one of the bases to determine whether the final defense could be organized. The sampled theses/dissertation would be the same version as the one uploaded into the Graduate Education Information Management System for anonymous review that has passed the plagiarism check and the evaluations by the supervisor and the School.
Article 7 Each sampled thesis/dissertation will be anonymously examined by three peer experts. In case two or more experts recommend that the thesis/dissertation is “unqualified”, it will be deemed as “problematic”. In case one of the experts recommend the thesis/dissertation as “unqualified”, two more peer experts will be invited for a second round of review. The thesis/dissertation will be deemed “problematic” if two or more experts among all the reviewers recommend it as “unqualified”.
Article 8 During the aforementioned second round of peer review, the application for thesis/dissertation defense shall be suspended. In case the thesis/dissertation is deemed as “problematic”, the application for thesis/dissertation defense will be denied. The thesis/dissertation must be revised according to the suggestions and/or comments from the reviewers and then submitted for anonymous review again.
Article 9 In case not all the sampling inspection results have not been returned over eight weeks (from the beginning of the sampling inspection, excluding summer and winter vocations as well as Chinese legal holidays), and there are no objections in the returned ones, the candidate can apply for thesis/dissertation defense upon the approval of the supervisor. If the defense is passed, he/she can also submit the degree application. In case the reviews returned after the defense suggested “unqualified” or other comments for revision, the candidate should revise and improve the thesis/dissertation accordingly. The revision should be evaluated by the supervisor.
Chapter Three: Management of Sampling Inspection Results
Article 10 The degree theses/dissertations which are deemed “problematic” by any authorities throughout the sampling inspection will be published within the whole University.
Article 11 In case a PhD dissertation is deemed “problematic” during SJTU SI:
(1) the qualification for the supervisor to admit new PhD students will be suspended for two years, and the School should question the supervisor on the quality of PhD training. And,
(2) the quota of the school for PhD admission of the coming year will be reduced by two per “problematic” dissertation.
Article 12 In case a degree thesis/dissertation is deemed “problematic” throughout the sampling inspection conducted by ADCSC and/or ADCSM,
(1) the qualification of the supervisor to admit new graduate student of the same type will be suspended for three years; and the School should question the supervisor on the quality of PhD training. And,
(2) the quota of the school to admit new graduates of the same type and level will be reduced by 6 per “problematic” thesis/dissertation, which will be implemented in the coming three years. And,
(3) the University will question the School/Department leaders on the quality of the graduate thesis/dissertation and the School/Department shall address the issues within a prescribed period.
(4) In case the number of “problematic” PhD dissertations for the same supervisor adds up to two and/or above, the qualification of the supervisor to admit PhD students will be deprived.
Article 13 In case a thesis/dissertation is suspected to have “academic misconduct” during the sampling inspection by ADCSC, or ADCSM, or by the University, the “SJTU Academic Conduct Code for Graduate Students” will be consulted for investigation and punishment.
Chapter Four: Supplementary Provisions
Article 14 The PhD dissertations which are drawn for sampling inspection will be reviewed in accordance with these regulations and will not participate in the usual anonymous review organized by the University. Those dissertations not drawn by the University will still follow the usual anonymous review process. The respective Schools and Departments shall formulate their own practical and effective mechanism and measures to guarantee the quality of the degree theses/dissertations and that of the conferment of academic degrees in line with the actual conditions.
Article 15 These regulations are supplementary to the “SJTU Regulations on Doctoral Degree Application”, “SJTU Regulations on (Academic) Master Degree Application”, “SJTU Regulations on Professional Master Degree Application”, etc.
Article 16 The sampling inspection of the PhD dissertations for School of Medicine should refer to these regulations.
Article 17 These regulations come into force since its publication and are subject to interpretation by the Graduate School.