Management Guidelines

State Key Laboratory of Ultra-precision Machining Technology (SKL-UPMT)

Management Guidelines for Open Research Project

A. General Provisions

1. To promote research and academic exchange in ultra-precision machining technology and to carry out cutting-edge studies or address major technical challenges, an Open Research Project (hereinafter referred to as “the Program”) is established to encourage researchers in this field to conduct scientific research.
2. The Program is open to universities, research institutes, industrial sectors, and other relevant organizations both domestically and internationally. Eligible researchers may submit applications.
3. In accordance with the principles of “fair competition and merit-based support,” funded projects will be determined through a rigorous review process.

B. Funding Targets

1. Scope of Research Supported

   The Laboratory focuses on national strategic needs and is committed to fundamental research and applied development in ultra-precision micro/nano machining technology. Key areas include the study of ultra-precision machining mechanisms, advanced processing techniques, precision metrology technologies, and related equipment development. The Laboratory also actively promotes interdisciplinary application and technology transfer, cultivates high-level innovative talent, and drives industrial upgrading.

   The specific scope of research supported is clearly defined in the Application Guidelines for the Open Research Project of the State Key Laboratory of Ultra-precision Machining Technology (hereinafter referred to as “the Guidelines”).

2. Eligible Applicants

Researchers who hold a doctoral degree or currently serve in a position of Assistant Professor or above, are eligible to apply for this Program.

C. Application for the Program

The Laboratory accepts applications for research projects that meet the following conditions:

1. The proposed research must focus within the scope defined in the Guidelines.
2. The project should demonstrate originality and innovation, with well-founded arguments, clear research objectives, specific content, and feasible methodologies and technical approaches. The research is expected to achieve significant progress in the near term.
3. The Applicant and project team members must possess the capability to carry out the research, ensure reliable time commitment, and have access to basic research facilities.
4. The Applicant must be the actual Principal Investigator. In general, applicants should be currently serving in a position of Assistant Professor or above. If not, applicants must hold a doctoral degree and working as a postdoctoral fellow, and provide recommendations from two referees who are Assistant Professors or above.
5. The project period is typically 12–21 months.
6. The funding amount generally ranges from HKD 60,000 to HKD 80,000.
7. Please refer to the Application Guidelines for submission deadlines. Applicants must complete the Open Research Project Application Form and provide all required attachments.
8. Each Applicant may submit only one application per year. The total number of applications and ongoing projects for the applicant and key team members must not exceed one. Applicants who have previously received funding must include a progress report, final report, and major research outcomes of the funded project when reapplying.
9. The Laboratory’s Open Research Project follows a collaborative model. Each project application must include at least one SKL-UPMT member as a collaborator whose research direction is closely related to the proposed topic.

D. Application Evaluation and Project Approval

The Laboratory is responsible for the preliminary review of applications. Funding may be declined under any of the following circumstances:

1. Incomplete application procedures or application forms that do not meet the required specifications;
2. The proposed research does not align with the scope of the Program;
3. The applicant or key project team members have more than one applications or ongoing funded projects;
4. The proposed research is a low-level duplication of existing studies;
5. The proposal lacks a clear rationale, or the research methods and technical approach are unclear, making evaluation impossible;
6. The applicant lacks the capability to implement the project or does not have the necessary basic research conditions.

After the preliminary review, the Director of Laboratory will organize relevant experts to conduct an evaluation. Based on the principle of merit-based funding, the approved projects and funding amounts will be determined and applicants will be notified in writing.

Upon receiving the approval notice, the project leader must complete and submit the Letter of Commitment to the SKL-UPMT as the basis for funding and subsequent inspections. Projects that fail to submit the commitment letter within the specified timeframe, without providing a valid reason, will be considered as voluntarily withdrawn.

E. Implementation and Monitoring of Funded Projects

1. During project implementation, research teams are encouraged to pursue innovation. If there are changes such as lowering the original objectives, reducing research content, suspending the project, early completion, or extending the timeline, the Principal Investigator must submit a report. The report should be reviewed and endorsed by the affiliated institution before being submitted to the Laboratory for approval.
2. Under normal circumstances, the Principal Investigator shall not be replaced or represented by another person. In exceptional cases, the affiliated institution should appoint a suitable substitute and report to the Laboratory for record. If the Principal Investigator is transferred to another institution, the project may be completed at either the original or new institution, provided that both institutions endorse the arrangement and submit it to the Laboratory for approval and record.
3. The Laboratory will conduct annual inspections of funded projects. At the end of the first year, the Principal Investigator shall submit an Annual Progress Report to determine whether funding will continue. Projects that fail to submit the report or show no progress will have subsequent funding withheld. If corrections and reports are submitted as required, funding will resume in the second half of the year; failure to comply will result in termination of funding.
4. Within three months of project completion, the Principal Investigator shall submit a Final Report to the Laboratory, along with copies or electronic versions of all experimental data, academic papers, publications, patents, and awards.
5. The Annual Progress Report, Final Report, and research outcomes will be periodically presented to the Academic Committee of the Laboratory for review and included in the annual report of the Laboratory.
6. At project completion, the Principal Investigator is required to present a summary report at the Laboratory.

F. Use and Management of Funding

1. In accordance with the regulations of the Innovation and Technology Commission of the Hong Kong SAR Government and The Hong Kong Polytechnic University, all project funds will be centrally managed by the Laboratory and will not be disbursed externally. The use and reimbursement of funds must strictly comply with the research funding management policies of the University.
2. Funding disbursement: 50% of the approved amount will be allocated upon project approval, and the remaining 50% will be allocated in the second year based on the mid-term progress report.
3. The use of funds is limited to expenses directly related to the research project, including material expenses, testing and processing fees, travelling expenses (restricted to academic visit to the SKL-UPMT only), and publication/ intellectual property fees. The SKL-UPMT and The Hong Kong Polytechnic University reserve the right of final interpretation and decision.
4. Funds must be used exclusively for the approved project and may not be diverted for other purposes. Any remaining funds after project completion will be managed by the Laboratory and, in principle, will not be used for subsequent expenses of the completed project. For projects terminated during implementation, the Laboratory reserves the right to discontinue funding.

F. Management and Evaluation of Research Outcomes

1. All papers and other research outputs under projects funded by the Program shall be jointly owned by the affiliated institution and the Laboratory. The first author or corresponding author must list the Laboratory as the primary affiliation.
2. For papers published under funded projects, the author’s affiliation must include both the current institution of Principal Investigator and the Laboratory, with “超精密加工技術全國重點實驗室”(for Chinese) or “State Key Laboratory of Ultra-precision Machining Technology” (for English).
3. Each funded project is required to publish at least two SCI indexed journal papers, with the Laboratory listed as the primary affiliation for the first author or corresponding author.