Application requirements

What determines the date of a doctorate?

The relevant date is that of completing the final academic part of the doctoral process (e.g., defence of thesis, doctoral viva). This date will usually be included on your doctoral certificate alongside the date of issue. The key date for calculating the period following your doctorate is the date on which your application is received by the Humboldt Foundation. If you already held an academic position equivalent to or higher than an Associate Professor/ Senior Lecturer/ Reader before completing your PhD/C.Sc. the relevant date is the one on which you assumed this position.

Which date is valid if I have several doctorates?

In the case of multiple doctorates, the effective date is that of the first doctoral degree (Ph.D./C.Sc.).

I obtained my doctorate more than six years ago. Can I still apply?

We cannot consider your application if you obtained your doctorate more than six years ago. If you have narrowly missed the deadline, an exception may be made in well-founded cases (e.g. recognition of parental leave). Please send us your CV and a list of your publications before you apply so we can advise you (info@avh.de).

Do I need to know German in order to apply?

1. Natural scientists and engineers: good knowledge of German or English is sufficient (language certificate required). 2. Scholars in the humanities and social sciences: should have knowledge of German if it is necessary to carry out the project successfully. In this case, a German language certificate confirming proficiency must be submitted. Otherwise, a good knowledge of English is sufficient (language certificate required). 3. Physicians: If the research project involves work with patients, the candidate must have a good knowledge of German (language certificate required). Otherwise, a good knowledge of English is sufficient (language certificate required).

English or German is my native language. Do I have to submit a language certificate proving my proficiency?

No, a language certificate is not required.

To what extent will parental leave be taken into account?

If you have ever interrupted your academic career for child-rearing purposes, either partially or completely, please list all periods of leave on the application form. We will assess whether these periods can be taken into account in calculating your eligibility in relation to your career stage. The time limit set by the programme for the period after completing a doctorate may be extended by a maximum of two years per child if you did indeed interrupt your academic career for the periods stated and claim for these periods. If you have any further questions please contact info@avh.de.

I’m German. Can I apply if I’m working abroad?

If you’ve been working abroad in an academic capacity for at least five years, you are eligible to apply even if you are a German national. In an “academic capacity” includes academic training, for example, working on a doctorate. If you have a permanent residence permit in the country in which you are now based, it may even be possible to apply earlier. Please just send us a copy of your CV and publication list and we shall be able to advise you (info@avh.de).

or

If your principal place of residence and work has been abroad for more than ten years, you can apply even if you are a German national. If you have a permanent residence permit in your principle place of residence and work, an application might be possible even before ten years of residence. Please send us your CV and a list of your publications before you apply so we can advise you (info@avh.de).

Can I apply for a Sofja Kovalevskaja Award if I am already a Humboldt Fellow?

Yes, but only if you have not been staying in Germany for more than 24 months on the date of submitting the application.

It is either not customary or not possible to take a doctorate in my country of origin. Can I apply?

You can apply if you can prove that your academic performance is equivalent to a Ph.D., e.g. by academic publications in internationally reviewed journals and for publishing houses. In this case, you can apply up to 10 years after your first degree (B.A., M.A., etc.). Please send us your CV and a list of your publications before you apply so we can advise you (info@avh.de).

I have lived and worked in an English-speaking or German-speaking country for a long time. Do I have to submit a language certificate proving my proficiency?

No, a language certificate is not required.

I already am or recently have been in Germany. Are there any formal grounds militating against my application?

You can apply if In all other cases we regret that we cannot consider your application. For information about other funding opportunities please refer to the Internet Portal EURAXESS Germany, which is maintained by the Humboldt Foundation.

Academic host

How can I find an academic host?

You are free to choose your own academic host. The Humboldt Foundation does not provide any direct support in finding a host. You can, however, start your search for research institutions in Germany on the Internet Portal EURAXESS Germany which is maintained by the Humboldt Foundation.

Who is eligible to be my academic host?

Your host should be your immediate collaborative partner at the host research institution, e.g., the chair holder or head of department in whose team you would like to set up a working group.

Can I conduct my research project with two academic hosts?

No. In particular, it is not possible to carry out the project at two different research institutions. Nor are there any provisions for changing host institute during the sponsorship period.

Preparation/Planning

What is the final date for submitting my application?

Complete applications must reach the Humboldt Foundation by 15 October 2009 at the latest. This submission date is not an absolute deadline; however, in the event of a late or incomplete submission it may not be possible to process and assess the application in the time available.

Can I apply for parallel funding to another institution?

On principle it is possible to apply to another institution for funding at the same time. However, you must state this on the application form and inform us immediately about any parallel applications and decisions, even during the application procedure. Please indicate in the financial plan any third-party funding (e.g. German Research Foundation, European Union, industry) that has been granted for this project or for which you have applied.

Can I apply for a Sofja Kovalevskaja Award for more or less than the five-year period?

It is not possible to apply for a period in excess of five years. Applications for a significantly shorter period (less than about four and a half years) have no chance of success.

What is the earliest date on which sponsorship can begin?

The research stay in Germany commences in the calendar year in which the award is granted. The exact date should be agreed upon with the host prior to application.

What determines the award amount?

The financial plan you have submitted will be examined by independent specialist reviewers and the members of the selection committee to ascertain whether your itemisation is plausible and appropriate. Their assessment will determine the award amount.

Will there be any support for taking German language courses?

The Humboldt Foundation is firmly in favour of award winners and their partners learning German during their research stay so that they can take an active part in social and cultural life in Germany as well as conducting research. On application, the Alexander von Humboldt Foundation is therefore able to cover the costs of a German course.

Application documents

Where should I send my application?

Please send your application directly to the Selection Department of the Alexander von Humboldt Foundation, Jean-Paul-Str. 12, 53173 Bonn, Germany. If this is not possible, you may submit your application via the branch offices of the DAAD or the German Embassy or Consulate, which will then forward them to the Humboldt Foundation.

Can I submit my application via e-mail?

No. Please send your application by air mail or surface mail.

What happens if references are submitted before the complete application is received?

References that cannot be immediately matched to an application will be kept on file for up to six months.

Should I include manuscripts that I have already submitted or planned for publication on the list of publications?

You should only include manuscripts that have already been submitted for publication. Once your manuscript has been accepted, please send us a copy of the publisher´s letter of acceptance. We cannot include rejected manuscripts in our evaluation of your publication record.

What form should my application take?

Please do not use any application folders, clear plastic folders or loose-leaf binders to secure your documents but please submit the following:

1. a filing fastener with all documents (apart from expert reviews and publications)

2. another filing fastener with a copy of the application form and the publication list

3. four envelopes each containing a copy of all publications submitted, including dissertation (CD-ROM)

You can find more information on the form of the application in the Guidelines for completing the application.

Should my expert references be sent directly to the Humboldt Foundation or enclosed with the application?

Expert references should be sent directly by the reviewers to the Selection Department at the Humboldt Foundation. Please ask your reviewers to use the form for expert reviewers. References should not be more than six months old at the time of application.

Who is supposed to provide an expert review for my application and how many reviews are required?

Expert reviewers are expected to evaluate your academic career and potential as well as your academic performance to date. Therefore it is important that expert reviewers are well acquainted with your research work. Altogether, three expert reviews are required. Please note: The host’s statement does not count as an expert review! Additional information on the best way of selecting reviewers can be found in our Guidelines for completing the application.

Which publications should I enclose in my application?

You should submit copies of five publications of which at least one should have appeared in print in the last two years. Please choose the most important and topical publications containing as much of your own work as possible. Please also enclose your dissertation (preferably on CD-ROM). You can find more information on publications in the Guidelines for completing the application.

Selection procedure

Will you confirm receipt of my application, as well as other documents and references?

As soon as we receive your application, we will notify you (usually by e-mail). Due to the number of applications, we cannot confirm the receipt of further documents and references separately. If, however, important documents or information should be missing from your application, we will notify you.

How much time do I have to submit further documents or update my application?

You should submit a complete application. References should be sent either together with or as soon as possible after submitting the application in order to avoid unnecessary delays. If any of your manuscripts are accepted for publication while the application is being processed, you should immediately send us a copy of the publisher´s letter of acceptance. Addenda to the list of publications can be taken into consideration until the date of the Selection Committee Meeting. Please send us these additions by e-mail as a separate attachment to your list of publications.

Who will review my application?

Your application will be reviewed by independent peer reviewers.

Who will decide on my application?

The final decision on all applications is made by the Selection Committee. The Selection Committee consists of researchers of all disciplines who decide on all applications by majority vote. The Humboldt Foundation has no vote on the Selection Committee.

When will I know whether my application has been successful?

The selection committee which makes the final decision on Sofja Kovaleskaja award winners is scheduled to meet at the end of March 2010. You will be informed about the outcome of the meeting immediately afterwards.

Will my application documents be returned to me after selection has taken place?

No. Some of the documents you submit will be archived, some destroyed. Thus, please do not send originals, only copies. Any books you submit will be returned to you.

Selection

What is the success rate?

It will probably be possible to grant up to eight awards. In the last selection round the success rate was around 10% to 15%.

What are the most important selection criteria?

The applicant’s own academic qualifications are the most important facet of the assessment. Detailed information on the selection criteria can be found in the Programme Information.

In the context of my proposed research, working in a group is unusual or unnecessary. Can I still apply even if I work alone?

This is possible in certain cases provided that the circumstances are explained and documented. Usually, Sofja Kovalevskaja award winners are expected to set up and lead a working group.

How do I draw up a financial plan?

You can find information on drawing up a financial plan in the Guidelines for completing the application. Here you will also find a sample plan.

What happens to any equipment purchased?

Any equipment purchased in the course of your research project will become the property of the host institution when the project has come to an end.

Is it necessary to state the names of future staff?

No, it is not necessary to state their names on the application. Please ask your host about the titles usually associated with the positions in Germany. It is recommendable to discuss staffing matters with the administration at an early stage before making appointments.

Research plan

You can find information on drawing up a research plan in the Guidelines for completing the application.

Can I submit more than three expert reviews?

If you submit more than three expert reviews, the additional ones will not be taken into consideration.

Can my doctoral supervisor also be my host?

In your research plan you should elucidate the scientific reasons why it is necessary for you to return to or remain in the academic ambit of your doctoral supervisor. Usually, we strongly recommend changing your academic environment.

My partner would like to accompany me to Germany but s/he does not work in the same field. What opportunities are there?

The host institution is allowed to use a percentage of the administrative lump-sum to provide opportunities for partners in dual career relationships.

Appropriation, use and provision of funds

Can award funds be transferred from one budgetary year to the next?

Yes, within the sponsorship period of 5 years.

How precise should the details on the "fund request" form be?

As detailed as possible to help the Alexander von Humboldt Foundation's budgetary planning.

By when should the entire amount of award funds be spent?

By the end of the sponsorship period. Any remaining funds must be remitted to the Humboldt Foundation.

How should travel expenses be claimed?

According to the regulations governing the host institution (e.g. the respective state law on travel expenses).

Is it possible to use award funds to finance the costs of an official mobile phone?

An official mobile phone may be financed from award funds ("expendable items/miscellaneous").

Is it possible to take a lump-sum from the award funds to cover certain very small expenses (mobile phone, meals on journeys, public transport)?

It is possible on principle; it is not forbidden in the regulations. How this "ready cash" is actually dealt with is a matter for agreement with the administration of the host institution.

Does the Humboldt Foundation subsidise moving expenses or may award funds be used to finance domestic moving expenses?

The Humboldt Foundation does not pay subsidies towards moving expenses. If an employment contract has been concluded, the regulations governing travel expenses for public service at the place of employment obtain (including the payment of moving expenses).

Which sections of the host institution are entitled to the administrative flat-rate? Is it paid directly to the department in which the administrative costs are actually incurred or could the central administration/rectorate also make claims?

This question has to be clarified with the host institution. In the agreement between the award winner and the host institution, as well as in the Regulations on the Use of Funds, the host institution in general is cited as the recipient of this lump-sum.

Is the amount of the administrative flat-rate based on the original amount of award funds or may accrued interest also be taken into account in calculating the amount?

The basis for calculating the administrative flat-rate is the original amount of award funds (excluding interest accrued).

Is it possible to use award funds to finance invitations to national and foreign academics to hold guest lectures etc. at the award winner's host institution? (Travel expenses, accommodation, meals, remuneration)?

Yes, based on the regulations and cost unit rates pertaining at the host institution.

I would like to take my group on a cultural/scientific outing, e.g. to Hamburg. May I use award funds for the travel expenses?

Yes, award funds may be used to cover travel expenses as the outing arises from the employment situation which, apart from a salary, also includes other social contributions (which may embrace a group outing).

May expenses incurred in connection with interviewing applicants for potential membership of the working group be financed from the award funds?

To cover expenses incurred in connection with interviewing applicants the relevant regulations obtaining at the host institution should be the determining factor.

May award funds be used to finance the cost of German language courses attended by members of the working group?

If attending a language course is the precondition for working on the project successfully and providing it cannot be financed from other funding - yes.

May the costs of entertaining (academic) guests be taken from the administrative flat-rate?

The Humboldt Foundation has no objections to using award funds to cover the costs of entertaining invited guests. And it is possible to use the administrative flat-rate for this purpose. In chapter III of the Regulations on the Use of Funds general information can be found on the sort of expenses covered by the administrative flat-rate.

May research funding from other sources (e.g. third-party funding from the DFG, EU etc.) be applied for in addition to the award funds?

Yes. Please note that in this case you are obligated to inform the Humboldt Foundation of any additional funding received for the same research project. You are also obligated not to make use of any congruent sponsorship from funding deriving from German academic sponsorship. Your contacts will advise you. It is forbidden to duplicate financing for one and the same research project (double funding). If additional funds are granted for a subproject on a closely related topic (parallel sponsorship), careful attention should be paid to a strict division of budgets - especially when preparing the documentations on the use of funds. In the event of violations of these regulations the Humboldt Foundation retains the right to reclaim part or all of the award money.

Human and material resources

How may or should I employ my staff?

The employment of staff should be based on the relevant legal framework regulations governing the host institution. All designated forms are possible, including employment contracts on the basis of the TVöD-/TV-L-tariff and fee agreements. In addition to this, the Regulations on the Use of Funds draw specific attention to the fact that fellowships may be granted.

Are there rules/guidelines on advertising positions?

The advertisement should conform to the relevant legal framework conditions at the respective host institution. As with all public presentations, at a suitable point reference should be made to the sponsorship by the Humboldt Foundation and the Federal Ministry for Education and Research (BMBF) as donor.

In which geographical locations should positions be advertised? Only in Germany, or in Europe, or should they address academics all over the world?

Depending on needs and target group advertisements may be placed in publications disseminated world-wide.

Members of the working group not employed by the host institution do not have professional indemnity insurance. How can this problem be solved?

By taking out a professional indemnity insurance privately.

What are the regulations applying to the granting of fellowships to PhD students by comparison with postdocs?

The award-winner is entitled to earmark funds from the award money which the host institution may use to grant fellowships, particularly to scientists and scholars from abroad. The basis for determining the value of the fellowship should be the monthly instalments paid by the German Academic Exchange Service and the Alexander von Humboldt Foundation to graduate and post-doc fellows respectively (cf. Regulations on the Use of Funds, ch. IV, Personnel).

How flexible am I with regard to the amount granted for monthly fellowship payments and additional benefits? Can I deviate from the rates foreseen for Humboldt Fellows and DAAD Scholars?

Divergence is possible, should, however, be convincingly and soundly substantiated and should be noted in the files accompanying the documentation of payment.

Does the Humboldt Foundation provide forms for managing fellowships (e.g. sample grant letters, sample declarations of acceptance)?

Yes, they can be provided on request.

Are representatives of the host institution signatories to the procedures involved in granting fellowships?

Yes, inevitably, as in the interests of the award winner, it is only the host institution which is entitled to grant fellowships. Cf. Regulations on the Use of Funds, ch. IV, "The host institution acts as employer on the award winner's behalf. The award winner is entitled to earmark funds from the award money which the host institution may use to grant fellowships..."

Are there any special procedures required by the university in order to pay fellowships or can I simply choose those who should be sponsored by a fellowship?

The Humboldt Foundation recommends setting up an ad hoc committee for selecting fellows, e.g. comprising the award winner, the head of department, the academic host and the dean or vice-dean. It is not out of the question that the award winner should "have a free hand" in selecting fellows. The act of granting the fellowship can, however, only be carried out by the host institution. At the Humoldt Foundation the following procedure applies: selection of excellence, documented by academic qualification, on the basis of specialist reviews and discussion/decision in the selection committee.

Is a fellowship granted in the framework of the Sofja Kovalevskaja Award free of tax? A German tax office would like to be provided with proof and is also asking for the Humboldt Foundation's tax number.

The Humboldt Foundation's tax number is of no relevance to the tax office because the fellowship is not an Alexander von Humboldt Foundation fellowship but a fellowship in the framework of the Sofja Kovalevskaja Award. In the framework of the Sofja Kovalevskaja Programme, it is the host institution which has granted the fellowship (see “Regulations on the Use of Funds”, chapter IV “Human and material resources”). However, these fellowships should be granted according to the regulations governing the granting of Humboldt Fellowships. We are then pleased to confirm that Humboldt Research Fellowships are free of tax in Germany according to § 3 No. 44 of German Income Tax Law. We, therefore, assume, that fellowships in the framework of the Sofja Kovalevskaja Award are also free of tax in Germany providing the concrete case does indeed fulfil the definitive criteria for exemption from taxation. Any further information should be obtained from your host institution.

Are Kovalevskaja award winners themselves entitled to receive a fellowship from the award funds?

The Humboldt Foundation's regulations on the use of funds explicitly allow for part of the award money to be used for the award winner's subsistence. Whether the award winner chooses to be employed by the host institution (e.g. as a professor or member of staff) or whether he or she agrees to a different status at the host institution (e.g. self-employed guest academic) is a matter of individual preference. However, due to the implications for health insurance, social security and taxation, the Humboldt Foundation specifically disadvises award winners from drawing the part of the award money earmarked for subsistence in the form of a fellowship from the host institution or a third party.

I am a doctoral student in the working group and receive a fellowship from the Australian National University which will continue during the period of time I spend in Germany. As the cost of living...

...in Australia is lower than in Germany I have been told that my fellowship will be raised to the level of the German doctoral tariff TVöD EG 13/2 (BAT IIa/2). Is it possible to use award funds to pay partial fellowships?

The Alexander von Humboldt Foundation has no objections to the planned increase in the fellowship up to the level of remuneration received by German doctoral students (TVöD EG 13/2 / BAT IIa/2). Information on granting fellowships from the award funds can be found in ch. IV (Personnel) of the "Regulations on the Use of Funds". These details also apply to granting partial fellowships.

 

At my host institution procurement of scientific equipment takes up to six months due to the complicated call for tenders. This would delay the progress...

...of my research project. Is it, therefore, possible to procure equipment in a less "bureaucratic" fashion or would this kind of procedure conflict with the Regulations on the Use of Funds which state that the award funds must be used economically and prudently?

The reference to an economic use of funds has to be looked at from the point of view of the amount of time available for the project, too. Without the necessary equipment the research work cannot be carried out, the objective of the award - international top-flight research - cannot be achieved. The pressure of international competition in the respective research field should also be borne in mind and this might mean procuring equipment quickly. These basic conditions and the costs which might be incurred for a stand-by phase caused by delay should be one of the aspects taken into account when discussing the economic procurement of equipment. If allowance is made for the aforementioned aspects the institution entrusted with the administration of funds does not infringe conventional allocation regulations by purchasing without a call for tenders because procurement must take place at speed [§ 3 No. 4 lit f) VOL/A].

Scientific equipment

Can equipment / scientific supplies be purchased for the project abroad and then brought to Germany?

Yes, if this is necessary for the success of the research project.

Taxation

Are the award funds taxable?

Award winners are responsible for all matters pertaining to their taxation. The Humboldt Foundation assumes that the award will be classified as a grant towards a research project in Germany and, as such, be free of tax. Whether the proportion of the award funds earmarked for covering living expenses is taxable should be examined individually. In this case, any existing double taxation agreements may be relevant. The laws in the award winners’ own countries may include special regulations on taxing awards. If in doubt, the award winners should contact a tax advisor in their own country.
When conferring fellowships funded out of award funds, particular attention needs to be drawn to applicable special tax regulations (cf. FAQ 2. k).

Exploiting research results - publications, patents and licences

In the acknowledgements included in publications ensuing from projects sponsored by the Sofja Kovalevskaja Award the Humboldt Foundation and the BMBF are supposed to be mentioned explicitly. Are there any standard formulations?

In publications and all other (especially public) presentations, appropriate reference should be made to the sponsorship provided by the Alexander von Humboldt Foundation as well as to the donor, the Federal Ministry for Education and Research. There is no binding standard formulation.

If a patent is supposed to be registered in the framework of Sofja Kovalevskaja Award sponsorship should the Humboldt Foundation receive any kind of share in the patent?

No such provision for the Humboldt Foundation is foreseen in the Regulations on the Use of Funds. In accordance with the "Agreements between the award winner and the host institution" the provisions of the "German Employees Invention Act", (ArbNErfindungsG) apply. If a patent is registered, the Alexander von Humboldt Foundation should be informed. Cf. also "Regulations on the Use of Funds", ch. VII.

May award funds be used to cover any costs incurred in registering a patent?

Providing the registration of the patent is covered by ch. VII of the Regulations on the Use of Funds, costs incurred may be financed from award funds.