Writing a Research Proposal

Haas Scholars Program Guidelines

Using these guidelines effectively
These guidelines are intended to help you create an initial draft of your
proposal. We encourage you write a draft as early as possible, and show it to as
many people as possible to get feedback and revise accordingly.
Sections A-D of your Haas Scholars proposal should be no more than five
pages long, double spaced, using 12-point font and normal margins.

A. Statement of Purpose
In no more than a paragraph (i.e. 150-175 words), this section asks you to
capture the big picture of your project in as small a space as possible,
answering the following questions:
Purpose/product: What will the final product of your research be? A senior
thesis? An art project? New software? A public service project? Specify.

Question
I want to find out (what?) Remember your question should really be something
you dont know yet not a foredrawn conclusion that you want to prove; it
should be a how or why question not just what happened, but what
caused it to happen or what is the effect? Art projects: what issues will
you be exploring? Engineers/public service: what improvements will you
make over the current solutions?
Justification
Its an important question because ...
Why have you chosen this particular case to examine? Is it an anomaly?
Typical of a trend? Chosen b/c lots of previous research on it? Influential?
Other reason?
What gap in the literature are you filling? Building on/departing from what
other efforts?

Method
How will you narrow your topic down into a manageable case studyor
sample to focus on? Procedure/type of method used for gathering data and
analyzing it (see "Summary of Social Science Methods")? Sequence of phases?
Rationale
What will be some of the larger implications of your findings?

B. Background and Justification (1 1/2-2 pages)

This section answers the why question. Why is your proposed project needed?
Justify your choice of case
Is it typical of a trend? An anomaly that violates expectations or dominant
theories/trends? A good choice for some other reason/s? This part should be
relatively brief.
Literature Review
Show that you are familiar with the relevant literature that addresses your
question, then clearly situate your own voice in relationship to these other
efforts, in order to show how you are contributing to your field(s) of
specialization. What has been done already that you are you building or
drawing on, i.e., from whom are you drawing your hypotheses or
hunches? How are you building on it and/or departing from it? What hasnt
been done yet, and how does your project fill this gap?
Hints on not feeling overwhelmed as you face writing this part:
Start by surveying books and periodicals literature by subject and title, and
searching for a list of relevant titles.
Then, approach your mentor and other faculty members with similar
specializations so they can help prioritize your list and find the most essential
readings on the topic. You can also use resources such asGoogle Scholar to see
how many times particular books and articles have been cited.
Students in laboratory settings are advised to read grant proposals and
publications which have come out of the lab, to see which literature is cited
there.

Also be on the lookout for review articles, with titles like "Recent Research On
(Your Topic)". These summarize recent writings in the field and put them in
"clumps", i.e., show the relevant trends and debates within the field. They are
usually found in specialized journals, e.g., if you're planning to do a high
school classroom ethnography on teacher/student race dynamics, you might
look for a title like "Journal of Research on Secondary Education".
Once you have a few recent, relevant readings in hand, trace the bibliographies:
any works cited by all of the articles you've found, probably you should
read. Also, you may want to look up these authors in the library but also on the
web. Often, professors' web sites list their most recent publications.
More hints
Justification sections often use one of these different rhetorical strategies to
explain how you came to your question and to your hypotheses or approach (or
hunches about what you will find, in the case of humanities people):
1) Adding a piece to the collective puzzle: We know A, B, and C about this
phenomenon, but we dont yet know D. This implies a sense of consensus and
collective purpose in the field rather than a raging debate. This model is the
probably most common in the sciences/engineering.
2) Debate and adjudication: Some people think A is the cause of this
phenomenon; others think B is. I want to find out whos right. This is more
common in social science, esp. quantitative social science.
3) Synthesis: Im borrowing this from theory A, this other thing from theory B,
and this other thing from theory C to create a new approach. Probably more
common in social science and humanities.
4) Extending a theory/approach to a new case: This approach works
wonderfully to explain this kind of cases can it explain this other kind of
cases, and if so, how will it need to be altered?
5) Improving upon an existing model: There is an existing technology that is
useful in these ways. However, it has this drawback. With this alteration, which
has worked in these other cases, we might be able to improve upon it. (This
model is quite common in engineering, and also works for public service
proposals if you substitute the phrase "social intervention" for technology.)

Sequence
A format often used for this section is to describe first the authors whose work
is farthest from your own (but still relevant); then those closer to yours, then
those closest to yours but still not quite right; then your own
hypotheses/approach and how you derived it. Science proposals often move
from the macro to the micro and at the same time from the oldest findings to
the latest ones.
For each approach named, say what you use from it, then why it still isnt quite
right.

C. Project Plan (Aim for about 1 1/2-2 pages)

This section answers the how question. How you will go about answering the
central question and accomplishing the goals described in your statement of
purpose? Although your plan is provisional and will inevitably be revised in
the course of your research or creative efforts, you should have a welldeveloped PLAN with as many specifics as possible.
Tips:
Pretend that you will not be able to carry out the research directly, and that the
only instructions you will ever be able to give the person who will carry it out
is this document. Your description needs to be clear and specific enough for
this other person to figure out what you wanted done and why.
For research projects, give a detailed description and justification of the
methodology you will use to A) collect, B) analyze and C) interpret
data. Describe it chronologically, step by step, with a timeline (for Haas
Scholar applicants, from March of the application year to May of the following
year) and justify your choices. See attached supplement for social science
proposals. For creative projects, give a thorough narrative description of
activities to be undertaken, again, making clear the sequence and timeline for
tasks.
Make sure the data you collect will really answer the question youve
identified. The different pieces of your proposal need to match.
Also bear in mind that most research projects are, at least implicitly,
comparative. It can be helpful to make this comparison explicit.

For projects involving human subjects, you will want to discuss your
responsibilities to them to avoid causing them any harm; you will also want to
discuss your plan and timeline for writing and submitting the protocol to
Committee for the Protection of Human Subjects, and getting it approved.
See "Overview of Human Subjects Review Process" for hints.

Hints on Narrowing Your Topic into Something Manageable

Tactic 1: the most interesting "slice"
Textual/literary analysis, philosophy, etc: Focus on a specific text or texts,
usually by one or two authors, e.g. sexuality in Virgina Woolfs To the
Lighthouse and Orlando. These are often the most influential texts within a
genre, or the clearest examples of a certain phenomenon.
Comparative/Historical questions: You can narrow your topic by chronology,
geography, and/or sub-theme, for example, Chinas economic relations with
the US could become Shanghais Export-oriented Toymaking Industry in the
1990s: a case study in explosive growth and lack of regulation. You may also
want to zero in on just one "causal arrow" (e.g. the effect of US removal of
tariffs on the Chinese toy industry boom) within a longer chain of
antecedents of the main phenomenon and implications.
Tactic 2: the slice that's most agreeable to your support network
science/engineering/psychology: Youll need to consult closely with people
in your lab to find a small project, that fits within the labs overall agenda and
can be assigned to you. The smaller, the better! Someone in the lab (usually a
grad student or post-doc) will need to be assigned to be your main
supervisor. Make sure you'll have some "authorship". Write a proposal for
independent funding using "I", not "we".
Tactic 3: the slice with the most available data
History, archeology: You may want to find out first what archives and
archeological sites exist that are related to your general question. From there,
you can work backwards to figure out what questions can be answered with this
information.
Ethnographic questions, e.g. What is the meaning of body piercing in US teens
currently? Choose a particular community that exemplifies the phenomenon

you want to study, and doing participant observation or ethnographic

research. Access is crucial; think about where you have access already. Then
imagine what questions could be answered by observing this community.

D. Qualifications (Aim for about 1/2 page)

This sections answers the who question. Your task in this section is to tell the
committee relevant information about why you are qualified to undertake the
project described above. You should include
A) information about any relevant academic qualifications or awards, including
relevant substantive, methods, and theory courses as well as previous related
research undertaken.
B) describe other skills youve mastered that youll need to undertake the
research, e.g. specialized techniques, language skills, interviewing experience.
C) extracurricular activities or life experiences that indicate your special
qualifications/knowledge/interest in your proposed area of research
D) your access to or familiarity with the people, tools and/or institutions
necessary to successfully complete your proposed project. (Attach letters of
support if possible).
E) Your access to guidance: discuss your relationship with your mentor in this
section, as well as your contacts with other faculty members or
academic/professional advisors, post-docs, etc. who are willing to offer you
guidance or assistance. If possible, attach letters expressing willingness to
help you (letters can also say youre great, but the key is that youll get
guidance if you need it).

E. Budget (please use this format and these headings)

Travel*
includes transportation, meals, lodging, conference fees, tuition at other
institutions, and any other expenses directly associated with travel to another

location to perform research.

Equipment
includes non-expendable equipment such as computer hardware, cameras,
audio or video equipment, and any other equipment that will have a life after
the end of the project period.
Supplies
includes books, subscriptions, computer software, film/photographic supplies,
audio and video tapes, office supplies, expendable laboratory supplies,
copying/printing, postage and any other expendable supplies whose primary
use will occur during the project period.
Professional Services/Payments to Research Subjects
includes payments to individuals such as translators, research subjects,
interviewees, processing labs that youll send specimens to, or any other
person/entity who receives payment in return for specified services. In some
cases, meals or other gifts may be acceptable as payment to interviewees.
Other Expenses
includes only those expenses that do not fall into the above categories. These
might include: equipment rental, internet access fees, phone calls and phone
cards, professional association dues/membership, conference registration,
library cards, entry fees to museums, performances, etc., and vaccinations.
Create your budget using the following headings and format. Each of your
expenses should be placed in one of these categories (do not use
miscellaneous as a category). Amounts listed for the different items should
include tax.
Sample Budget
(The real thing would be more specific about dates and brands, etc.)
Budget category

Description and itemization

Item total

RT SFO-Dublin

$800

Ground trans. in Dublin, July

$100

Travel

$
Equipment
Tape recorder

$50

External hard drive

$150

$
Supplies
10 books @ about $20 each

$200

Toner 2 cartridges @ $35 each

$70

3 reams of paper for drafts @ $10 each

$30

$
Services
Payment to 20 subjects @ $20 each

$400

$
Other
Internet access while in Dublin, 30 hours @
$1/hour

$30

TOTAL

Maximum amount that can be requested for the Haas Scholars Program:
$5,000.00

General Tips
Aim for a budget that is realistic but not extravagant, luxurious, or wasteful.
The general cultural expectation for students is a somewhat ascetic existence,
i.e., making do with less. Especially equipment expenditures should be
carefully justified. Money not spent by you is money that can fund future
scholars.

Use real numbers, for example go to a web site to specify the exact tape
recorder you plan to buy and its exact price, rather than just posting a ballpark
figure. That shows youve done some research.
Haas Scholars Budget Policies
Timeline
Unless you have received an explicit exemption to this policy from the Haas
Scholars Program Coordinator, all of your expenditures must take place
between June 1 of the year you are selected and the last day of finals in the
following spring semester, i.e., almost a year later. Do not include expenditures
for the spring when you are applying on your budget. Once you have been
selected and confirmed as a Haas Scholar, you may ask permission to make
some expenditures before June 1, especially airfare for summer travel.
Travel
The university has special regulations governing allowable travel expenditures,
as follows
Meal ceiling per day: $46.00 (receipt for any meal over $20). Note that this is a
"worst case scenario", e.g. a conference at an expensive hotel in Europe where
there is no possibility of walking to a cheaper restaurant. Normally, we will
expect scholars to be more thrifty than this.
Private car mileage reimbursement: $ 0.51/mile for February 2012 proposals, as
per university policy. However, private car reimbursement is permissible only
if this is the cheapest transportation option.
Tolls, taxi, parking: actual cost (within reason)
Car rental: generally, public transportation will be cheaper and we much prefer
you go this route. If you ask for car rental, please justify why the additional
cost is justified in your case. Include the entire actual cost including rental, gas
and insurance required by law. Students without credit cards or younger than
24 will have difficulty renting cars.
Conference limit: The Haas Scholars Program will pay full expenses for you to
travel to one conference; if you wish to attend a second conference, we will pay
for registration fee/membership only. The applicant may propose to attend a
conference as late as June of the year of graduation, but not beyond.

Hotel reimbursement maximum is $100/day. If the hotel room costs more than
that, plan to have a roommate (or two), or stay at a cheaper (non-conference)
hotel. This is what grad students and even faculty do.
Note that while food and lodging in a place other than Berkeley can be
considered a research expense, we expect you to cover food and lodging in
Berkeley out of your summer living stipend. If you will travel for an extended
period of time, we encourage you to sublet your apartment to save money.
It's OK to include the cost of a visa in your project expenses, but not the cost of
renewing or getting a passport, which is considered a personal expense.
Equipment
Haas Scholars Budget policies for equipment:
Laptops: $2,000 limit, including all tax, peripherals, and pre-installed software;
expense beyond this should be justified
Normally, if scholars will be going into the field and will need a computer
there, purchase of a laptop is viewed as acceptable. Laptops are not normally
approved for laboratory projects without special justification. If students want a
more expensive computer, they can take the money out of their summer
stipend.
All other equipment not discussed specifically in the rest of this section:
generally also a $2,000 limit. It is recommended that you discuss these large
budget items with the program coordinator before turning in the application.
Expensive equipment should always be justified in the budget narrative and
must be central to your project.
Printers: $175 limit (or justify any higher amount)
Camera: $200 limit (unless it is a photography project or there is some other
reason why a higher quality camera is essential to the project)
-The visual component must be central to the project
-Justification for a digital camera is required
-Justification is needed for any camera over $200
Transcribing machines: $300 limit

Tape recorders: $150 (or justify any higher amount by reference to special
needs)
Voice recognition software: Justifiable only for transcribing the scholars voice,
not interviewees (software must be trained to each voice.)
Occasionally the need arises for a Haas Scholar to buy equipment which will
stay in the lab after s/he graduates. In this case, the maximum that the scholar
may contribute toward the purchase of such equipment is $1,500.
Services
The Haas Scholars Program does not usually allow payment to for others to
transcribe your interviews, except under exceptional circumstances. Payments
to subjects are permissible, within reason: usually $10-20/interview is the
acceptable range.
Charges to publish in an Open Access Journal: the scholar may propose to pay
proportionately to his/her extent of authorship, e.g. if the scholar will be one of
four authors, s/he may contribute 25% of the fee to publish the article.
Child care: up to 20% of a scholar's research budget can be devoted to covering
child care costs.
Supplies
Books: $200 maximum to purchase books. If your book budget needs go
beyond this, you should plan to request that the library purchase them, or get
the books by inter-library loan. Maximum expenditure of $45/book. If a book
costs more, you should justify why the book is especially expensive, and also
why the book is central to your project.
Normally there will be a maximum of $150 on non-book supplies (binding your
thesis, photocopies, toner, etc.)

F. Budget Narrative (optional)

This optional section provides an opportunity to justify any expenses that are
not clearly accounted for elsewhere in the application narrative or which are not
in accordance with usual Haas Scholars practice, or where you may feel the
review committee will need supplemental information to determine the validity
of particular expense items.

G. Selected Bibliography
This optional section provides an opportunity to demonstrate your familiarity
with the literature in your field(s). You may list books, articles and other
resources that you have read or consulted in the course of preparing your
project proposal. Works should be listed alphabetically by author, using the
accepted manual of style in your discipline/s. Think of this appendix as a
supplement to the background and justification section of the application.
Select the most important, recognized, widely cited, and/or relevant works to
the project you are undertaking. In general, your bibliography, if you decide to
include one, should list no more than ten works.

H. Letters of Recommendation and Support

Letters of recommendation and support are crucial in establishing the
credibility of both you and your project. As part of your application, you must
include a letter of recommendation from your faculty mentor--the individual
who will be sponsoring your research project. You can also request additional
letters of recommendation from faculty members or other relevant individuals
who are familiar with your work.
These letters may be submitted directly to the Haas Scholars Program by the
recommenders or can be delivered by the applicant if they are in sealed
envelopes signed across the flap.
If your project involves the cooperation or involvement of outside individuals
or institutions, it can also be useful to include letters of support from them as an
appendix to your proposal. Such letters can help to establish your credibility as
well as to convince the review committee of the feasibility of the project you
are proposing.
For more on this, see frequently asked questions about letters of
recommendation and letters of support." For the appropriate etiquette for asking
for either kind of letter (such etiquette can maximize your chance of getting a
strong letter), see "How to ask a professor for a recommendation".
Questions to Ask Yourself

Who is in a position to evaluate my abilities and qualifications to undertake the

proposed project? Ask them for letters of recommendation.
Who is in a position to evaluate the feasibility and value of the proposed
project? Ask them for letters and for feedback on the proposal.
Whose cooperation do I need in order to execute the proposed project
successfully? Ask them for letters of support.
What could go wrong? What are the risks involved in my plan? Have I
acknowledged potential problem areas and considered alternative solutions?
How will I troubleshoot or problem-solve around potential pitfalls? What will
you ask readers (providers of feedback) about your proposal? What are you
unsure about?
Have I talked to other people in my field (including but not limited to my
faculty mentor) to determine the soundness, uniqueness and originality of my
plan?

I. Creative Sample (for applicants proposing creative

projects, e.g. filmmaking, photography, art practice,
etc.)
The point of this creative sample is to show the committee that you are capable
of a high quality finished product in the artistic discipline of your proposed
project. Therefore, you want the creative sample to be as close as possible to
what you are attempting to do in the proposal.
Also bear in mind that the selection committee will be evaluating a big stack of
applications. Keep your sample brief; an excerpt of a
chapter/film/choreographic piece or poetry may be ideal. Possibly you can add
an explanatory paragraph contextualizing the excerpt. It is recommended that
you consult with the program coordinator about your choice of creative
sample.

A Final Piece of Advice ...

A good proposal usually requires multiple rounds of revision and plenty of

feedback from people who are experienced carrying out your type of research
and others knowledgeable about writing proposals. So as soon as possible,
type up what youve done today yes, even if its very rough and start
showing it to potential mentors and other people who can offer
guidance. Remember every great proposal began as a very rough draft!

Written by Cynthia Schrager, Ph.D; and subsequently revised extensively by

Leah Carroll.
Rev. 01/12