Research Concept Paper

What is a Research Concept Paper?

Concept Paper lays the foundation for the applied dissertation process, providing an introductory form of communication between
the doctoral student and the doctoral committee. Essentially, the Concept Paper acts as a proposal; it allows the doctoral student
the opportunity to define a research focus and obtain early feedback on the research idea. A well-planned Concept Paper will
capture the interest of the dissertation committee and establish a clear plan for the student’s dissertation.
When is the Research Concept Paper Written?
The Research Concept Paper is completed prior to the dissertation proposal and serves as a development tool and summary of
the planned dissertation. The Concept paper is a brief document. Depending upon the requirements of a specific academic
program, the Concept Paper may range from as few as 2-3 pages to as many as 10-20 pages. The essential point of the Concept
Paper is to explain the importance of a particular research project.
The Concept Paper initiates the dissertation phase of a doctoral degree which follows the completion of necessary coursework and
training, and represents a culmination of the student’s learning. The dissertation is a student’s final academic effort to synthesize
course material by applying their learning to a research project. The project is expected to add new information to the field of
study. The Concept Paper acts as a summary of this project.
The Concept Paper, although highly abridged, is comprised of many of the same items found in a dissertation. These specific
elements of the Concept Paper may vary depending upon the academic program and the chosen degree. Programs typically
provide a grading rubric that serves as an outline for the required components and student are encouraged to follow those rubrics
closely in developing their Concept Paper.

What are the Main Elements of a Research Concept Paper?

Title page — provides a tentative title for the dissertation. The title of the Concept Paper should be a stand-alone statement that
can fully describe the project by summarizing the main idea of the manuscript. The title should concisely identify the variables
being investigated and the relationship among those variables (American Psychological Association [APA], 2010). Words should
serve a useful purpose; avoid words that do not add substance or words that are misleading. The title of the Concept Paper may
become the title of the dissertation.
Statement of the Problem — provides the purpose for the research. This section of the Concept Paper introduces the problem
under investigation, addresses why the researcher wants to investigate this problem, and how the research findings may help.
Supporting documentation, including statistical data if available, should be used to emphasize the need for this research. This
section is one of the most important sections of the Concept Paper; its serves to gain the reader’s attention and support. You care
about the research, but the reader may need some convincing. The first few sentences of the Concept Paper should intrigue the
reader to spike his or her interest and encourage further reading.
As you begin to write the problem statement of your Concept Paper, consider your research. First consider why you feel the
problem is important. Consider how your study relates to previous work in the field, how you will link your hypotheses and
objectives to theory, and how the hypotheses relate to the research design. Finally, consider the theoretical and practical
implications involved in your research project (APA, 2010). A well-developed, concise, and clear problem statement will lay the
foundation for a strong Concept Paper and the dissertation that follows.
Preliminary Literature Review — provides identification of major literature that supports and validates the topic; focuses on areas
that offer support for new research, and offers the student an opportunity to analyze and synthesize past research in the context of
their present problem. For the Concept Paper, the student should connect their research project to a theoretical model reported in
the literature. The most successful research projects have been based on the research of predecessors, and this section of the
Concept Paper provides enough of a description of previous research to plant seeds in the mind of the reader suggesting more
information is needed. A strong Concept Paper is based on a wide-range literature review that is condensed into a summary of
key points.
Goal Statement — provides a broad or abstract intention, including the research goals and objectives. This part of the Concept
Paper tells the reader “who, what and when” regarding the research goal.
Research Questions — provides a preliminary view of the questions the student will investigate. Questions are based on theory,
past research, experience, and need. These questions will direct the research methodology; their inclusion in the Concept Paper
links the research problem with the methodology. For some, composing the research questions may be the most difficult part of
the research project, or possibly the most difficult aspect of writing the Concept Paper. The questions will direct everything that will
be done; therefore, it is important that they are accurate and focused to the main research problem. These research questions will
specifically direct the research and the type of analyses conducted, as such their compatibility is essential.
An Abridged Methodology — provides the student’s best idea on how to conduct the research and analyze the data. The goals
and objects identified in previous sections of the Concept Paper should relate to the research methods described in this section.
For the Concept Paper, the methodology is simplified or summarized, serving as a general outline of the methods that will be
employed.
Timeline — provides a range of time for completion of the project, highlighting key elements for each stage of the project. This
element is unique to the Concept Paper and provides the student structure for managing sections of the project within a realistic
time frame.
References — provides references to the material cited in the literature review and elsewhere in the Concept Paper.
 Writing a Concept Paper
Many private foundations have always required a concept paper be submitted for review prior to the
submission of a full proposal. In recent years federal and state agencies have begun to encourage the use
of concept papers as a way for applicants to obtain informal feedback on their ideas and projects prior to
preparing a proposal. Some of these agencies now require a concept paper be submitted as part of the
formal submission process.

The purpose of a concept paper, from the funding agency’s point of view, is to help applicants
develop more competitive proposals and to save time by eliminating proposals that are not likely to be
funded. The applicant’s purpose in developing a concept paper is to capture the interest of the funding
agency and demonstrate that the idea they are proposing is worthy of further consideration. Therefore, the
first sentences of a concept paper are very important. You want the funding agency representatives or
board members to continue reading!

The first section (Introduction) should include some information about the funding agency. You
need to demonstrate that you have done your homework and understand the mission of the funding agency
and the types of projects that they support. Then you need to identify the agency you represent and how
the missions of your agency and the funding agency mesh. Describe any partner agencies that will be
involved and their interest in the project.

Next describe the question, problem or need that needs to be addressed (Purpose). Briefly provide
supporting documentation for the importance of addressing this question, problem or need. If you have
statistical data, use it; numbers are always convincing. In short, indicate why anyone should care! This
may sound harsh, but when you are close to a particular issue, it is easy to forget that everyone does not
understand the situation as well as you.

Make sure that you cite or refer to what others have accomplished relative to your project or
research so that you convince the funding agency that you are an expert on this particular issue and more
needs to be done. Beware of stating that you are the only person who has ever proposed such a project.
Even the most brilliant and innovative concepts are based on the work of others from related fields.

Next describe your project: what your agency plans to do, why this is a unique approach, and who
will benefit (Project Description). Briefly describe your basic goal/s and objectives or state your research
questions. (A goal is statement describing a broad or abstract intent, state or condition. An objective is a
statement of measurable outcomes that relate to the goal. An objective includes “who, what, and when”
information. It is not a statement about “how.”)

Give an overview of your methodology--how the project will be carried out--and any innovative
approaches, techniques, or processes that will be used. Make sure that the goals, objectives, and methods
relate to each other. Include general timelines for what you hope to accomplish. Describe the anticipated
benefits and who will benefit. (If your project is basic research, the impact of the research may not be as
easy to describe, however you should be able to describe how your research will add to the body of
knowledge of a particular scientific discipline and the numbers of students who will gain scientific
knowledge from working on your project or in your lab.)

Try to be brief, concise, and clear. Concept papers should not be longer than five pages. Don’t
overwhelm the reader with detail, but avoid sounding vague or unsure about what you want to accomplish.
Be positive and definite. Instead of saying an objective “may be accomplished,” indicate that the objective
“will be accomplished” by a certain time. Avoid requesting money for “planning” unless that is the purpose
of the funding program. Most funding agencies want to fund a project that is beyond the planning stage.
Consider your audience. If your concept paper is going to be reviewed by scientists in your field, scientific
terms and technical jargon may be acceptable. However, if your proposal is being reviewed by generalists
or lay persons, this type of language will not communicate your ideas effectively.

Only include budgetary information if it is specifically requested (Support). If you are asked to
provide specific dollar amounts, make sure that you work with the Office of Sponsored Projects in LM 132
x-5203 to develop your budget. Otherwise, generally describe the types of support you need, e.g,
personnel, travel, equipment, etc.
 Finally, appearance is important. This concept paper represents you! The type size should be large
enough to read easily, and margins should be standard size. Check for spelling errors before submission.
Attention to detail is important. Number all pages. Place your name and date in the header. Include your
contact information with the concept paper (Contact).

The following is a suggested outline for your concept paper. If the agency provides a different
format—use it! “He that has the gold makes the rules!”

Suggested Format for a Concept Paper

I. Introduction

II. Purpose

A. Project Description
B. Goals and Objectives/Research Questions
C. Methodology and Timelines

III. Benefits/Anticipated Outcomes

IV. Support Needed & Costs (if requested)

V. Contact Information
Parts of the Project Proposal
A. Project Profile

 Title of the Project – specific name of the proposed project

 Proponents – the persons or researchers who plan to conduct the project
 Implementing College/Unit – specific unit or department who manage the
project
 Project Site – location of the project
 Project Duration – span of time allotted for the compilation of the project
 Total Project Cost – total amount needed to complete the project
 Brief Executive Summary of the Project – general picture of the project
proposal which consists 3 to 5 sentences.

B. Project Proposal Proper

 Introduction – benefits derived from the project

 Rationale – short background of the project
 Project Description – discusses the vital information about the project such
as nature, project site and beneficiaries
 Objectives – long and short term goals of the project
 Significance – importance of the project
 Project Components / Strategies of Implementation – major activities of the
project such as the methodology of implementation
 Implementing schedule – list of activities that will be undertaken in
chronological order with the corresponding time frame
 Estimated budget – detailed breakdown of the budget for the project with
the financial work plan