A concept paper — also called a concept note — is one of the first documents most PhD programmes ask for. You’ll typically write one during the application process, and often again early in the programme, before you’re cleared to start your full thesis proposal.
At 2,000–2,500 words, a concept paper is a short, tightly argued preview of your research: what you want to study, why it matters, and how you’d go about it. It has to be brief and convincing enough for a department to decide you’re worth admitting or advancing.
This guide walks through why programmes require one, exactly what to put in each section, and how it fits into the bigger picture of your PhD journey — with a free fill-in-the-blank template at the end so you’re not starting from a blank page.
Why Do PhD Programmes Require A Concept Paper?
Before you get to the formatting, it helps to understand what this document is actually doing for the admissions or supervisory committee. A concept paper serves four purposes:
- It shows your research interests. The department gets a clear read on what you actually want to study.
- It tests fit. Your interests need to align with the expertise of the department’s faculty — the concept paper is how they check that.
- It sets up supervision. Once fit is established, the department can assign the right mentor and support for your studies.
- It saves everyone time. Because the concept paper is reviewed and approved before the full proposal, you avoid sinking months into a topic that was never going to be approved.
Where the Concept Paper Fits in the PhD Process
The concept paper is step one. Once it’s accepted, you move on to writing — and later defending — the full thesis proposal, and only then begin the dissertation itself. Think of it as the gate you pass through before the real proposal work begins.
Concept Paper Format: The 9 Sections You Need
The exact format varies by university, so always check your department’s specific guidelines first. That said, most concept papers follow the same core structure:
1. Title of Proposed Study
Your title should name the variables of your study and, where relevant, the relationship between them. Keep it under 15 words.
Example: Use of Mobile Phone Applications for Weight Management in the United States
You can sharpen the focus with a subtitle, separated from the main title by a colon:
Example with subtitle: Use of Mobile Phone Applications for Weight Management in the United States: A Behavioural Economics Analysis
2. Background to the Study
The background to the study contains the following elements:
- The history of the topic, both globally and in the proposed location of your study.
- What other researchers have found from their own studies.
- What the gaps in the existing literature are, that is, what the other researchers have not addressed.
- What your study will contribute towards filling the identified gaps.
The implication of the above is that one must have conducted some literature review prior to writing the background to the study.
3. Statement of the Problem
The statement of the problem is a clear description of the issue that the study will address, the relevance of the issue, the importance (benefits) of addressing the issue, and the method the researcher will use to address the issue.
4. Goal and Objectives of the Study
Once you have identified the problem of your study, the next step is to write the goal and objectives of the study. There is a difference between these two:
The goal of the study is a broad statement of what the researcher hopes to accomplish at the end of the study. The goal should also be related to the problem statement.
Any given project should have one goal because having many goals would lead to confusion. However, that one goal can have multiple elements in it, which would be accomplished through the project’s objectives.
The objectives of the study, on the other hand, are specific and detailed statements of how the researcher will go about accomplishing the stated goal.
What makes a strong research objective
Good objectives:
- Support the accomplishment of the goal.
- Follow a logical sequence, that is, like a step-by-step order. This will help you frame the activities needed to be undertaken in a logical manner so that the goal is achieved.
- Use action verbs, for instance, “to identify”, “to create”, “to establish”, “to measure”, etc.
- Number around 3-4: having too few of objectives will limit the scope of your PhD dissertation, while having too many objectives may complicate the dissertation.
- Are SMART, that is, Specific, Measurable, Achievable, Realistic, and Time-bound.
The video below clearly explains how to set SMART goals and objectives:
https://www.youtube.com/watch?v=MAhs-m6cNzY
Tip: Many PhD programmes require a set number of published papers before graduation. Structure your objectives so each one can become its own journal paper.
5. Research Questions and Hypotheses
Every PhD dissertation needs research questions. Research questions will help the student stay focused on his/her research.
The aim of the research is to provide answers to the research questions. The answers to the questions will form the thesis statement.
Examples of research questions:
In the title example given earlier about use of mobile phone applications for weight management in the United States, a student may be interested in the following questions:
- To what extent do adults in the United States use mobile phone applications to manage their weight?
- Is there any gender disparity in the use of mobile phone apps for weight management in the United States?
- How effective are mobile apps for weight management in the United States?
Good research questions are those that can be explored in depth and defended using evidence. Questions with ‘yes” or “no” responses are not academic-worthy.
When developing research questions, you also need to think about the data that will be required to answer the questions. Do you have access to that data? If no, will your time and financial resources allow you to collect that data?
Tip: Your PhD study is time-limited therefore data requirement issues need to be thought through at the initial stages of your concept paper writing so that you don’t waste too much time either collecting the data in the future or trying to access the data if it already exists elsewhere.
6. Preliminary Literature Review
At the concept paper stage, a preliminary literature review serves three main purposes:
- It shows whether you have knowledge of the current state of debate about your chosen topic.
- It shows whether you are familiar with the experts in your chosen topic.
- It also helps you identify the research gaps.
7. Proposed Research Design, Methods and Procedures
This section provides a brief overview of the research methodology that you will adopt in your study. Some issues to consider include:
- Will your study use quantitative, qualitative or mixed-methods approach?
- Will you use secondary or primary data?
- What will be the sources of your data? Will you need any ethical clearance from your university before collecting data?
- Will the data sources be readily accessible?
- Will you use external assistance for data collection? Or will you do all the data collection yourself?
- How will the data be analysed? Which softwares will you use? Are you competent in those softwares?
While the above issues are important to think through, please note that the research design and methods will be informed by your research objectives and research questions. As an illustration:
A research question that aims to measure the effect of one (or more) variable(s) on another variable will definitely require quantitative research methods.
On the other hand, a research question that aims to explain the existence of a phenomenon will render itself to the use of qualitative research methods.
8. Contribution to Knowledge
This is perhaps the most important aspect of a PhD dissertation. Your concept note needs to briefly highlight how your project will add value to knowledge.
Making significant contribution to knowledge at the PhD level does not mean a Nobel prize standard of knowledge (this you can do after your PhD when you’ll have all the time in the world to do so). You can achieve this in various ways:
- New applications of existing ideas.
- New interpretations of previous ideas.
- Investigating an existing issue in a new location.
- Development of a new theory.
- Coming up with a new technique, among others.
9. References/bibliography
The last section of the concept paper is the reference list or bibliography. This is the section that lists the literatures that you have reviewed and cited in your paper.
There is a slight difference between a reference list and a bibliography:
A reference list includes all those studies that have been directly cited in the paper.
A bibliography, on the other hand, includes all those studies that have been directly cited in the paper as well as those that were reviewed and consulted but not cited in the paper.
When creating the reference list/bibliography, one should be mindful of the referencing style that is required by their PhD department (that is, whether APA, MLA, Chicago, Havard, etc).
Concept Paper vs. Research Proposal: What’s the Difference?
They look similar, but they’re not the same document. The concept paper is short (2,000–2,500 words) and comes first — it’s a pitch. The full research proposal is longer, more detailed, and only gets written once your concept paper has been approved.
Final Thoughts
The concept paper is your first real checkpoint on the road to a PhD. Once it’s approved, you move on to the full thesis proposal, defend it, and then begin writing your dissertation. Keep it short, keep it precise, and make sure every section above is represented — that combination is what lets a committee judge, quickly, whether you and the programme are a fit.
Frequently Asked Questions
How long should a PhD concept paper be? Most concept papers run 2,000–2,500 words, though your department’s guidelines take precedence over any general rule.
Is a concept paper the same as a research proposal? No. A concept paper is a shorter, earlier document that pitches your research idea; the full proposal comes later and goes into much greater depth.
How many objectives should a concept paper have? Generally 3–4. Fewer can make your scope too narrow; more can make the study unwieldy.
Do I need a literature review in a concept paper? Yes, but a preliminary one — enough to show you know the current debate, the key researchers, and the gaps, not a full systematic review.
Free Download
Ready to write your PhD concept paper? Download a free fill-in-the-blank Concept Paper Template covering all 9 sections from the article, with guidance prompts under each heading.
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