WHAT SHOULD BE INCLUDED IN A CONCEPT PAPER?

Reference Guide

The Basics

Important:
A Concept Paper when developed is not a vague exploration of an idea. It is assumed that you have already
thought through your proposed project – including a budget – and are just presenting an abbreviated description.

While there is no standard format for a Concept Paper, generally the following information is given:

1. Name of the Organization

2. Title of the Proposed Project
3. Potential Donor
4. Context (not more than 300 words)
5. Rationale for the Proposed Project
6. Project Goals and Objectives
7. Project Strategy/ Listing of Project Activities
8. Expected Results
9. Innovation: How different it is for other or earlier projects?
10. Organizational Background, including the expertise and experience.
11. Budget Estimate

Complete Contact Information of your organization along with the name of the Contact Person.

The Key Elements of The Concept Paper

The fundamental elements of a Concept Paper are project vision, project scope, project targets, timeline
and milestones and project management. Let’s look at them individually.

Project Vision
The first section of the Paper articulates the purpose and objectives of the project and defines the
specific problem to be solved. It should define the strategic business issues involved and explain how the
project will contribute to solving them (that’s why the project sponsor is often a senior manager).

It is the job of the project leader to listen not only to the sponsor, but to all stakeholders, fully
understanding and clarifying the purpose, making the business requirements explicit, gathering data,
comparing, debating, evaluating internal capabilities and knowledge base, identifying critical gaps,
assessing disruptive factors and obstacles etc.

The project vision could begin with some background information and a brief history of the topic at
hand, its relevance to the company, and the main reasons behind the new project based on current
needs. It should contain the information necessary to get started.

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Understanding the project relevance to the customer and the business can be done by multiple ways,
but here are some specific questions that can help: what is the background and historical data on this
topic? What is current situation? What is the business need? Who are the potential areas/people
involved? What interests and frustrates them? What problem are we trying to solve? Can we define the
processes involved? Do we have performance indicators for this topic? What are emerging as possible
disruptive factors?

A good way to deeply understand the problem is, of course, direct observation and engagement. This
implies going to the areas involved, often drawing a process map to grasp the current state and the main
problems and to see what the potential improvements are.

A vision statement for the project – a simple, short phrase – can make the vision easily understood by all
those involved, capturing their imagination.

Project Scope
The Concept Paper should next define the project scope, the specific flow of activities involved, the
organizational boundaries as well as the end-to-end processes. Framing the project properly is the
responsibility of the sponsor but the project leader can typically improve and refine this section. The
areas and functions that must be directly involved and the ones that could bring some assistance and
support will also be agreed upon at this stage.

Clarifying once again what the project is (and what it is not) helps to focus the team’s effort, avoiding
possible reshuffling, rework, or other problems during execution. As different stakeholders try to
contribute to the project with their often-conflicting opinions, guaranteeing alignment and focus
throughout the project is critical.

Project Targets
Once the project’s vision and scope are clear, the next step should be defining specific quantitative
targets. A few critical Key Performance Indicators (KPIs) should be established, the current performance
level defined whenever possible, together with the future performance level expected at a given time.
KPIs should reflect the desired state for the project.

The definition of ranges instead of specific targets can be useful when the project is focused on systemic
gains rather than point improvements. As the project evolves, using such range-based targets also
allows us to analyze trade-offs between different factors. 

Timeline & Milestones

The project’s timeline (the cadence of the work) is defined by a number of key deliveries (milestones) –
the fundamental steps in the process (they should be tied to specific dates) upon which the success of
the project depends.

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A project milestone is a special event that represents a point in time that marks the expected
completion of certain activities and tasks. Milestones (there could be between three and eight in a
typical project) make progress visible, expose problems and represent the conclusion of a learning cycle
(and thus a good time for reflection). They help manage the flow of the work (if there are gaps, it is
necessary to establish the proper countermeasures) and synchronize different functions and areas.

By clearly showing if the project is on time, milestones guarantee the timeline is followed. They move
the project forward by working like “pulling events” that ensure that activities are performed and that
critical decisions are made based on what we learned from the activities.

Project Management: Methods and Techniques, Roles and Responsibilities

At this stage, the Concept Paper can detail how the project is going to be managed through different
methods and techniques, as well as the final team, with roles and responsibilities laid out for each
person (including senior-management sponsors and key stakeholders, support functions personnel,
etc.). The project management part of the Concept Paper also covers personnel allocation (particularly
important in complex projects) and synchronizes efforts across different functions.

Normally, to visualize some of the main elements of the Concept Paper (vision and targets above all, but
also the milestones) and bring transparency to the process, Your organization can use visual
representations of your project such as schedules, diagrams, drawings and metrics.

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Vision/Strategy Room
Visual Aids in a dedicated room using Oobeya or PMI´s Work Breakdown Structure and precedence
diagrams makes the work visual, turns progress visible and exposes problems. It should be a live work
area in which people are engaged to take the right actions and decisions in a teamwork environment,
where information flows smoothly, where new ideas are generated and displayed, where learning and
reflection are facilitated, and where thinking becomes natural.
A help chain for your project should be established, with the sequence and timeframe of the support
required, as or if problems emerge that can’t be solved directly by the project leader and the team.
A daily management routine can be established in this space to guarantee discipline in execution and to
ensure emerging issues are tackled as soon as they appear (and management in your organization must
ensure enough resources are available where necessary). A standardized approach to solving problems
is a good thing to have and will make your proposed approach a stronger candidate for funding
consideration.

Other possible key elements

Additional elements defined in the Concept Paper could include:
● Major risks and challenges
● Connections with other projects
● Specific assumptions and definitions about the business implications
● Support-function requirements

A Product of Thorough Study and Deep Learning 

Preparing the Concept Paper requires the project leader to learn about the subject matter, asking the
right questions to obtain the right data and facts. This exercise creates a profound knowledge and
understanding of the problem to be solved.

The writing phase can take weeks or even months, as it requires research, data collection, consultation,
reflection, and multiple discussions with key stakeholders. The Concept Paper will then serve as the
basis for further productive dialogue during the various stages of implementation of the project, as
definitions and knowledge will be tested, challenged, and sometimes revisited. And because the thinking
becomes increasingly clear, it is obvious that the Concept Paper goes hand in hand with leadership
development.

Why the Concept Paper Helps You Succeed 

There is more to the Concept Paper than just providing clarity in the approach we are using to carry out
a project. Another important contribution to the success of the project is the alignment the Concept
Paper creates between organizational functions and areas from the very beginning. It might take long to
write a good Concept Paper, but once ready it will ensure smooth sailing and facilitate teamwork.
Another great characteristic of the Concept Paper is its flexibility: as the project evolves (things rarely go
as planned), the document evolves with it. In fact, the Concept Paper should  be adjusted over time,

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based on the evidence and the lessons learned we gather during execution. (A good time to revise it is
the completion of a milestone.)

Writing your Concept Paper - Techniques

When preparing for formal review, use your words smartly. Write as if you are making a logical,
persuasive argument based on need and capacity to meet that need rather than selling something.
Avoid generic boilerplate phrasing, jargon, boosterism, and flowery subjective statements that can’t be
supported by facts or others’ statements. Only if the concept Paper is not being submitted for a
competitive “Request for Award” (RFA), you may ask a funding entity’s program officer or senior staff
member with whom you are in contact to review a final draft version before it is submitted formally.
This can enhance significantly the prospect of a serious review of your application.
A Concept Paper is a timesaver as it allows the reviewer to assess quickly what the project entails, what
resources might be needed or helpful, who might be collaborators, and if submitted for formal review, it
shows whether or not there is a good match between the funding entity’s interests and your proposed
project.

Contents
A Concept Paper becomes a condensed version of a proposal. You are giving the highlights of the same
information in much the same order. For example, where you might use a page to cover an executive
summary, in a Concept Paper you do it in a paragraph.
Concept Papers generally are 3-5 pages. When you are no required to follow specific guidelines, most
Concept Papers will generally follow this format:

1) Opening Paragraph
● This serves as your summary statement.
● It should be able to stand alone. If the reviewer reads nothing else, they should know what you
want to do from reading this paragraph. Make it clear what you want the reader to know.
● Answer the following: who wants to do what? How much is being requested? Is this a portion of
a larger project cost? Over what period is money being requested?
● You will want to identify if you are responding to an RFCP (request for concept papers) or to
make the connection between the funding entity’s interests and your project.

2) Statement of Need (1-2 paragraphs)

● This section answers the "why" of the project.
● Explain what issue you are addressing.
● Explain why you have chosen to respond to this set of issues in the way that you have.
● State briefly why your proposed project matters in the area in which you will be working.
● Note specifically the population and number which benefits.
● Make sure you can indicate the public good achieved and the value to be gained by you and the
university.

3) Project activity (this will be the bulk of your letter)

● This section answers the "what" and "how" of the project.
● Give a general overview of the activities involved. Give more detailed information to the degree
that space allows.
● Highlight why your approach is novel and deserving of the special attention.

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 ● Indicate if there will be collaboration with other organizations and what their roles will be. Be
specific about who does what.

4) Outcomes (1-2 paragraphs; you can put this before or after the discussion of activities)
● State what will be the specific outcomes achieved.
● Indicate how evaluation is part of the project – how will you know you’ve achieved these
outcomes?
● Have you considered both formative and summative assessments?

5) Credentials (1-2 paragraphs)

● Demonstrate why your team, or you are best equipped to carry out this activity.
● Put any historic background about the institution and your own professional preparation for this
project here.

6) Budget (1-2 paragraphs)

● State what the total project cost will be and how much of that you would be requesting. Indicate
broad categories of activities to be funded.
● Include any other sources of funding, both cash and in-kind. Do not overlook the value of all in-
kind components, especially percent time salary contributions – including those of your
collaborators.

7) Closing (1 paragraph)
● Offer to give any additional information someone might need.
● Give a contact name and contact information for follow-up. Indicate if one person is the
administrative contact and another is the program contact.
● Express appreciation for the reader’s attention or the opportunity to submit if it is in response to
a Request for Concept Papers (RFCP).
● Ask, "May We submit a full proposal?"

Tips and Advice from a Contracting Officer

● Every word and idea on your Concept Paper should serve a purpose and be carefully written.
● You have three to five pages to impress the funding entity. You do not need an essay about your
wonderful history unless it is pertinent to your approach to the problem you propose to
address.
● While the ideas on a Concept Paper can grab attention, the devil—as the old German saying
goes—does reside in the details of form, structure, grammar, and overall presentation. In other
words, the concept note is about great ideas—and attention to detail.
● If the RFCP ask for five specific things, don’t skip numbers three and four but add on information
not requested as a number six or seven.
● The presentation of the Concept Paper tells a lot about what kind of partner you would be. If the
application is filled with typos, misspellings, or the numbers don’t add up, this can lead to a
negative interpretation from the beginning. If your Concept Paper is not professionally
presented, your chances could be greatly diminished.