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Research methods · criteria log · MET-14

Document inclusion and exclusion criteria

In brief: Express every criterion as an observable decision rule before screening the complete material. Keep subject, period, document type, quality threshold and permitted exceptions separate. For each boundary case, record the item, applicable rule, decision, reason, reviewer and date. When a criterion changes, preserve its former wording, the reason and all affected cases. The research question determines which criteria are appropriate; this template does not prescribe them.

Criteria log with boundary casesSources reviewed 4 September 2026

Selection is part of the method, not invisible preparation

Inclusions and exclusions determine what evidence later becomes visible. Terms such as relevant, high quality or suitable cannot be repeated without an operational definition. A log translates them into rules that can be applied to an item.

Criteria follow from the research question, design, resources and protection requirements. They must not be designed to produce a favoured finding or remove inconvenient cases after inspection. Piloting may expose ambiguity, provided changes remain transparent.

The process works for literature screening, document corpora, samples, interview material and datasets. It imposes no method or minimum quantity.

Authority asset: criteria log with boundary cases

Completed fictional example for a document corpus
Item Criterion Finding Decision and reason
D-018 Published 2020–2025 Online 2019, revised 2022 Include; 2022 version is the object studied
D-024 Full text in English or German English abstract, French full text Exclude; full content cannot be assessed
D-031 Institutional guidance Personal blog post Exclude; document type not met
D-044 Focus on assessment Dedicated assessment chapter Include; predefined partial coverage met
D-052 Duplicate rule PDF and HTML of same version One item; PDF retained as archived reference

All items are fictional. The example demonstrates documentation and does not supply appropriate criteria for another project.

Write rules that two people can apply

Each rule specifies the feature, threshold, evidence source and outcome when met. “Recent” becomes a justified date window; “scholarly” becomes named document types or review features. Avoid wording that already assumes the preferred conclusion.

Keep inclusion and exclusion distinct. An item can meet an inclusion feature yet fail an independent protection or quality rule. Define priority so the same item does not receive a different outcome merely because criteria were checked in a different order.

Pilot rules on a small, varied set. Pilot items do not automatically belong in the final sample. Record whether they were reassessed under the locked rule set.

Do not bury boundary cases in residual labels

A boundary case partly meets a rule, contains conflicting metadata or exposes an unanticipated gap. Give it an ID and reason rather than “other exclusion”. Cite the passage or metadata on which the decision rests.

With multiple reviewers, the more senior person should not decide silently. Define a resolution route: independent first decisions, comparison, reasoned consensus or third review. Different initial views can remain in the log.

Unclear is a valid temporary state. An unavailable file differs from content-based exclusion. Record retrieval attempt, deadline and eventual disposition separately.

Version changes to the criteria

When a rule changes, retain old and new wording, date, reason and decision maker. Identify previously screened items affected and reassess them consistently. Applying a change only to later items introduces systematic bias.

Distinguish clarification from substantive expansion. Defining “online date” as the date of the version studied may clarify a rule; adding another country expands the search space. Both need documentation, but their consequences differ.

Explicitly label changes made after results were seen. That does not automatically invalidate the project, but it limits claims that selection was fully specified in advance.

Turn case decisions into transparent reporting

Report the starting set or search yield, duplicates, exclusions by distinct reason, boundary cases and final set. Totals should reconcile. If several reasons can apply to one item, use a primary reason or explain multiple counting.

Do not reveal protected identities or confidential full content. Aggregated totals, criterion definitions and anonymised cases can provide traceability while detailed access remains controlled.

The methods parameter check integrates the log into reporting. The coding guide structures later analysis. Browse the research methods hub; the single foundation route is how verifiable checking works.

Run a decision-audit sample

Select included, excluded and unresolved items from different screening stages. A second person applies only the recorded rule and compares outcome and reason. Disagreement indicates ambiguity in wording, evidence or reviewer preparation.

An agreement statistic may help some designs, but it is not universally required and does not replace examination of cases. Report only measures whose calculation and purpose fit the project.

Before analysis, lock the criteria version, export the log and link both to the material version. Later corrections receive a new version instead of silent overwriting. Check that identifiers survive export and that every final item has one inspectable decision trail.

Inspect the order of dependent rules. If language is checked before document type, early exclusion may leave later features unknown. Record “not assessed” rather than “not met”. Assign each item one primary final outcome for flow totals while retaining secondary observations. This permits arithmetic reconciliation without erasing complexity.

For machine-assisted prescreening, report query, fields, version, threshold and human review. An automated filter does not assume methodological responsibility. Where the design includes a sample of automatically rejected material, record its selection, findings and any resulting rerun rather than quietly changing the system.

Official and scholarly foundations

  1. PRISMA 2020 – transparent selection and exclusion reasons in systematic reviews.
  2. EQUATOR Network – reporting guidance across research designs.
  3. German Research Foundation: Good Research Practice Code – documentation and traceability.

Sources reviewed 4 September 2026. Substantive criteria require project-specific justification.