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Microlesson · 5-min read

Sampling Risk – Types and Implications

## Sampling Risk

The risk that the auditor's conclusion based on a sample differs from the conclusion that would be reached if the entire population were tested.

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## Two Types of Sampling Risk

TestUnfavourable Error (Primary Concern)Favourable Error (Efficiency Risk)
Test of Controls (TOC)Controls appear more effective than they actually areControls appear less effective than they actually are
Test of Details (TOD)Material misstatement appears not to exist when it actually doesMaterial misstatement appears to exist when it actually doesn't

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## Why the Unfavourable Error is More Serious

  • Affects audit effectiveness — auditor is misled into a wrong conclusion
  • More likely to result in an inappropriate audit opinion

The favourable error only affects audit efficiency — it leads to additional (unnecessary) work but the auditor ultimately corrects the initial conclusion. No wrong opinion results.

> Key principle: Sampling risk can be reduced to an acceptably low level (by increasing sample size or improving selection method) but can never be eliminated entirely.

Worked example

### Example 1

Auditor selects 50 purchase invoices to test the authorization control. Sample shows 0 deviations. If all 500 had been tested, 5 would show deviations (1% rate). Auditor wrongly concludes controls are effective. This is the dangerous form of sampling risk in TOC (over-reliance) — audit effectiveness is compromised.

### Example 2

Auditor tests inventory for overstatement; sample projects a ₹2L misstatement. Actual full-population misstatement is ₹8L (material). The auditor concludes no material misstatement exists — an incorrect and dangerous conclusion. This is the primary concern form of sampling risk in TOD.

⚠️ Common exam mistakes

  • Treating both types as equally dangerous — the 'over-reliance / incorrect acceptance' type is far more serious because it leads to a wrong audit opinion
  • Confusing sampling risk with non-sampling risk — sampling risk is mathematically measurable; non-sampling risk is not
  • Believing sampling risk can be eliminated — it can only be reduced to an acceptably low level
Reference: — SA 530 – Audit Sampling
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