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Microlesson · 5-min read

Stratification and Value Weighted Selection

## Stratification

Dividing a population into discrete sub-populations (strata) to improve audit efficiency.

Objective: Reduce variability within each stratum → allows sample size to be reduced without increasing sampling risk.

### Common Stratification Approaches

BasisRationale
Monetary valueDirects effort to larger items — higher potential for overstatement
Risk characteristicE.g., age of receivables when testing valuation assertion (ROMMS-driven)

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## Value Weighted Selection

  • Sampling unit = individual monetary units within the population (not individual transactions)
  • Items with higher value have proportionally greater chance of selection → audit effort flows to larger items
  • Can result in smaller sample sizes
  • Most efficient when combined with systematic random selection

### Key distinction

> Stratification divides the population before sampling. Value weighted selection is a selection method applied within a population or stratum — the two are complementary, not alternatives.

Worked example

### Example 1

An auditor testing accounts receivable (total ₹50 lakhs) stratifies balances: >₹5L (30 items, ₹35L) tested 100%; ₹1L–₹5L uses sampling; <₹1L uses analytical procedures. This concentrates effort on high-value items and reduces the overall sample count.

### Example 2

Using value-weighted selection on a debtors ledger: each rupee is a sampling unit. Out of 1 crore monetary units, 500 are selected randomly. A ₹10L balance has 10× the selection probability of a ₹1L balance. Whichever balances contain selected rupees are then examined in full.

⚠️ Common exam mistakes

  • Confusing stratification (dividing the population) with the sample selection method (how items are picked within each stratum) — they operate at different stages
  • Assuming value-weighted selection increases sample size — it actually reduces it by concentrating on high-value items
  • Thinking stratification reduces variability across the whole population — it reduces variability within each stratum
Reference: — SA 530 – Audit Sampling
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