REVIEW QUESTIONS Chapter 6

1. Which of the following is not an advantage of alternative dispute resolution over traditional litigation?

a. Cost efficient.

b. Private.

c. Provides a clear winner.

d. Tends to build rather than destroy relationships.

2. Alternative dispute resolution methods do not include ____________.

a. Negotiation and arbitration.

b. Mediation and arbitration.

c. Negotiation, mediation, and arbitration.

d. Litigation.

3. In alternative dispute resolution, negotiation ____________.

a. Leads to a binding agreement.

b. May lead to a binding agreement.

c. Leads to binding arbitration.

d. None of the above.

4. Binding arbitration is ____________.

a. Generally enforceable in the courts.

b. Never enforceable in the courts.

c. Enforceable in the courts if the arbitrator is a licensed attorney or CPA and not enforceable otherwise.

d. None of the above.

5. In mediation, the mediators role may be ____________.

a. Evaluative.

b. Facilitative.

c. Evaluative or facilitative.

d. None of the above.

6. The Federal Rules of Evidence determine ____________ that courts may rely on in rendering verdicts.

a. The facts.

b. The opinions.

c. The facts and opinions.

d. None of the above.

7. Generally speaking, non-expert witnesses are permitted to testify based on ____________.

a. Their opinions in conclusory terms.

b. Their personal knowledge.

c. Their opinions in conclusory terms that are based on their personal knowledge.

d. All of the above.

8. Regarding expert testimony, which of the following is not required by Rule 702?

a. It must help the trier of fact to understand the evidence or to determine a fact in issue.

b. It must be based on sufficient facts or data.

c. It must be a product of reliable principles and methods.

d. It must reliably apply training and expert opinion to the facts of the case.

9. Given that the general qualifications are met, the expert may base an opinion on ____________.

a. Facts or data in the case that the expert has introduced into evidence.

b. Facts or data in the case from percipient witness testimony.

c. Facts or data in the case that the expert has been made aware of or has personally observed.

d. None of the above.

10. Generally speaking, reports written by the CPA as part of a forensic accounting engagement are ____________.

a. Protected by the work-product doctrine.

b. Protected by the accountant-client privilege.

c. Protected by both the work-product doctrine and the accountant-client privilege.

d. None of the above.

11. An expert witness who is scheduled to testify in a federal court and who reports directly to an attorney is ____________ before the trial starts.

a. Subject to discovery.

b. Not subject to discovery.

c. Subject to discovery in criminal, but not civil cases.

d. Subject to discovery in civil, but not criminal cases.

12. In planning and preparing for engagements, paramount considerations include ____________.

a. Understanding the client and the clients needs.

b. Establishing a clear understanding regarding the scope and nature of the services to be provided and the responsibilities of both the member and the client.

c. Establishing a clear understanding regarding any issues relating to confidentiality of materials and possible conflicts of interest.

d. All of the above.

13. Expert consultants in legal cases are typically ____________.

a. Subject to discovery.

b. Subject to discovery once the trial begins.

c. Subject to depositions, but not document requests.

d. Not subject to discovery.

14. The non-testifying expert serves as ____________ whose work is not subject to discovery.

a. A discoverable expert.

b. A consultant.

c. A witness.

d. None of the above.

15. ____________ must prepare and make available a written report to the court and the opposing side.

a. The expert witness.

b. The expert consultant.

c. Both the expert witness and expert consultant.

d. None of the above.

16. The expert witness generally can rely on documents that ____________ authenticated or that are acceptable to the court under the various rules of evidence.

a. The practitioner has.

b. The attorney has.

c. The parties to the proceedings have.

d. None of the above.

17. An expert witness can base opinion testimony on ____________.

a. Only facts that might be admissible into evidence.

b. Only on facts admitted into evidence.

c. Both (a) and (b) are correct.

d. Neither (a) nor (b) is correct.

18. The expert witness should understand that his or her ____________ may be subject to cross-examination by opposing counsel.

a. Conclusions and judgments.

b. Conclusions and judgments, but not other testimony.

c. Conclusions, but not professional judgments.

d. None of the above.

19. In preparing expert reports, which of the following is an item that the professional may not rely on?

a. Financial statements.

b. Simulations involving hypothetical data.

c. Cash flow analysis.

d. The professional may rely on all of the above.

20. Rule 26 of the Federal Rules of Civil Procedure requires that, subject to exemptions (for example, privileged in- formation), all parties to the lawsuit disclose, without a discovery request, all contacts, items, and _____ that may be used to support the disclosing partys claims or defenses.

a. Damage computations.

b. Witnesses.

c. Evidence.

d. None of the above.

21. Which of the following is not required to accompany an expert witnesss written report?

a. A statement of compensation in the case.

b. Data relied upon and exhibits.

c. His or her qualifications, including 10 years of publications.

d. All of the above must be submitted with written reports from expert witnesses.

22. Regarding expert testimony, Rule 702 (Testimony by Experts) of the Federal Rules of Evidence states that if scientific, technical, or other specialized knowledge will assist the trier of fact to understand the evidence or to determine a fact in issue, a witness qualified as an expert by knowledge, skill, experience, training, or education may testify thereto in the form of an opinion or otherwise, if the testimony is based upon sufficient facts or data, that the testimony is the product of reliable principles and methods, and ____________.

a. The witness has applied the principles and assumptions reliably to the facts of the case.

b. The witness has applied the principles and assumptions reliably to the conclusions of the case.

c. The witness has applied the principles and evidence reliably to the facts of the case.

d. None of the above.

23. In ____________, the U.S. Supreme Court first provided standards for what constitute reliable principles and methods.

a. Kumho Tire case.

b. Daubert case.

c. Frye case.

d. None of the above.

24. Prior to the Daubert decision, courts generally applied the ____________ test for the admissibility of expert testimony.

a. Kumho Tire.

b. Kelly.

c. Frye standard.

d. None of the above.

25. The U.S. Supreme Court provided standards for what constitutes reliable principles and methods. Which of the following is not one of these standards?

a. The technique or theory has been subjected to scientific testing.

b. The technique or theory has been published in peer-reviewed scientific journals.

c. The error rate for the technique is reasonably estimated or known.

d. All of the above are standards provided by the U.S. Supreme Court.