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Court decisions & the sanctions record

Mata v. Avianca, Inc.

United States District Court, Southern District of New York · 2023 · S.D.N.Y., Judge P. Kevin Castel

VerificationProductivityLitigators; the case everyone half-remembers and few have read
Why it is on the shelf. Worth reading in the original rather than in summary, because the opinion is more careful than its reputation and says something important that the retellings omit.

The Institute's reading

This is the case that put AI hallucination on the profession's agenda: counsel submitted a brief citing decisions that did not exist, produced by a general-purpose chatbot, and when the authority could not be located, submitted purported copies of the non-existent cases that the same tool had generated. The court imposed sanctions.

What the summaries usually leave out is the opinion's care about what was actually wrong. Judge Castel was explicit that there is nothing inherently improper about using a reliable artificial intelligence tool for assistance — the failure was the abandonment of responsibility that followed. Counsel did not verify. Then, given an opportunity to correct the record, they did not take it, and instead produced fabricated support for fabricated cases. The opinion's weight falls heavily on that second stage.

That distinction has held up remarkably well across the decisions that followed, and it is the reason this case belongs on a shelf about adoption rather than only in a litigation file. The profession's objection was never to the technology. It was to filing something nobody had checked, and then defending it.

Key propositions

  • Using a reliable AI tool for assistance is not itself improper.
  • The failure was submitting authority without verification and then compounding it when challenged.
  • Fabricated citations reached a filing because no one opened the cases.
  • The court weighed the conduct after discovery more heavily than the original error.

In practice

  • The defensible position is not avoiding AI; it is being able to show what was verified and by whom.
  • An incident-response posture matters as much as a prevention policy.

Where authorities disagree

There is a reading of this case as a story about a careless lawyer, from which a firm can conclude that competent people are not at risk. The subsequent record is unkind to that reading: the same failure has since appeared from lawyers at large firms with resources, review processes and every reason to know better. The more useful reading is that the check is easy to skip under deadline pressure, which is a description of ordinary practice rather than of carelessness.

AI adoption conciergeorientation · not legal or ethics advice
Happy to dig into it. What would you like to pressure-test from Mata v. Avianca, Inc.: one of its propositions, how it applies to your situation, or where it disagrees with the rest of the shelf?