Edwards v. Arnone et al
Filing
209
ORDER granting 188 MOTION for Judgment as a Matter of Law by Quiros. Signed by Judge Stefan R Underhill on 9/30/2019. (Smith, E)
UNITED STATES DISTRICT COURT
DISTRICT OF CONNECTICUT
M.A. EDWARDS,
Plaintiff,
No. 3:11-cv-01537 (SRU)
v.
COMMISSIONER ARNONE et al.,
Defendants.
RULING ON DEFENDANT’S RENEWED MOTION FOR JUDGMENT AS A MATTER
OF LAW AND MOTION FOR NEW TRIAL AND REMITTITUR
I.
Introduction
M. A. Edwards (“Edwards”) filed this Section 1983 civil action against former
Connecticut Department of Corrections (“DOC”) Commissioner Leo Arnone and various prison
officials (“Defendants”) at Northern Correctional Institution (“Northern”), asserting that the
Defendants violated the Eighth Amendment’s prohibition on cruel and unusual punishment.
Specifically, Edwards alleged that the Defendants denied him any meaningful opportunity to
exercise by requiring him to recreate in full restraints while he was in Phase 1 of the
Administrative Segregation (“AS”) Program at Northern.
The case proceeded to a jury trial against Warden Quiros (“Quiros”) and Deputy Warden
Lauren Powers (“Powers”). 1 On December 19, 2018, after a three-day trial, the jury ruled in
Edwards’ favor, finding that Quiros violated Edwards’ constitutional right to be free from cruel
1
Quiros was the Warden at Northern from July 1, 2009 to April 1, 201l, and Powers was the Deputy Warden at
Northern from July 2009 to May 2011. Trial Tr. at 39, 171.
and unusual punishment. 2 The jury awarded Edwards $500,000 in compensatory damages and
$250,000 in punitive damages.
Quiros now challenges that verdict and award, moving for judgment as a matter of law
under Rule 50(b), or, in the alternative, for a new trial under Rule 59 of the Federal Rules of
Civil Procedure. See Mem. in Supp. Mot. for Judgment/Mot. for New Trial (“Def’s Mot.”) (Doc.
No. 188-1). Quiros asserts five grounds in support of his motion: (1) Edwards failed to present
evidence that Quiros violated his Eighth Amendment rights; (2) Quiros is protected by qualified
immunity; (3) there was no evidence to support an award of punitive damages; (4) the jury
instructions improperly shifted the burden of proof to the Defendants to prove that there were no
other alternatives to recreating Edwards in full restraints; and (5) remittitur of compensatory and
punitive damages is appropriate. For the reasons set forth below, Quiros’ motion for judgment
as a matter of law is granted.
II.
Background
Edwards has been incarcerated in Connecticut for the past twenty-two years after being
convicted of murder. Trial Tr. at 375. He was transferred to Northern, a level 5 maximum
security prison, on September 21, 2010 after assaulting a correctional officer at CorriganRadgowski Correctional Institution. Trial Tr. at 37, 82. When Edwards arrived at Northern,
Quiros was the Warden and the facility’s highest ranking official. Trial Tr. at 39–40, 51.
Northern housed inmates who were involved in the DOC’s AS program. See Trial Tr. at
231–32. The purpose of the AS program was to reacclimate inmates who were charged with
violent infractions in other DOC facilities back to general population. Trial Tr. at 72–74. The
2
The jury found that Powers was not liable for her conduct. Prior to the presentation of evidence, Edwards agreed
to dismiss his claims against Commissioner Arnone and District Administrator Lajoie, leaving Quiros as the only
remaining Defendant in the case.
2
AS program at Northern was conducted in three phases. Trial Tr. at 72–73. An inmate would
begin in Phase I, the most restrictive phase, where his behavior would be closely monitored by
DOC staff. Trial Tr. at 73, 202. Inmates in Phase I were in “full restraints” when outside of their
cells, which Qurios described as “handcuffs behind the back, leg irons applied to the ankles, and
a tether chain applied to the handcuff and the leg iron.” Trial Tr. 42, 203. Quiros testified that
Phase I is a “cool-down period so that the offender can come to term[s] that he’s been assigned,
classified to Northern; that in order to go back to general population, he’s going to have to
participate in the programs.” Id. Inmates are kept in Phase I for approximately six months, until
a progression hearing to determine if they can move to Phase II. Id.
Phase II is somewhat less restrictive than Phase I. Trial Tr. at 203. During Phase II,
inmates are in handcuffs for the first thirty days and are assigned to small groups of four to eight
inmates for programming and recreation. Id. After Phase II, an inmate would progress to Phase
III, the least restrictive phase. Id. In Phase III, inmates would eat meals in the day room and
have more opportunities for out-of-cell recreation and programming. Trial Tr. at 203–04. Upon
successful completion of Phase III, an inmate would be transferred out of Northern back to
general population. Trial Tr. at 76.
To accommodate the AS program, Northern was divided into three sections to house
inmates from each phase. Trial Tr. at 207. Inmates in Phase I were housed in Unit One (“the
1s”), inmates in Phase II were housed in Unit 2 (“the 2s”), and inmates in Phase 3 were housed
in Unit 3 (“the 3s”). See Trial Tr. at 207–10. Quiros testified that there were many differences
between Units 1 and 3. Id. Unit 3 was typically quieter than Unit 1 and did not have as many
doors between cells. Trial Tr. at 207. In addition, he testified that Unit 3 was much more open.
Id. “The day room is open. The recreation area is open versus having the sections in the 1s. The
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overall unit is quieter. It’s more – mirrors more of a general population unit.” Id. Unlike the 3s,
the 1s did not have open recreation. Id. Instead, inmates in Phase I were required to recreate in
“secure cages” within Unit One where their restraints would be removed through trap doors after
entering each cage. Trial Tr. at 258.
From September 2010 to March 2011, Northern was described as an “extremely volatile”
and “high stress” environment, due to an increase in inmate assaults on staff. Trial Tr. at 320.
While Edwards was at Northern, the facility was at maximum capacity. See Trial Tr. at 93.
Often there would be no available beds to house all Phase I inmates in Unit One. Id. Therefore,
Northern implemented an “overflow” policy, where Phase One inmates on full restraint status
would temporarily be held in Unit Three. Trial Tr. at 93. During the period when the overflow
policy was in effect, Phase One inmates were required to recreate in full restraints, due to the
lack of secure cages in Unit Three. Trial Tr. at 161, 258. Quiros testified that as the Warden at
Northern, he had discretion at any time to modify the restraint status of any inmate. Trial Tr. at
50–51.
Edwards arrived at Northern on September 21, 2010. See Trial Tr. at 37. He transferred
to the Phase I overflow unit November 3, 2010 until March 24, 2010. Id. As a result, from
September 21, 2010 to March 24, 2011, Edwards was kept in full restraints during recreation.
Trial Tr. at 43. On March 5, 2011, Edwards sent an inmate request form concerning his restraint
status to Quiros. See Pl’s Tr. Ex. 23. Quiros responded on March 8, 2011, denying his request.
Id. On March 10, 2011, Edwards filed a formal grievance addressed to Quiros regarding his full
restraint status during recreation. Pl’s Tr. Ex. 26. Edwards’ grievance stated:
I arrived at Northern on 9/21/2010. I am being forced to go to my one hour recreation
fully restrained. I’m [hand] cuffed behind [my] back, my handcuffs tethered to my foot
shackles. I cannot exercise like this. I would like facility to put traps on outside
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recreation -- rec doors so that I can be uncuffed when I go to the rec, just like I am cuffed
in cell to go to rec. I have been going to rec like this for six months.
Trial Tr. at 110; Pl’s Tr. Ex. 26.
On March 24, 2011, two weeks after filing his grievance, Edwards was transferred from
Phase I to Phase II. Trial Tr. at 116. As a result, he was no longer on full restraint status during
recreation in Unit Three. See Trial Tr. at 42, 257. Quiros denied Edwards’ grievance on April
11, 2011, stating “[t]he restraint policy that you referenced has been reviewed and approved and
will remain in place.” Pl’s Tr. Ex. 26.
On October 6, 2011, Edwards filed a pro se complaint in this court, asserting an Eighth
Amendment claim for denial of his ability to recreate for six months because he was required to
attend recreation in full restraints. See generally Compl. (Doc. No. 1). On January 9, 2014,
United States District Judge Alfred V. Covello granted the Defendants’ motion for summary
judgment on qualified immunity grounds. See Doc. No. 82. Edwards appealed that ruling, (doc.
no. 83) and the Second Circuit ruled in his favor, holding that “[u]nder existing clearly
established case law, a reasonable juror may conclude that reasonable officers would agree that
fully restraining inmates during out-of-cell exercise without an adequate safety justification is
unconstitutional.” Doc. No. 87 at 6. The Defendants filed a supplemental motion for summary
judgment, which Judge Covello denied on August 9, 2016. See Doc. No. 116. On December 21,
2016, Judge Covello granted Edwards’ renewed motion to appoint counsel. See Doc. No. 119.
On October 20, 2017, the case was transferred to my docket. See Doc. No. 128. The case
proceeded to trial on December 17, 2018. See Doc. No. 174.
At the close of Edwards’ case, the remaining Defendants orally moved for judgment as a
matter of law. See Doc. No. 176; Trial Tr. at 431–32. Quiros renewed his motion at the
conclusion of evidence. See Doc. No. 179; Trial Tr. at 554. I took both motions under
5
advisement and directed Quiros’ counsel to file an accompanying memorandum of law at a later
date. See Trial Tr. at 554. I denied the Defendants’ oral motions on September 25, 2019 (doc.
no. 208), in light of Quiro’s instant motion filed on January 16, 2019 (doc. no. 188).
III.
Standard of Review
Rule 50(b) of the Federal Rules of Civil Procedure allows for the entry of judgment as a
matter of law if a jury returns a verdict for which there is no legally sufficient evidentiary
basis. See Fed. R. Civ. P. 50. The standard under Rule 50 is the same as that for summary
judgment: A court may not grant a Rule 50 motion unless “the evidence is such that, without
weighing the credibility of the witnesses or otherwise considering the weight of the evidence,
there can be but one conclusion as to the verdict that reasonable [persons] could have
reached.” This Is Me, Inc. v. Taylor, 157 F.3d 139, 142 (2d Cir. 1998) (citation and internal
quotation marks omitted). Thus, in deciding such a motion, “the court must give deference to all
credibility determinations and reasonable inferences of the jury . . . and it may not itself weigh
the credibility of the witnesses or consider the weight of the evidence.” Galdieri-Ambrosini v.
Nat’l Realty & Dev. Corp., 136 F.3d 276, 289 (2d Cir. 1998) (citations omitted). In short, the
court cannot “substitute its judgment for that of the jury.” LeBlanc-Sternberg v. Fletcher, 67
F.3d 412, 429 (2d Cir. 1995) (citations omitted). Rather, judgment as a matter of law may only
be granted if:
(1) there is such a complete absence of evidence supporting the verdict
that the jury’s findings could only have been the result of sheer
surmise and conjecture, or
(2) there is such an overwhelming amount of evidence in favor of the
movant that reasonable and fair minded persons could not arrive at a
verdict against it.
6
Galdieri-Ambrosini, 136 F.3d at 289 (quoting Cruz v. Local Union No. 3 of the Int’l Bhd. of
Elec. Workers, 34 F.3d 1148, 1154 (2d Cir. 1994)) (internal quotation marks omitted); see
also Luciano v. Olsten Corp., 110 F.3d 210, 214 (2d Cir. 1997).
In contrast, the decision whether to grant a new trial following a jury trial under Rule
59 is “‘committed to the sound discretion of the trial judge.’” Stoma v. Miller Marine Servs.,
Inc., 271 F. Supp. 2d 429, 431 (E.D.N.Y. 2003) (quoting Metromedia Co. v. Fugazy, 983 F.2d
350, 363 (2d Cir. 1992)). A new trial “‘should be granted when, in the opinion of the district
court, the jury reached a seriously erroneous result or . . . the verdict is a miscarriage of
justice.’” DLC Mgmt. Corp. v. Town of Hyde Park, 163 F.3d 124, 133 (2d Cir.
1998) (quoting Song v. Ives Labs., Inc., 957 F.2d 1041, 1047 (2d Cir. 1992)). “A new trial may
be granted, therefore, when the jury’s verdict is against the weight of the evidence.” Id.
IV.
Discussion
A. There is a Lack of Evidence Supporting the Jury’s Finding that Quiros Violated Edwards’
Eighth Amendment Rights
In his motion, Quiros contends that “there is a complete absence of evidence upon which
the jury could have concluded that Warden Quiros violated [Edwards’] Eighth Amendment right
to be free from cruel and unusual punishment.” Def’s Mot. at 7. Specifically, Quiros argues that
Edwards failed to prove that Quiros was personally involved in a restriction on Edwards’ right to
exercise that would constitute an Eighth Amendment violation. Id. at 8. “Quiros’ personal
involvement in any restriction on [Edwards’] right to exercise, if any, is limited to a period of
nineteen days.” Id. That limited time period, Quiros contends, is not enough to amount to cruel
and unusual punishment under the Eighth Amendment. See id. at 9–13.
In response, Edwards asserts that the record fully supports the jury’s finding. See Mem.
in Opp. (Pl’s Opp.) (Doc. No. 199) at 13. “[Quiros] had authority to allow [Edwards] to recreate
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in the Three’s without restraints . . . . [S]taff did not regard [Edwards] as a serious threat to
inmate and staff safety. [Therefore] [Quiros’] failure to allow [Edwards] to exercise without
restraints represented an objectively unreasonable deprivation of [Edwards’] Eighth Amendment
rights.” Id. at 18. (internal citation omitted). In addition, Edwards argues that “at no point did
[Quiros] take any action to ensure that [Edwards] receive a meaningful opportunity to exercise.”
Id. at 25.
The Eighth Amendment prohibits the infliction of “cruel and unusual punishments” on
those convicted of crimes. U.S. Const. amend. VIII. To prevail on his Eighth Amendment
claim, Edwards must prove “both an objective element—that the prison officials’ transgression
was ‘sufficiently serious’—and a subjective element—that the official acted, or omitted to act,
with a ‘sufficiently culpable state of mind,’ i.e., with ‘deliberate indifference to inmate health or
safety.’” Phelps v. Kapnolas, 308 F.3d 180, 185 (2d Cir. 2002) (quoting Farmer v. Brennan, 511
U.S. 825, 834 (1994)). A condition is objectively serious if it deprives Edwards of basic human
needs—e.g., food, clothing, shelter, medical care, and reasonable safety.” Id. (quoting Helling v.
McKinney, 509 U.S. 25, 32 (1993)) (internal quotation marks omitted). “Ultimately, to establish
the objective element of an Eighth Amendment claim, a prisoner must prove that the conditions
of his confinement violate contemporary standards of decency.” Id.
To meet the subjective component, Edwards must show that Quiros knew “of and
disregard[ed] an excessive risk to inmate health or safety,” that is, that he was “aware of facts
from which the inference could be drawn that a substantial risk of serious harm exist[ed], and . . .
dr[e]w the inference.” Id. at 185–86 (internal citation omitted). The requisite knowledge of risk
may be inferred “from the fact that the risk of harm is obvious.” Hope v. Pelzer, 536 U.S. 730,
738 (2002) (citing Farmer, 511 U.S. at 825); see also Walker v. Schult, 717 F.3d 119, 125 (2d
8
Cir. 2013) (quoting Brook v. Wright, 315 F.3d 158, 164 (2d Cir. 2003) (“Evidence that a risk was
‘obvious or otherwise must have been known to a defendant’ may be sufficient for a fact finder
to conclude that the defendant was actually aware of the risk.”). The Supreme Court has
identified exercise as a human need protected by the Eighth Amendment. See Wilson v. Seiter,
501 U.S. 294, 304 (1991). The Second Circuit has held that prisoners possess an Eighth
Amendment right to the opportunity to exercise. See Williams v. Greifinger, 97 F.3d 699, 704
(2d Cir. 1996).
1. Quiros’ Personal Involvement is Limited to March 8, 2011 to March 24, 2011
Although there can be little doubt that requiring an inmate to exercise in full restraints for
a period of six months could give rise to a valid Eighth Amendment claim, the significant
question raised by the motion for judgment as a matter of law is whether Quiros can be held
liable for that violation. Quiros argues that the evidence presented at trial fails to establish that
he was personally involved in Edwards’ full six-month restriction on recreation. See Def’s Mot.
at 8. After reviewing the evidence in the record in a light most favorable to Edwards, I agree
with Quiros.
Although Quiros was the Warden throughout Edwards’ stay in Phase I, Quiros and
Edwards both testified that the first time Edwards communicated with Quiros regarding the issue
of being forced to recreate in full restraint status was his March 5 inmate request form. Trial Tr.
105–06, 406. Prior to Edwards’ inmate request form, however, there was no evidence presented
that Quiros was aware that Edwards had been recreating in full restraints for nearly six months.
It is undisputed that “overflow” Phase I inmates like Edwards, who recreated in Unit
Three, were placed in full restraints during their out-of-cell activities. See, e.g., Trial Tr. at 93.
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The evidence showed that Quiros was involved in implementing the overflow policy. 3 Trial Tr.
at 50, 94. The evidence also showed that Quiros intended the overflow policy to be temporary.
Trial Tr. at 94. “[T]he overflow is a temporary basis, which means that the offender will be in
and out for -- on a rotating basis, anywhere from two -- a week to two week[s]. Once the bed
became available, they would end up in 1 East and 1 West and recreate without restraints.” Id.
(emphasis added). Before Edwards notified Quiros in early March 2011 that he had been
recreating in full restraints for six months, there was no evidence that Quiros was aware that
Edwards had been deprived of meaningful recreation for that long.
There is also no evidence that Quiros ever received a request from Edwards to move from
Unit Three to Unit One, before his March 5, 2011 inmate request form. As noted during trial, the
daily operation of the housing units did not reach the warden level. See Trial Tr. at 95. Those
requests were typically referred to Captain Marinelli. See, e.g., Trial Tr. at 184. Regarding
Edwards’ specific deprivation, the evidence showed that Quiros’ personal involvement began
when he received Edwards’ March 5, 2011 inmate request form. Trial Tr. at 105–06. “I’m
aware he sent me an inmate request. I believe March 8.” Id. On March 8, 2011, Quiros
received Edwards’ March 5 inmate request form. See Pl’s Tr. Ex. 26. Quiros testified that the
first time he reviewed the recreation restraint policy was when responding to Edwards’ March 10
grievance on April 11, 2011. Trial Tr. at 114.
Q: So the [restraint] policy wasn’t reviewed until April 11, 2011?
A: [Edwards] brought it -- brought it to my attention, and I reviewed it -- whatever details
he had, allegations he made, I reviewed that policy . . . .
Q: So you reviewed that policy, the full restraint policy while in rec policy on March 10
of 2011?
3
In fact, Quiros testified that as Warden “I got the discretion at any time to -- to modify the restraint status” of any
inmate. Trial Tr. at 51.
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A: Yes . . . .
Q: And you didn’t review it before that time, did you?
A: There was no complaint . . . .
Q: Okay. I asked you, you didn’t review that policy before March 10 of 2011, did you?
A: No.
Trial Tr. at 114–15.
Consistent with Quiros’ testimony, Edwards testified that the first time he wrote to
Quiros about his restraint status in Unit Three was in early March.
Q: Okay. Now, would you agree that the first time you raised the issue of your recreating
in restraints to Warden Quiros was your grievance that you wrote to him, the exhibit that
I showed you previously?
A: Correct.
Q: So March of 2011 was the first time you made the warden aware that that’s how you
were having to rec, in restraints?
A: Yes.
Trial Tr. at 421. There was no testimony that Edwards made Quiros aware of his restrain status
prior to March 5, 2011.
To the extent that Edwards argues that Quiros was personally involved with Edwards’
deprivation because the overflow restraint policy was in place during his tenure as Warden, that
argument is unavailing. See Pl’s Opp. at 25. Although Quiros had the authority to change the
restraint policy at any time, he was only aware of Edwards’ six-month deprivation for a total of
approximately sixteen days. As noted by the parties, however, supervisory position alone is not
enough to satisfy the personal involvement requirement of Section 1983. See Def’s Mot. at 8;
Pl’s Opp. at 26. “Absent vicarious liability, each Government official, his or her title
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notwithstanding, is only liable for his or her own misconduct.” Ashcroft v. Iqbal, 556 U.S. 662,
677, (2009).
Furthermore, Edwards contends that Quiros is liable under the five factors set forth in
Colon v. Coughlin, 58 F.3d 865, 873 (2d Cir. 1995). See Pl’s Opp. at 26. In that case, the
Second Circuit stated that the personal involvement requirement may be established by evidence
that:
(1) the defendant participated directly in the alleged constitutional violation, (2) the
defendant, after being informed of the violation through a report or appeal, failed to
remedy the wrong, (3) the defendant created a policy or custom under which
unconstitutional practices occurred, or allowed the continuance of such a policy or
custom, (4) the defendant was grossly negligent in supervising subordinates who
committed the wrongful acts, or (5) the defendant exhibited deliberate indifference to the
rights of inmates by failing to act on information indicating that unconstitutional acts
were occurring.
Colon at 58 F.3d at 873 (quoting Williams v. Smith, 781 F.2d 319, 323–24 (2d Cir.1986)).
Quiros’ failure to amend the restraint policy before receiving Edwards’ March 8 complaint does
not satisfy the five factors. There was no evidence presented that Quiros was “grossly negligent
in supervising subordinates,” nor was there any evidence that Quiros was “informed of the
violation through a report or appeal” prior to March 5, 2011.
During trial, Edwards failed to prove that Quiros was aware that he was on restraint status
during recreation for his full six-month stay in Phase I. The evidence presented shows that
Quiros was personally involved with Edwards’ deprivation only from March 8, 2011(when he
first received Edwards request form) until Edwards’ release from Phase II on March 24, 2011.
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2. A Sixteen-Day Restriction on Recreation Does not Amount to an Eighth Amendment
Violation
Here, the evidence established that Quiros was personally involved with Edwards’
deprivation from March 8, 2011 to March 24, 2011. A sixteen-day deprivation, however, does
not constitute a violation under the Eighth Amendment.
Although a deprivation of all opportunities to exercise over a substantial period of time
may state a violation of the Eighth Amendment, courts in this Circuit have consistently held that
depriving an inmate of exercise for a relatively brief period of time does not violate the Eighth
Amendment. See, e.g., Branham v. Meachum, 77 F.3d 626, 630–31 (2d Cir. 1996) (holding that
keeping plaintiff on full restraint status without outdoor recreation for twenty-two days does not
state an Eighth Amendment claim); Torrez v. Semple, 2018 WL 2303018, at *6 (D. Conn. May
21, 2018) (“Because Torrez has alleged that he was denied recreation for a period of only ten
days, he has not stated a plausible Eighth Amendment claim. The claim regarding recreation is
dismissed.”); Riddick v. Arnone, 2012 WL 2716355, at *5 (D. Conn. July 9, 2012) (concluding
that denial of exercise for ten days is de minimis and does not rise to the level of an Eighth
Amendment violation); Davidson v. Coughlin, 968 F. Supp. 121, 131 (S.D.N.Y. 1997) (holding
that deprivation of exercise for fourteen days did not violate the Eighth Amendment).
As discussed above, the evidence presented in this case only established that Quiros
contributed to Edwards’ deprivation, for at most, sixteen days. Although contemporary
standards of decency are quickly changing (as evidenced by the jury’s verdict), the case law
above establishes that, as things stand now, a sixteen-day deprivation is insufficient to
substantiate an Eighth Amendment claim.
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Therefore, I conclude that Quiros is entitled to judgment as a matter of law. 4
V.
Conclusion
For the reason stated above, Quiros’ motion for judgment as a matter of law (doc. no.
188) is granted and his requests for a new trial and remittitur are denied as moot.
So ordered.
Dated at Bridgeport, Connecticut, this 30th day of September 2019.
/s/ STEFAN R. UNDERHILL
Stefan R. Underhill
United States District Judge
4
Because I conclude that there is a lack of evidence to support the jury’s finding that Quiros violated Edwards’
Eighth Amendment rights, I do not reach Quiros’ additional arguments in support of his motion.
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