Walsh v. HNTB Corporation

Court of Appeals for the First Circuit·Decided March 13, 2026·No. 24-1499·Published

Opinion

United States Court of Appeals For the First Circuit

No. 24-1499 JOANNE WALSH,

Plaintiff, Appellant,

v.

HNTB CORPORATION,

Defendant, Appellee.

APPEAL FROM THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF MASSACHUSETTS

[Hon. Nathaniel M. Gorton, U.S. District Judge]

Before

Montecalvo, Rikelman, and Aframe Circuit Judges.

Michaela C. May, with whom Zachary H. Hammond and Bennett & Belfort, P.C. were on brief, for appellant.

Mark C. Tatum, with whom Stephen I. Hansen and Shook, Hardy & Bacon were on brief, for appellee.

March 13, 2026

AFRAME, Circuit Judge. Joanne Walsh worked for many years as an information technology ("IT") employee for HNTB Corporation in its Boston, Massachusetts office. In August 2019, the company placed Walsh on a three-month performance improvement plan ("PIP") that she successfully completed. About ten months later, Walsh resigned. She then sued HNTB alleging, inter alia, that the company committed unlawful age discrimination, primarily by placing her on the PIP and then constructively discharging her.

The district court granted HNTB summary judgment on the grounds that no reasonable factfinder could conclude that the PIP constituted an adverse employment action or that Walsh resigned in circumstances that constituted a constructive discharge. Walsh appealed. In response, HNTB challenged the timeliness of the appeal and defended the judgment on the merits. We conclude that the appeal is timely and affirm the judgment.

I.

We start with the timeliness issue. HNTB contends that we cannot hear this appeal because Walsh belatedly filed her notice of appeal. We describe the relevant procedural facts and then explain why Walsh's appeal is timely.

On December 21, 2023, the district court granted summary judgment for HNTB. Following the judgment, Walsh's trial counsel stopped the representation. On January 19, 2024, within the thirty-day period to file an appeal, see 28 U.S.C. § 2107(a); Fed.

R. App. P. 4(a)(1)(A), Walsh moved pro se to extend the notice-of-appeal deadline because she needed more time to find new counsel. The court granted that motion and allowed Walsh until March 29, 2024, to file her notice of appeal. Walsh subsequently asked for two more extensions, each of which the court granted. She filed her formal notice of appeal on May 15, 2024.

The crux of HNTB's argument is that Walsh's January 19 motion to extend the notice of appeal deadline was her only timely extension request under 28 U.S.C. § 2107 and Federal Rule of Appellate Procedure ("Rule") 4. See Fed. R. App. P. 4(a)(1)(A). According to HNTB, since Walsh did not file a notice of appeal within the additional time granted pursuant to that request, her May 15 notice of appeal was ineffective. Walsh responds that we should treat her January 19 motion as the functional equivalent of a notice of appeal and thus deem her appeal timely. We agree with Walsh.

Rule 3(c) requires a notice of appeal to contain three pieces of information, which we soon will detail. See Fed. R. App. P. 3(c)(1). The Rule also cautions that "[a]n appeal must not be dismissed for informality of form or title of the notice of appeal." Id. at 3(c)(7).

Based in part on this latter provision, courts "liberally construe" Rule 3. Smith v. Barry, 502 U.S. 244, 248 (1992). Thus, regardless of how a filing is styled, it will

constitute the "functional equivalent" of a notice of appeal "[i]f [the] document [was] filed within the time specified by Rule 4 [and] gives the notice required by Rule 3." Id. at 248-49. In determining whether a particular filing satisfies Rule 3, we are mindful of the "latitude" given to "pro se litigant[s]." Campiti v. Matesanz, 333 F.3d 317, 320 (1st Cir. 2003).

A motion to extend the notice of appeal deadline may serve as the functional equivalent of a notice of appeal if, among other things, it is filed within the time allotted to file such a notice. Cruzado v. Alves, 89 F.4th 64, 71-73 (1st Cir. 2023). There is no dispute that Walsh filed her January 19 motion within the initial thirty-day period allotted for filing a notice of appeal. See 28 U.S.C. § 2107(a); Fed. R. App. P. 4(a)(1). Thus, the remaining question is whether the motion evinces an intent to appeal and contains the "pertinent information" required by Rule 3(c)(1). Cruzado, 89 F.4th at 72 (quoting Campiti, 333 F.3d at 320). In making those determinations, we rely on "the filing's content and surrounding circumstances rather than on any general rule." Id. at 70 (quoting Campiti, 333 F.3d at 320) (citation modified).

First, Walsh's motion demonstrates an intent to appeal.

A motion to extend the notice of appeal deadline indicating only that a litigant is considering an appeal does not suffice. Cruzado, 89 F.4th at 71. But Walsh's motion does more than that.

She stated that she needed an extension because her "(former) attorney [told her] . . . that their firm does not handle appeals" and she was "actively searching for a firm to represent [her]" on appeal. We understand this statement to indicate Walsh's intent to appeal once she retained counsel, thereby satisfying the first step in the functional equivalent analysis. See Campiti, 333 F.3d at 320 (concluding that a request for appointment of appellate counsel, after trial counsel withdrew, "evidences an intention to appeal").

Walsh's motion also contains the "pertinent information"

required by Rule 3(c)(1). Cruzado, 89 F.4th at 72 (quoting Campiti, 333 F.3d at 320). Under that Rule, a proper notice of appeal must name the parties taking the appeal, the court to which the appeal is being made, and the judgment or order from which the appeal is being taken. Fed. R. App. P. 3(c)(1). Walsh's motion meets the first Rule 3(c)(1) requirement because the caption identifies her and HNTB. See Cruzado, 89 F.4th at 72. In addition, Walsh's motion satisfies Rule 3(c)(1)'s appeal-location requirement even though it does not expressly identify this Court as the appeal's destination. Walsh sought to appeal a judgment from the District of Massachusetts in an employment case that could only be appealed to this Court. We have held that the failure to expressly mention this Court is not fatal where it is the only appropriate appellate venue. Id.; Campiti, 333 F.3d at 320.

Walsh's motion also adequately references the judgment she sought to appeal. See Fed. R. App. P. 3(c)(1)(B). While Walsh's January 19 filing does not expressly mention the order granting summary judgment, it does mention the case's docket number. A review of the docket indicates that the summary judgment order was the only substantive ruling in the case. And it also shows that the district court issued a final judgment shortly after its summary judgment ruling, which means that any interlocutory orders merged into that judgment. See Gonpo v. Sonam's Stonewalls & Art, LLC, 41 F.4th 1, 10-11 (1st Cir. 2022) (citing Fed. R. App. P. 3(c)(4)). We have concluded previously that a litigant met this final Rule 3 requirement in similar circumstances. See Cruzado, 89 F.4th at 72-73.

In sum, Walsh filed a timely motion to extend the notice of appeal deadline. It indicated her intent to appeal and contained sufficient information to meet Rule 3's requirements. Especially given the solicitude we afford Walsh as a then-pro se litigant, we are satisfied that her January 19 motion was the functional equivalent of a notice of appeal. The appeal is thus timely, and so we proceed to its merits.1

1 Walsh also argues that even if her January 19 request for an extension of time was not the functional equivalent of a notice of appeal, we should still find her formal notice of appeal timely because the district court appropriately granted equitable tolling of the filing deadline for her notice of appeal. See Hamer v. Neighborhood Servs. of Chi., 583 U.S. 17, 22-24 (2017). We do

II.

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