John Whitted crashed his 1987 Chevrolet Nova into two trees on January 12, 1993. Whitted sued the manufacturer and seller, New United Motor Manufacturing, Inc., and General Motors Corporation (collectively “Defendants”), in an Indiana state court to recover for his injuries. Defendants removed the matter to the United States District Court for the Southern District of Indiana calling upon that court’s diversity jurisdiction. The district court granted Defendants’ motion for summary judgment, dismissing the matter. That decision gave rise to this appeal.
I.
John Whitted is a television repairman by trade and, on the date of the accident, he was six feet tall and weighed approximately 265 pounds, his girth is undisclosed. At the time of the collision, the ground was covered with snow, but there was no precipitation. In addition, the road was slick because, as the district court explained, the temperature had risen above freezing during the day but had fallen below freezing in the evening.
On January 12, 1993, Whitted was driving home from work with his seat belt, a single device which included both a shoulder harness and lap belt, securely fastened as he had done so daily for six years. As he negotiated an S-curve, Whitted realized that the wheels of a fast approaching oncoming car were slightly in his lane. The district court found that Whitted was travelling at least 25 m.p.h. as he negotiated the S-curve. To avoid a collision, he moved the 1987 Nova closer to the shoulder on his side of the road. Whit-ted moved too far and slid off the road and hit two trees. The Nova’s speed at the point of impact is not known, nor is the distance travelled from the road over the snow-covered ground to the two trees. The collision thrust Whitted against the steering wheel, which broke, and the windshield, which shattered. Whitted remained within the Nova during the impact. At some point during the accident, the webbing of the seat belt separated while the female clasp (latch plate) remained fastened in the buckle. Whitted sustained fractures to two bones in his lower left arm and cuts to his forehead.
Whitted argued before the district court that the seat belt was defective in violation of Indiana’s Strict Product Liability Act. 1 First, Whitted asserted that the seat belt was defective in that it failed to restrain him. Second, he asserted that Defendants did not warn him the Nova seat belt might break in collisions at a legal speed for persons of his weight or heavier. The district court was not persuaded.
In the process of granting summary judgment for Defendants, the district court struck an affidavit from its consideration and *1203 denied admission of the contents of the Nova Owner’s Manual into evidence. Considering only the properly submitted materials, the district court held that Whitted did not raise a material issue of fact. In this appeal, Whitted challenges the propriety of the district court’s conclusions.
II.
A. Affidavit And Owner’s Manual
Whitted questions the district court’s decision to strike his counsel’s affidavit (“Mann Affidavit”). Whitted intended to use the Mann Affidavit to create a genuine issue as to a defect in the seat belt. The Mann Affidavit relayed facts concerning informal discovery, but it also declared that both the Nova seat belt and the Nova Owner’s Manual lacked an appropriate warning. Attached to the affidavit was a copy of the 1987 Chevrolet Nova Owner’s Manual. Commenting on the owner’s manual, the Mann Affidavit states the following:
The 1987 Chevrolet Nova Owner’s manual furnished by General Motors with instructions to keep it with the vehicle at all times ... does not warn that the seat belt may break in an accident, or that the danger of it breaking is dependent upon the weight of the user of the seat belt....
(Mann Aff. ¶ 3.)
The district court granted Defendants’ motion to strike the Mann Affidavit, along with the manual, reasoning that Rule 3.7 of Indiana’s Rules of Professional Conduct prohibits an attorney from acting as both an advocate and a witness. In a footnote, the district court explained its reasoning for striking the Mann Affidavit and denying admission of the attached portions of Nova’s owner’s manual:
Plaintiff also filed an Affidavit by his counsel. Defendants filed a Motion to Strike both affidavits. Plaintiffs counsel’s Affidavit must be, and hereby is, STRICKEN because under Indiana Rule of Professional Conduct 3.7, an attorney should not act both as a witness and an advocate in the same proceeding....
Whitted v. General Motors, No. TH 93-76-C, slip op. at 6 n. 1 (S.D.Ind. Aug. 29, 1994) (emphasis in original).
On appeal, Whitted argues that his counsel’s affidavit should have been accepted into evidence. He reasons that the affidavit merely contains basic facts to which an attorney should be allowed to testify; that the Federal Rules of Civil Procedure favor informal discovery necessitating attorney affidavits; that an attorney’s affidavit should be measured by the same criteria as any other affidavit; and that Indiana’s Rules of Professional Conduct, which underlay the district court’s decision, allow for affidavits which speak to uncontested facts.
We review the decision to grant or deny a motion to strike under an abuse of discretion standard.
Cleveland v. Porca Co.,
We note, first, that Whitted’s counsel was prohibited from submitting an expert’s affidavit due to the order of April 29, 1994. In the plan for managing the case, filed August 3, 1993, Whitted agreed to disclose all applicable witnesses, including expert witnesses by February 1, 1994. (Case Management Plan at 2.) Whitted failed to disclose experts. As a result, two months after the February 1994 deadline, the magistrate barred Whitted from presenting expert testimony at trial. (Order of Apr. 29, 1994.)
Regarding the district court’s ruling on the Mann affidavit, we recognize that Rule 3.7 of Indiana’s Rules of Professional Conduct is not binding authority, but merely persuasive as Indiana’s Rules of Professional Conduct have not been codified by Congress nor adopted by this circuit as federal evidence law. However, the district court’s reliance on Indiana’s Professional Code was not an abuse of discretion. Even though allegations of the affidavit pertaining to Defendants’ examination of the seat belt are innoc
*1204
uous, it was within the district court’s discretion whether to strike the affidavit, regardless of a policy favoring informal discovery.
2
Concerning the other allegations of the Mann Affidavit,
3
the district court’s position disfavoring attorney testimony regarding factual matters, contested or uncontested, was sound.
See
Model Rules of Professional Responsibility DR 5-102;
United States v. Morris,
As to the owner’s manual attached to the affidavit, Whitted argues that documents accompanying affidavits, submitted in opposition to a motion for summary judgment, should be admitted over objections that those documents are not sworn or certified. However, Whitted argued to the district court, and now contends on appeal, that the pertinent rule is Federal Rule of Evidence 902(7), which allows admission of the manual and that the district court’s holding was in derogation of that Rule. The district court ruled that the manual was inadmissible, not because of any objections, but rather because “[t]he Court does not believe that the contents of the Owner’s Manual are admissible under Fed.R.Evid. 902(7) because the contents of the manual constitute more than a ‘Trade inscription’ and are not, therefore, self-authenticating.” Whitted, slip op. at 6 n. 1 (emphasis in original).
District courts, when ruling on a motion for summary judgment, may consider evidence beyond the pleadings.
Oriental Health Spa v. City of Fort Wayne,
B. Indiana’s Strict Product Liability Act
The central issue before this court is whether Whitted raised a genuine issue of material fact on his claim of strict liability. The district court held that he did not. We review that decision under a de novo standard.
Whitted’s complaint is based solely on Indiana’s Strict Product Liability Act, which is a codification of the Restatement (Second) of Torts § 402A. Ind.Code § 33—1—1.5-1
et seq.
Indiana law imposes strict liability in tort on those who place into the stream of commerce products which are in a defective condition unreasonably dangerous to a consumer.
Reed,
C. Crashworthiness
Whitted does not argue that the separated seat belt was in any way linked to the initial collision. He argues that his resulting injuries were enhanced by a failure of the seat belt. As such, the district court, applying Indiana law, suggested that this is a “crash-worthiness” case, citing
Miller v. Todd,
The crashworthiness doctrine imposes upon the manufacturer liability for design defects which, although not causing the initial collision, compound the resulting injuries when, because of the defects, the driver or passenger strikes the car’s interior or objects exterior to the car.
Montgomery Ward & Co. v. Gregg,
In essence, the crashworthiness doctrine merely expands the proximate cause element of product liability to include enhanced injuries.
Miller,
1. Design
Manufacturers have a duty to design products that are free of flaws which cause injury in the product’s use. Thus, a manufacturer will be liable for designing a product with a defective condition which is unreasonably dangerous. Indiana’s definition of “defect” is similar to what is commonly referred to as the consumer expectation test: a product is in a defective condition if the condition is not contemplated by the reasonable consumer and the condition is unreasonably dangerous to the expected user. Ind.Code § 33-1-1.5-2.5. “The requirement that a product be in a defective condition focuses on the product itself; whereas, the requirement that the product be unreasonably dangerous focuses on the reasonable contemplations and expectations of the consumer.”
Cox v. American Aggregates Corp.,
However, as Defendants suggest, to allow a plaintiff to establish the existence of a design defect by his mere assertion is ludicrous.
See generally Bishop v. Firestone Tire & Rubber Co.,
2. Warnings
Whitted also contends that Defendants violated Indiana’s product liability law for failing to warn. For one to be liable for a failure to warn, the product in question must be unreasonably dangerous.
5
However, to establish danger, a plaintiff must present more evidence than that the product failed thereby causing injury. “ ‘Unreasonably dangerous’ refers to any situation in which the use of a product exposes the user or consumer to a risk of physical harm to an extent beyond that contemplated by the ordinary consumer who purchases it with the ordinary knowledge about the product’s char
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acteristics common to the community of consumers.” Ind.Code § 33-1-1.5-2. The fact that a product caused or, as alleged here, enhanced injury does not
ipso facto
mean that the product is unreasonably dangerous. Rather, the product may have caused injury due to misuse of the product, or a manufacturing defect, or the age of the product— here six years old. Given the possibilities, a plaintiff must present evidence,
via
statistics or other means, to illustrate that under normal or expected use there is a possibility that a product may cause injury.
See Bammerlin,
3. Manufacturing
Whitted argues that the mere circumstances of the accident indicate a defect existed at the time the seat belt was manufactured. He contends that Indiana law permits application of the doctrine of
res ipsa loquitur
to strict liability cases. For authority, Whitted cites Dean Prosser’s 1966 article,
The Fall of the Citadel (Strict Liability to the Consumer),
50 Minn.L.Rev. 791 (1966), the concurring opinion in
Comette v. Searjeant Metal Prods., Inc.,
The doctrine of
res ipsa loquitur
is a rule of evidence which allows an inference to be drawn from a particular set of facts. The doctrine consists of two elements. First, the doctrine recognizes that under certain rare instances, common sense alone dictates that someone was negligent. W. Page Keeton et al.,
Prosser and Keeton on the Law of Torts
§ 39, at 244-45 (5th ed. 1984). Second, the doctrine requires that the injuring instrumentality be in the exclusive control of the defendant at the time of injury.
Id.; Newell v. Westinghouse Elec. Corp.,
Of the jurisdictions that allow theories analogous to res
ipsa loquitur
to prove that a manufacturing defect existed, four methods of proof have evolved. Using the doctrine, a plaintiff should employ one of the following to establish the existence of a manufacturing defect: (1) plaintiff may produce an expert to offer direct evidence of a specific manufacturing defect; (2) plaintiff may use an expert to circumstantially prove that a specific defect caused the product failure; (3) plaintiff may introduce direct evidence from an eyewitness of the malfunction, supported by expert testimony explaining the possible causes of the defective condition; and (4) plaintiff may introduce inferential evidence by negating other possible causes.
See Weir v. Federal Ins. Co.,
This court addressed the question of whether it would be proper to apply a type of
res ipsa loquitur
rationale to an Indiana product liability case in
Smith v. Michigan Beverage Co.,
However, although other jurisdictions have applied the evidentiary rule to strict products cases and we have not barred its use, we have recognized the theoretical inconsis-tences in fusing the two. Applying Illinois law, that concern was addressed in
Welge v. Planters Lifesavers Co.,
The doctrine of res ipsa loquitur teaches that an accident that is unlikely to occur unless the defendant was negligent is itself circumstantial evidence that the defendant was negligent. The doctrine is not strictly applicable to a products liability case because unlike an ordinary accident case the defendant in a products case has parted with possession and control of the harmful object before the accident occurs. But the doctrine merely instantiates the broader principle, which is as applicable to a products case as to any other tort case, that an accident can itself be evidence of liability. If it is the kind of accident that would not have occurred but for a defect in the product, and if it is reasonably plain that the defect was not introduced after the product was sold, the accident is evidence that the product was defective when sold.
Welge,
Nevertheless, under the facts of this case, Whitted may not avail himself of the general application of circumstantial evidence. Whitted did not present enough evidence to establish that Defendants retained control or dominion over the seat belt — that is, that six years of invariable use did not disturb Defendants’ influence or authority over the product. The evidence adduced on the issue of Defendants’ control was that the seat belt appeared to be in good working condition prior to the collision, that the seat belt had never demonstrated problems before, and that the seat belt was not cut or frayed prior to the accident. This is simply not enough to create a reasonable inference. He did not nullify enough of the probable explanations of the seat belt break. Whitted did not negate, for instance, that the seat *1209 belt acted properly or that the belt separated at a point in time which decreased his injuries. 6 In addition, the Court notes that Whitted did not establish the third element of his prima, facie case: that the seat belt proximately enhanced his injuries (e.g., the force of his body against the belt might have caused more severe injuries than those he sustained had the belt not separated). We find that under the Indiana Strict Product Liability Act a plaintiff may use circumstantial evidence to establish that a manufacturing defect existed only when the plaintiff presents evidence by way of expert testimony, by way of negating other reasonably possible causes, or by way of some combination of the two.
In sum, Whitted failed to produce enough evidence to raise a material issue of fact that the 1987 Chevrolet Nova seat belt broke due to a defect of any sort. Accordingly, we affirm the district court’s holding in full.
Notes
. The Indiana Supreme Court refers to the act as the "Strict Product Liability Act” because the act only applies to product actions based on strict liability in tort and not actions based on negligence.
Reed v. Central Soya Co.,
. “The use of affidavits by counsel is in certain carefully confined situations undoubtedly appropriate, but it is a tactic fraught with peril....”
Friedel v. City of Madison,
. The Mann Affidavit also contained testimony regarding the absence of warning labels both on the seat belt and within the Nova Owner's Manual; and the affidavit also alleged absence of warning within the contents of the Nova Owner's Manual as to "extenders.”
.Instead, Whitted could have circumvented the problem had he, for instance, procured a stipulation from Defendants. In addition, we make no comment on other, more tenable, theories of admissibility, e.g., Rule 801(d)(2)(A). The district court was asked to decide if the manual may be admitted under a particular rule, and the court ruled correctly.
. The American Law Institute has drafted a section focusing on products liability for a new Restatement of Torts. The subsection addressing defective warnings provides:
[A] product is defective due to inadequate instructions or warnings when the foreseeable risks of harm posed by the product could have been reduced by the provision of reasonable instructions or warnings by the seller or a predecessor in the commercial chain of distribution and the omission of instructions or warnings renders the product not reasonably safe.
ALI Tentative Draft No. 1, § 2(c).
. Although not argued by the parties, we are aware that 49 C.F.R. § 571.208, S4.1.1.3.1(c) suggests a speed at which seat belts should hold. However, the Code’s 30 m.p.h. demarcation is a function of the overall testing conditions:
[The vehicle shall,] When it perpendicularly impacts a fixed collision barrier, while moving longitudinally forward at any speed up to and including 30 m.p.h. under the test conditions of S8.1 with anthropomorphic test devices at each front outboard position restrained by Type 2 seatbelt assemblies, experience no complete separation of any load-bearing element of a seatbelt assembly or anchorage.
Nat’l Highway Traffic Safety Admin., 49 C.F.R. § 571.208, S4.1.1.3.1(c) (1994) (emphasis added). It is clear that the speed limit is not to apply to all car accidents, it is not an absolute. For instance, the driver of a car might weigh more or less than the “test dummies,” which have their own specific design requirements. In this case, the driver weighed approximately 265 pounds and was traveling at least 25 m.p.h. before he left the road. Given these conditions, it is reasonable to infer that the 1987 Nova seat belt acted as it should have.
