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Shoulder Instability: Management and
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COMMENTARY
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Shoulder dislocation and subluxation occurs frequently in athletes with peaks in the second and motion.66 Instability is usually de-
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sixth decades. The majority (98%) of traumatic dislocations are in the anterior direction. The most fined as a clinical syndrome that
frequent complication of shoulder dislocation is recurrence, a complication that occurs much occursCode
when shoulder laxity pro-
Citymore
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frequently in the adolescent population. The static (predominantly capsuloligamentous and
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duces symptoms. Dislocation and
labral) and dynamic (neuromuscular) restraints to shoulder instability are now well defined.
Phone _____________________________Fax____________________________Emailsubluxation _____________________________
of the glenohumeral
Rehabilitation aims to enhance the dynamic muscular and proprioceptive restraints to shoulder
instability. Thisto
paper reviewsJOSPT
the nonoperative treatment joint occurs relatively frequently in
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patients with various classifications of shoulder instability. J Orthop Sports Phys Ther athletes. Rowe82 identified a bimo-
2002;32:497–509. dal distribution of primary shoul-
Key Word s: dislocation, muscle control, pathogenesis, recurrence, surgery der dislocation with peaks in the
Payment Information second and sixth decade (Figure
1A). In up to 98% of cases, the
S
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shoulder displaces in an anterior
! Credit Card houlder stability
(circle one) is the resultVISA
MasterCard of a complex
Americaninteraction
Express between direction17,59,82 and in about 2%
static and dynamic shoulder restraints. Disruption to these of cases it displaces in the poste-
restraints manifests itself in a spectrum of clinical pathologies
Card Number ___________________________________Expiration Date _________________________________________ rior direction.82
ranging from subtle subluxation to shoulder dislocation. This The major cause of primary
article describes the anatomical variants associated
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shoulder dislocation is traumatic
traumatic and atraumatic shoulder instability and evaluates existing lit- injury. Almost 95% of first-time
erature pertaining to nonoperative and surgical management with the shoulder dislocations result from
ultimate aim of providing guidelines for thecall,
To order rehabilitation
fax, email of or
various
mail to: either a forceful collision, falling
classifications of shoulder instability.
1111 North Fairfax Street, Suite 100, Alexandria, VA 22314-1436 on an outstretched arm, or a sud-
Phone 877-766-3450 • Fax 703-836-2210 • Email: subscriptions@jospt.org den wrenching movement. In
Epidemiology these individuals the stabilizing
Primar y Dislocations The shoulder isThank a joint you
evolvedforforsubscribing!
mobility, and structures are forcefully stretched
to some extent, stability has been sacrificed to achieve a wide range of in a sudden manner. About 5% of
dislocations have an atraumatic
origin (eg, minor incidents such
as raising the arm or moving dur-
6,17,66,82
1
Physiotherapist, Sports Medicine and Shoulder Service and Orthopaedic Research Institute, St George ing sleep). These individu-
Hospital Campus, University of New South Wales, Sydney, Australia.
2
als may have capsular laxity or al-
Sports medicine registrar, Sports Medicine and Shoulder Service and Orthopaedic Research Institute, St
George Hospital Campus, University of New South Wales, Sydney, Australia. tered muscle control of the
55
3
Director of O utcomes Research, Sports Medicine and Shoulder Service and Orthopaedic Research shoulder complex or both.
Institute, St George Hospital Campus, University of New South Wales, Sydney, Australia. Recurrent Dislocations An impor-
4
Surgical fellow, Sports Medicine and Shoulder Service and Orthopaedic Research Institute, St George
Hospital Campus, University of New South Wales, Sydney, Australia. tant complication of primary dislo-
5
Chief, Sports Medicine and Shoulder Service, Director, Orthopaedic Research Institute, St George cation is subsequent recurrent dis-
Hospital Campus, University of New South Wales, Sydney, Australia.
Send correspondence to George Murrell, Department of Orthopaedic Surgery, St. George Hospital,
locations. Based on a study by
Kogarah N S W 2217, Sydney Australia. E-mail: murrell.g@ori.org.au Rowe,82 about 70% of those who
90
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Shoulder Dislocation
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0-10 11-20 21-30 31-40 41-50 51-60 61-70 71-80 81-90
Patient Age Range
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(%)
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0
<20 yrs 20-40 yrs >40 yrs
Patient Age Range
CLINICAL
against anterior, posterior, and inferior translations platform for the glenohumeral articulation and the
when the humerus is abducted beyond 45°.72 action of attaching humeral muscles.
The labrum constitutes the fibrocartilagenous rim It has been suggested that proprioceptive mecha-
of the glenoid. Inferiorly it is firmly attached to the nisms involving reflexive muscular action may protect
glenoid, although it may be loose and mobile against excessive translations and rotations of the
anterosuperiorly. Although variable in size, the glenohumeral joint.100 A recent histological investiga-
labrum contributes to shoulder stability by increasing tion97 has demonstrated the presence of mechano-
receptors (ruffinian corpuscles and pacinian cor-
COMMENTARY
the depth of the glenoid cavity from an average of
puscles) within the capsuloligamentous restraints of
4.5 to 9.0 mm in the superior-inferior direction and
the shoulder. These specialized nerve endings relay
from an average of 2.5 to 5.0 mm in the anterior-
afferent information relating to joint position and
posterior direction.43 The labrum may also act as a
chock block, having been shown to increase resis- joint motion awareness (proprioception) to the cen-
tance to glenohumeral translation by up to 20%.58,63 tral nervous system. The perceived sensation of
The labrum provides attachment of the shoulder joint position and movement is likely to
glenohumeral ligaments anteriorly, and the biceps play an important role in coordinating muscular
tendon superiorly. tone and control. It has been suggested that joint
Dynamic Stabilizers A number of dynamic EMG stud- instability secondary to trauma may be associated
ies have shown that the rotator cuff works in a com- with a decrease in proprioceptive reflexes and thus a
bined synergistic action to create a compressive force predisposition to subsequent reinjury.97
at the glenohumeral joint during shoulder move-
ment.16,45,55 Radiographic evaluation of
Traumatic Anterior Dislocation
glenohumeral kinematics in the normal shoulder has Mechanism of Injur y The most common mechanism
shown that the center of the humeral head deviates of anterior shoulder dislocation has been described
from the center of the glenoid fossa by no more as forced external rotation and abduction of the hu-
than an average of 0.3 mm throughout abduction in merus as seen in a basketball player who attempts to
the plane of the scapula.22,79 With fatigue of the ro- block an overhead pass.5,59 Other mechanisms of in-
tator cuff and deltoid muscles, there was an average jury have included a fall onto an elevated out-
2.5-mm superior migration of the humeral head.22 stretched arm and direct force application to the
The biceps assist the rotator cuff in creating posterior aspect of the humeral head.5,59
glenohumeral joint compression. In an abducted and Sequelae of Anterior Dislocation There are several
externally rotated cadaveric shoulder model,46 static morphological changes associated with anterior dislo-
loading of the rotator cuff and biceps brachii muscle cation of the glenohumeral joint. The most signifi-
(long and short heads) significantly reduced the cant in terms of recurrent instability are those associ-
magnitude of simulated anterior humeral head trans- ated with the inferior glenohumeral ligament
lation. For conditions of increasing shoulder instabil- complex and its attachments to the labrum and hu-
ity (vented capsule, simulated Bankart lesion) the merus. In 1923 Bankart8 described anterior labral
biceps brachii made a greater contribution to shoul- detachment as the essential lesion in traumatic ante-
der stability than the individual muscles of the rota- rior instability (Figure 3). Rowe and Zarins84 noted
tor cuff.46 the lesion in 85% of traumatic instability cases re-
The individual tendons of the rotator cuff splay quiring surgery. An osseous Bankart defect on the
and interdigitate to form a wide, continuous inser- anteroinferior glenoid rim is best appreciated radio-
tion on the humeral tuberosities.23 Near their inser- graphically with a West Point view.73 Detachment of
tions, the deep surface of these tendons are tightly the anterior labrum and plastic deformation of the
adherent to the underlying joint capsule.23,24 It has capsule and inferior glenohumeral ligament com-
been hypothesized that contraction of the rotator plex10 contribute to increased anterior humeral
cuff muscles may tighten the underlying capsule, cre- translation.44,90
ating a soft tissue barrier to excessive humeral head The most common bony lesion associated with
translation.104,105 traumatic glenohumeral instability is a compression
EMG studies of shoulder kinematics have shown fracture at the posterolateral margin of the humeral
that the scapulothoracic muscles operate as func- head. This occurs as the humeral head impacts into
tional units to create upward scapular rotation.9,45 the glenoid edge during dislocation and has been
Synchronous scapular rotation and humeral elevation termed the Hill Sach’s lesion.39 This lesion has been
is prerequisite for maintaining optimal alignment of reported to occur in over 80% of traumatic instabil-
the glenoid fossa and humeral head.45 Because there ity cases21,73,99 and is best appreciated radiographi-
are no scapulothoracic ligamentous restraints, the cally with a Stryker Notch view and an
scapulothoracic muscles also serve to stabilize the anteroposterior view with the shoulder in internal
FIGURE 3. Detachment of the labrum and capsule from the anterior Age-Related Changes
glenoid (Bankart lesion), left shoulder.
The high incidence of recurrent shoulder disloca-
% Collagen Type III % Collagen Type I tion in the adolescent population as opposed to re-
currence in those over 40 years of age may be ex-
120
plained, in part, by the collagen profile of
Collagen Composition of
CLINICAL
is less often associated with a labral detachment or sition of extreme range of motion leads to gradual
Bankart lesion. The condition is associated with gen- attenuation of the anteroinferior static restraints,38,57
eralized ligamentous laxity.3,70 increased glenohumeral translation and a continuum
The definitive etiology of atraumatic instability is of shoulder pathology.57 On the basis of arthroscopic
still not clear and it may be multifactorial. Current observations, Kvitne and Jobe57 described a pattern
etiological theories include suboptimal muscle con- of injury in this athletic population that involved pri-
trol for shoulder function, a deficiency in the rotator mary instability and secondary subacromial impinge-
cuff interval, and connective tissue abnormalities. ment or posterosuperior glenoid impingement of the
COMMENTARY
EMG analyses of shoulder motion have demon- undersurface of the rotator cuff with the postero-
strated altered patterns of shoulder muscle activity superior glenoid rim. In a separate retrospective re-
for patients with atraumatic anterior instability when view of arthroscopic findings for 61 throwing ath-
compared to normal subjects.56 Radiographic analy- letes, Nakagawa et al69 reported anterior joint laxity
ses of glenohumeral kinematics in patients with in 33% of patients, detachment of the superior
atraumatic multidirectional instability have demon- glenoid labrum in 51% of patients, posterior labral
strated an increase in humeral translation and a de- injury in 80% of patients, and rotator cuff tears in
crease in upward rotation of the glenoid fossa for 66% of patients. While this study confirmed the pres-
scapular plane abduction when compared to normal ence of several different shoulder pathologies in this
subjects.75 While these studies have shown a correla- athletic population, there was no correlation among
tion between abnormal shoulder muscle activity, anterior joint laxity, superior or posterior labral in-
glenohumeral incongruence and scapulohumeral jury, and a rotator cuff tear.
motion asymmetry, it remains to be determined
whether these findings represent a cause or an effect Nonoperative Management of Dislocation
of atraumatic shoulder instability. Traumatic Instability Various treatments, including
Clinical studies have documented an association shoulder immobilization, activity restriction, and ex-
between the size of the rotator cuff interval (a defect ercise rehabilitation have been advocated in the
in the anterosuperior capsule between the superior management of primary traumatic anterior shoulder
border of the subscapularis tendon and the anterior dislocation. While low recurrence rates have been
margin of the supraspinatus tendon) and the reported for this condition for conservatively man-
amount of anterior84 and inferior glenohumeral aged older patients, the prognosis for patients aged
translation.71 A biomechanical study using a
20 years and younger is generally considered to be
cadaveric shoulder model has confirmed the impor-
poor.
tance of the anterosuperior capsule in preventing
In a prospective study of 257 patients (age range
inferior subluxation of the adducted shoulder.36 A
12 to 40 years) with a primary traumatic anterior
large rotator cuff interval has been viewed by some
shoulder dislocation, Hovelius et al42 found no dif-
authors as a possible causal mechanism in some cases ference in redislocation rates between treatment with
of atraumatic shoulder instability. early mobilization and treatment with 3 to 4 weeks of
Rodeo et al81 analyzed the collagen and elastic fi- immobilization. Regardless of the immobilization pe-
bers in the shoulder capsule in patients with unidi-
riod, redislocation occurred in 47% of patients aged
rectional anterior instability, multidirectional instabil-
from 12 to 22 years, 34% of patients from 23 to 29
ity at primary surgery, multidirectional instability at
years, and 13% of patients aged from 30 to 40 years
revision surgery, as compared to patients with no his-
for the 2-year duration of the study.
tory of instability. Skin analysis between these groups
Other studies of primary traumatic anterior shoul-
demonstrated a significantly smaller mean collagen
der dislocation performed retrospectively have found
fibril diameter in skin samples in the primary
no beneficial effect of immobilization of up to 6
multidirectional instability group compared with the
weeks duration.61,87 In one study of 21 patients (age
unidirectional anterior instability group. This sug- range 4 to 16 years), 100% recurrence rates were
gests the possibility of an underlying connective tis- reported for immobilization periods that included 0,
sue abnormality. 4, and 6 weeks in duration.61 Another study of 116
patients (age range 14 to 96 years) reported an over-
Acquired Shoulder Instability all redislocation rate of 33% with no difference in
Chronic stress associated with repetitive overhead recurrence for periods of immobilization between 0
sports has been cited as a predisposing factor to an- and 6 weeks duration.87 In the same study, 82% of
terior shoulder instability.1,2,31,57 These athletes usu- athletes aged 30 years or younger sustained a
ally perform activities such as throwing, volleyball, redislocation (all due to athletic injury) compared to
and tennis, all of which require extreme external 30% of nonathletes of similar ages. While the type or
rotation with the humerus abducted and extended in length of shoulder immobilization had no influence
CLINICAL
significant for a second rehabilitation program that redislocation rates for arthroscopic anterior shoulder
consisted of isokinetic resistance exercises designed stabilization are higher than those reported for open
to improve shoulder muscle strength and endurance. procedures (2–18% versus 11%) (Table). However,
Various forms of scapular muscle retraining have arthroscopic procedures are associated with less loss
been advocated in the rehabilitation of shoulder in- in external rotation than open procedures.
stability.27,53,105 These have included exercises de- Arthroscopic techniques for reattaching the labrum
signed to stabilize the scapulothoracic articulation can be divided into three categories: (1) a
(isometric exercises, manual stabilization tech- transglenoid suture technique,14,26,35,51,62,74,76 (2)
COMMENTARY
niques), to restore normal patterns of scapular arthroscopically delivered and tied suture an-
muscle activity (upper extremity weight-bearing activi- chors,33,40,93 and (3) arthroscopically delivered biode-
ties), and to maximize scapulothoracic muscle gradable tacs.4,12,25,26,28,51,52,86,92 A comparison of the
strength and endurance in preparation for a return reported rates of recurrent dislocation for each tech-
to normal functional use (resistance exercises, nique is made in the Table.
plyometric exercises, sport-specific drills). It remains Multidirectional Instability The most commonly per-
to be determined whether scapular motion asymme- formed and most successfully reported surgical pro-
try can be corrected with exercise rehabilitation in cedure for multidirectional instability of the shoulder
the patient with shoulder instability. is an anterior capsular shift, an open procedure that
The interplay between neural and muscular involves the overlaying and thus shortening of the
mechanisms for dynamic glenohumeral joint stability anterior and inferior capsule.3,60,77 Closure of the
is incompletely understood. Inman45 theorized that capsular interval between the subscapularis and
proprioceptive mechanisms were elicited as a result supraspinatus has been reported to be successful in a
of specific movement patterns rather than isolated small series of patients with subluxation.30,36
muscle actions. This theory would imply a role for More recently, capsular shrinkage has been advo-
functional exercises that include positions of instabil- cated as a treatment for more subtle cases of shoul-
ity to evoke reflexive muscular activity that may pro- der instability. Thermal denaturation of collagen re-
tect against potential joint instability. Other forms of sults in uncoupling of the triple helices and
neuromuscular re-education,27,104,105,106 including shortening of the collagen. A recent study noted a
joint repositioning tasks, proprioceptive 15% to 40% reduction in length of a cadaveric
neuromuscular facilitation techniques, upper extrem- shoulder capsule subjected to 65°C to 72°C heat
ity weight-bearing exercises, and plyometric exercises (Figure 5).98 Also noted was an associated 15% loss
have been used to retrain proprioceptive mecha- in load to failure properties. Arthroscopic devices
nisms. Further research is needed to determine the have been designed to deliver heat to the shoulder
efficacy of these exercises in the rehabilitation of capsule with the potential to ‘‘shrink’’ redundant
shoulder instability. capsule arthroscopically. A short-term study has re-
ported excellent results using this technique.86 Fur-
Surgical Management ther long-term evaluations are necessary to identify
the technique, indications, and results of this novel
Traumatic Unidirectional Instability The most recent method of reducing capsular volume.
and most successful surgical procedures for unidirec-
tional shoulder instability reattach the detached
labrum and associated glenohumeral ligaments with Postoperative Rehabilitation
little disruption to the length or attachment of other
structures around the shoulder (Bankart repair). An The basic principles of nonoperative rehabilitation
open Bankart repair consists of detachment and later for shoulder instability (restoration of glenohumeral
reattachment of the humeral insertion of subscap- compression stability, scapulohumeral motion
ularis (or a split of the subscapularis) and a reattach- synchrony, and proprioceptive mechanisms) apply
ment of the labrum to the anterior glenoid with su- equally to postoperative patients. The specific con-
tures through bone or with suture anchors. Most tent of postoperative rehabilitation varies according
surgeons also reduce any capsular redundancy by to the stabilization procedure performed, individual
tightening the anterior capsule with sutures. Open pathology, and the activity level of the individual.
anterior stabilization is associated with a 12° loss of
external rotation of the shoulder, probably secondary
to shortening of the subscapularis tendon after Anterior Stabilization
detachment-reattachment.34
Arthroscopic techniques for unidirectional Cr yotherapy Cryotherapy in the postoperative shoul-
glenohumeral instability have been developed to re- der (applied for 15-minute durations every 1 to 2
CLINICAL
ric internal rotation for the first 6 weeks following an Rotator Cuff and Humeral Muscle Strengthening Exer-
open Bankart repair, in which the subscapularis cises Rotator cuff strengthening is commenced with
muscle is detached and reattached, to prevent rup- isometric exercises, as detailed above. Light resis-
ture from its humeral insertion. We recommend tance exercises for the rotator cuff and biceps
pain-free contractions of 3 to 5 seconds duration and brachii muscles are introduced during the fourth
a minimum of 30 daily repetitions20,32,64 for all iso- postoperative week. (For open stabilization proce-
metric exercises. dures involving detachment or reattachment of the
subscapularis, resistance exercises for the
COMMENTARY
Range of Motion Exercises Assisted shoulder exercises
subscapularis muscle are introduced during the sixth
initially performed within a limited range of motion
postoperative week). We advocate exercises that in-
are designed to protect the surgical repair and pre-
volve both concentric and eccentric modes of con-
vent adhesion formation in the early postoperative
traction initially performed at glenohumeral angles
period. These exercises are commenced during the
of less than 45° elevation. We use the same range of
second postoperative week. External rotation range motion to commence strengthening of the latissimus
of motion is limited to 30° (0° abduction) for the dorsi, pectoralis major, and teres major.
first 4 postoperative weeks. Combined external rota- Dynamic control of the scapulothoracic and
tion and abduction range of motion is avoided for glenohumeral joints and an absence of pain and ap-
the first 6 postoperative weeks. Assisted elevation is prehension for movements performed between 0°
initially performed in the plane of the scapula to and 45° elevation are prerequisite for exercise pro-
maximize humeral and glenoid congruency.50 The gression to higher angles of elevation. Rotator cuff
absence of pain, apprehension, and abnormal move- strengthening for higher angles of elevation includes
ment patterns with assisted exercise are prerequisite the use of Theraband27,105 (eg, internal and external
for the progression to active range of motion exer- rotation), free weights11,49,94 (eg, prone horizontal
cise. Rehabilitation aims to restore full active range abduction with arm externally rotated and scapular
of motion by 12 weeks after arthroscopic29 and open plane elevation), and training activities27,106 (eg, un-
anterior stabilization.103 derarm, side-arm, and overhead throwing or catching
Scapulothoracic Muscle Retraining In addition to iso- exercises using balls of various weights and sizes).
metric scapulothoracic muscle exercises, the first Humeral muscle strengthening includes Theraband
postoperative week involves treatment for any exercises27 (eg, extension and adduction initiated
strength or flexibility deficits within the lumbar or from 90° flexion and abduction, respectively), free
thoracic areas.53 Upper extremity weight-bearing ex- weights94 (scapular plane elevation with arm inter-
ercises that incorporate specific scapular movements nally rotated and horizontal abduction with arm in-
at glenohumeral angles of less than 60° elevation are ternally and externally rotated), press-ups,27,94 push-
ups,48 and various weight machines.27
introduced during the third postoperative week.53
Light resistance exercises are commenced during the
Proprioception In the latter stage of rehabilitation,
emphasis is given to functional exercises that prepare
fourth postoperative week. We emphasize retraining
the neuromuscular and cardiovascular systems for
for scapular protraction and retraction and advocate
the return to sports participation. We include activi-
multiple sets of up to 30 repetitions for exercises
ties that require the coordination of multiple
that involve both concentric and eccentric modes of
muscles (eg, catching and throwing activities, racquet
contraction.
and other batting activities, and goal defense activi-
Dynamic scapulothoracic stability, scapulohumeral
ties) to achieve the desired magnitude, duration, and
motion synchrony, and an absence of pain and ap-
sequence of motor output for a given functional
prehension for movements performed between 0°
task. These exercises initially use glenohumeral posi-
and 90° elevation are prerequisite for further reha-
tions that are least likely to provoke an instability
bilitation progression. Once these goals have been
episode. An absence of symptoms and quality of
achieved, upper extremity weight-bearing exercises
movement are fundamental prerequisites for exercise
are advanced to higher angles of elevation and
progression to positions that maximally challenge the
weight-bearing loads are increased (eg, press-ups,
dynamic shoulder restraints.
push-ups, and quadruped exercises).53 The
scapulothoracic muscles are comprehensively condi-
tioned through the use of free weights,27,67 various Stabilization for Multidirectional Instability: Special
resistance machines27,53 (eg, rowing, upright rows, Considerations
and pull-downs, anterior to the frontal plane) and
training activities27,105,106 (eg, throwing movement Postoperative rehabilitation for multidirectional
exercises, blocking and ball defense exercises, and instability is characterized by activity restriction and
water-based exercises) designed to replicate stresses strict range of motion control. Care is taken to pre-
CLINICAL
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COMMENTARY
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