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Neurological
Rehabilitation
Spasticity and Contractures in
Clinical Practice and Research
Rehabilitation Science in Practice Series
Series Editors
Edited by
Anand D. Pandyan
Hermie J. Hermens
Bernard A. Conway
CRC Press
Taylor & Francis Group
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Boca Raton, FL 33487-2742
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Editors..................................................................................................................... vii
Contributors.............................................................................................................ix
2. Pathophysiology of Spasticity..................................................................... 25
Jens Bo Nielsen, Maria Willerslev-Olsen and Jakob Lorentzen
Index...................................................................................................................... 289
v
http://taylorandfrancis.com
Editors
vii
viii Editors
ix
x Contributors
CONTENTS
1.1 Introduction.....................................................................................................1
1.2 Definition of Spasticity...................................................................................2
1.2.1 Can the Words Increased Tone/Hypertonia and Spasticity
Be Used Interchangeably?.................................................................3
1.2.2 Developing the Framework for Defining Spasticity.......................6
1.2.2.1 Increased (Hyper-Excitable/Exaggerated) Reflexes........8
1.2.2.2 Spasms and Clonus..............................................................8
1.2.2.3 Altered Tone or the Response of a Relaxed Muscle
to an Externally Imposed Stretch......................................9
1.2.2.4 Abnormal Movement Patterns and Co-Contraction..... 12
1.2.3 The Classification and Definition of Spasticity in Upper
Motoneuron Syndrome.................................................................... 13
1.2.4 Contractures in Patients with Upper Motoneuron Syndrome......14
1.2.5 The Measurement of Spasticity and Contracture........................ 17
1.2.6 Concluding Thoughts....................................................................... 19
References................................................................................................................ 21
1.1 Introduction
Spasticity is a clinical condition that is expected to develop following a lesion
in the descending tracts of the central nervous system (CNS), at any level (i.e.,
cortex, internal capsule, brain stem, or spinal cord) (Burke [1988]). It is a com-
mon neurological impairment with a reported prevalence of between 20%
and 80% (this will depend on the population under study and the method
of measurement), which is considered clinically important (see subsequent
chapters for disease-specific data). Not all spasticity is considered trouble-
some to patients; however, a significant number of patients with spasticity
will require treatment. Treatment of spasticity is often driven by goals aimed
1
2 Neurological Rehabilitation
1.2 Definition of Spasticity
The observations of Landau (1974) that the term spasticity has become such
a habitual part of neurological jargon that no one is expected to define it remains
true today in practice (Landau [1974]). What is more challenging is that this
behaviour appears also to have permeated the published research! In his
editorial, Landau (1974) provides six variations to the definition of spasticity
found in the literature. Unfortunately, since then, many more have appeared
(e.g. Lance [1980a,b,c]; Sanger et al. [2003]; Pandyan et al. [2005]; Malhotra et
al. [2009]).
Currently, there is agreement that spasticity is a condition that can develop
following an upper motoneuron lesion. Most texts would suggest that the
sensory motor problems following an upper motoneuron lesion, of any
origin, can be classified as having positive features and negative features
(Pandyan et al. [2009]). This particular approach to classification can be traced
back to the work of Hughlings Jackson (York and Steinberg [2007]), who con-
sidered that the positive features were associated the exposure of activity
that was previously inhibited by the nervous system and the negative fea-
tures result from the loss of higher-level excitatory control. This classification
was based on Jackson’s thinking of the nervous system as being hierarchical,
with the higher levels having modulatory control over the lower levels. Table
1.1 summarises the features of the upper motor syndrome as commonly
Definition and Measurement of Spasticity and Contracture 3
TABLE 1.1
A Summary of the Positive and Negative Features Associated with the Upper
Motoneuron Syndrome, as Commonly Reported in the Literature
Positive Features Negative Features
Increased reflexes Weakness
Spasticity Fatigueability
Altered tone Loss of dexterity (motor control)
Spasm & clonus
Abnormal movement patterns & co-contraction
reported in the literature and the text, and it is important to note that spastic-
ity was only considered as one feature of the upper motoneuron syndrome.
Spasticity is derived from the Greek root word spastikos, which means draw-
ing or tugging. If one reads the literature from the time of 1830 (see Chapter 4),
it appears that the term spasticity is often associated with a ‘resistance one feels
when passively moving/mobilising a limb segment’ and was also associated
with the terms tone and rigidity (Siegel [1988]). Although a variety of descrip-
tions exist in the literature, the first formal definition appears in the works of
Denny Brown, where he defines spasticity in capsular hemiplegia as the pres-
ence of a soft yielding resistance that appears only towards the end of a passive stretch,
and is associated with increased amplitude stretch reflex (Denny-Brown [1966]). Two
decades later, in a series of post-conference discussions and a presentation,
Lance (1980a,b,c) put forward a series of definitions for the term spasticity. Of
the three definitions, the one that is most commonly cited defines spasticity as
a motor disorder characterised by a velocity dependent increase in tonic stretch reflexes
(muscle tone) and increased tendon jerks resulting from disinhibition of the stretch
reflex, as one component of an upper motoneuron lesion (Lance [1980b]).
However, the literature still appears not to have any form of consensus
with respect to a definition (Pandyan et al. [2005]; Malhotra et al. [2009]).
When the literature was last reviewed, approximately a third of the litera-
ture equated spasticity with increased or altered muscle tone or hypertonia
(and this will be discussed in Section 1.2.1). A third of the literature defined
spasticity according to the Lance (1980b) definition (as cited above) or some
minor variation. A third of the literature did not define the term spasticity at
all, suggesting that not much has been learnt since Landau (1974) or the more
recent article from Thilmann (1993). Accordingly, and before we progress to
discussing a framework for defining spasticity, it is important to first deal
with use of the term (high) tone as a synonym for spasticity.
[1838]). It is fascinating to read the summary of Cobb and Wolf (1932) follow-
ing the First International Congress of Neurology:
It is frustrating that we appear not to have learnt very much from the preci-
sion in the literature of the past. There is now clear evidence that in a state
of rest skeletal muscles are electrically silent and that there is good reason to
believe that the advice of Cobb and Wolf (1932) is just as appropriate today
as it was then. However, asking for people to change entrenched behaviour
is unlikely.
There are currently two separate definitions of the term tone that are
acknowledged:
• The first equates tone with the resistance one feels when passively
moving a limb segment about a joint.
• The second equates tone with the readiness to act.
The term hypertonia (or high tone) is related to the first definition of tone (i.e.,
an increased resistance that one encounters during passive limb displacement).
The assumption being made is that any resistance encountered to an exter-
nally imposed passive movement is due to an increased activation of muscles
(e.g. Sanger et al. [2003]). There is now ample evidence that such an assumption
cannot be made (Malhotra et al. [2008]). The resistance that one encounters is
often associated with changes in the biomechanical properties of soft tissues
and joint structures (Figure 1.1). In certain circumstances, increased muscle
activity can contribute to this increased resistance in the absence of any form
of soft tissue and joint changes, but this is rare (Figure 1.1).
The term hypotonia is often related to both definitions of tone. If one
considers the argument in support of a condition of hypotonia against the
first definition of tone then the hypothesis one has to consider is that the
resistance to passive movement in people with hypotonia is lower than nor-
mal. This does make the assumption there is ‘normal tone’. The evidence is
clear: in a relaxed state there is no electrical activity in muscles. The stiffness
measured in patients with a dense flaccid paralysis is also not very different
to people who have no neurological deficits (Barnaby et al. [2002]); Kumar
Definition and Measurement of Spasticity and Contracture 5
100 100
70 70
Force (N)
Force (N)
40 40
10 10
20 38 56 74 92 110 128 146 164 182 200 20 38 56 74 92 110 128 146 164 182 200
–20 –20
–50 –50
Angle (degrees) Angle (degrees)
Pre Pre
Lin. reg pre Lin. reg pre
Post Post
Linear reg post Linear reg post
(a) (b)
FIGURE 1.1
Recording of stiffness at the elbow (the slope of the force angle curve) measured before and
after injection of Botulinum Toxin – A (BoNT-A). The trace in gray is before injections and
the trace in black is four weeks after injections. Both patients are responders to treatment of
botulinum toxin, i.e., the injections suppressed the stretch-induced activation of muscles. In
the patient with no contractures (left-hand pane [a]; discussed in Section 2.3) the stiffness was
influenced by the abnormal muscle activity associated with spasticity (stiffness pre-injection
was 0.4 N/deg and post-injection was 0.2 N/deg). Note also that in this patient a catch fol-
lowed by a release can be seen. However, in the patient with the established contractures
(b) there was no change in stiffness, suggesting that the spasticity had no contribution to the
resistance to passive movement (stiffness pre-injection was 1.1 N/deg and post-injection was
1.0 N/deg). (With permission from Pandyan AD et al. [2009] Spasticity, The New Encyclopedia
of Neuroscience. Squire LR, ed. Vol 9. Oxford: Academic Press, pp. 153–163.)
et al. [2006]). In the circumstances, the argument that people with low tone
have lower-than-normal resistance to an externally imposed movement is
untenable. The other argument links the definition of hypotonia to the sec-
ond definition of tone (i.e., the muscles can be activated with a smaller-than-
normal stimulus or the muscle is not in a state of readiness to act). This is a
more complex problem to deal with. In some patients with an upper moto-
neuron lesion there is evidence that a smaller-than-normal stimulus (proprio-
ceptive, cutaneous, etc.) can trigger the activation of an involuntary response
of either an isolated muscle or a group of muscles (see Chapter 2). However,
such patients are often treated, contradictorily, as hypertonic not hypotonic.
One then has to consider whether patients with hypotonia have a lower-than-
normal ‘readiness to act’ and the only interpretation left is that such a person
does not have an ability to act, i.e., they are paralyzed. It is important to high-
light that the original articles on rigidity and spasticity use two specific terms:
hypertonic paralysis and hypertonicity in paralysis. The former term is used to
describe patients who were unable to voluntarily activate muscles (paralysis)
and whose muscles are in a state of contraction. The latter term is used to
describe patients who are unable to activate muscles voluntarily (paralysis) but
an examiner is able to elicit or observe reflex muscle activation (Bennett [1887]).
6 Neurological Rehabilitation
20 –10º 10º
PF DF
16
25º.s–1
Torque (N.m)
Affected
12 limb
8
5º.s–1
4
FIGURE 1.2
Stiffness measured at the knee joint using two different velocities. The authors Singer et al.
(2003) have clearly demonstrated that changes in velocity-dependent stiffness can be inde-
pendent of spasticity. (With permission from Singer B et al. [2003] Velocity dependent passive
flexor resistive torque in patients with acquired brain injury. Clinical Biomechanics 18:157–165.)
The SPASM Consortium (Pandyan et al. [2005]), after reviewing the litera-
ture came to the conclusion that the term spasticity was being used to refer
to a range of signs and symptoms associated with the upper motoneuron
lesion. This is probably true of clinical practice too, and anecdotal evidence
from discussions with students, researchers and clinical practitioners con-
firms that this is the case. If one were to ensure that all of the relevant lit-
erature associated with the term spasticity was to be reviewed, then there
was a need to develop a definition that was sufficiently broad so as to be
inclusive of all of the clinical manifestation but adequately specific to focus
on the neurological basis of the phenomenon. The consensus definition that
was agreed defined spasticity as disordered sensori-motor control, resulting from
an upper motoneuron lesion, presenting as intermittent or sustained involuntary
activation of muscles. This definition then meant that spasticity was no longer
a term used to denote one component of the upper motoneuron syndrome
(as described in Table 1.1) but all of the positive features upper motoneuron
syndrome (Table 1.2).
TABLE 1.2
The Redefining of Spasticity by the Spasm Consortium Resulted in a Definition
That Was a Reflection of Both the Literature and Clinical Practice
Spasticity as Defined by SPASM
Positive Features Consortium
Increased reflexes Increased reflexes
Spasticity Spasm and clonus
Spasm and clonus Altered tone
Altered tone Abnormal movement patterns
Abnormal movement patterns & co-contraction and co-contraction
8 Neurological Rehabilitation
‡ Although we are not comfortable with this term it will be used until a suitable alternative can
be found (this is unlikely to happen!).
10 Neurological Rehabilitation
EMG (mV)
S_Vel S_FEMG
200
F_Vel F_FEMG
Velocity during 0.04
100 slow movement
0.02
0 EMG during slow movement
–1.818 4.406 × 10–3
–100 0
–80 –60 –40 –20 0 20 40
–64.139 S_Angle, F_Angle, S_Angle, F_Angle, 36.153
Angle (deg)
Slow velocity
Fast velocity
Slow_flexor EMG
(a) Fast_flexor EMG
Velocity during
60 fast movement 0.2
Velocity (deg/s)
EMG (mV)
S_Vel EMG during S_FEMG
40 Velocity during fast movement
F_Vel slow movement F_FEMG
20 0.1
0
EMG during
–5.31 slow movement 4.309 × 10–3
–20 0
–100 –80 –60 –40 –20 0
–97.38 S_Angle, F_Angle, S_Angle, F_Angle, –10.003
Angle (deg)
Slow velocity
Fast velocity
Slow_flexor EMG
(b) Fast_flexor EMG
FIGURE 1.3
Images recorded from the Biceps Brachii muscle of stroke patients. The elbow joint was fully flexed
and then extended using a ‘ramp and hold’ method (Rymer and Katz [1994]). The hold was <5 sec-
onds in duration. Two velocities were used to stretch the joint (an uncontrolled slow velocity and
an uncontrolled fast velocity as annotated on the respective graphs). The EMG during movement
was also collected and the corresponding EMG traces are annotated on the respective graphs. The
EMG activity was notch-filtered (50 Hz) and then smoothed using an RMS procedure as described
in the source article. (a) This graph shows a velocity-dependent response to an externally imposed
movement. There is very little EMG activity during the slow movement; however, there is a large
burst of activity during the fast movement. The EMG activity starts to drop off towards zero at the
end of the stretching movement. (b) This graph shows a position-dependent response to an exter-
nally imposed movement. The EMG activity increase as the muscle is stretched and the activity
remains elevated during the hold phase. It is also important to note the EMG activity during the
quick stretch starts earlier in the range of movement. (Continued)
Definition and Measurement of Spasticity and Contracture 11
EMG (mV)
S_Vel S_FEMG
100 Velocity during 0.15
F_Vel slow movement F_FEMG
0.1
0
0.05
EMG during
–5.04 slow movement 9.557 × 10–3
–100 0
–60 –40 –20 0 20 40 60
–48.161 S_Angle, F_Angle, S_Angle, F_Angle, 40.704
Angle (deg)
Slow velocity
Fast velocity
Slow_flexor EMG
(c) Fast_flexor EMG
Velocity during
Velocity (deg/s)
100 0.06
S_Vel fast movement S_FEMG EMG (mV)
Velocity during
F_Vel slow movement F_FEMG
50 0.04
0 0.02
EMG during fast
–7.425 movement 0.012
–50 0
–140 –120 –100 –80 –60 –40 –20
–122.589 S_Angle, F_Angle, S_Angle, F_Angle, –27.948
Angle (deg)
Slow velocity
Fast velocity
Slow_flexor EMG
(d) Fast_flexor EMG
150
100 Angle
Angle
Force
EMG(Flexors)
EMG(Extensors)
FIGURE 1.4
A figure illustrating the phenomenon of spastic dystonia. A patient demonstrating EMG of the
Biceps Brachii at rest. When the muscle is stretched the EMG activity increases as the stretch on
the muscle is increased and as the stretch is carried out using a quicker speed the magnitude
of the activity increases. It is important to note that in this patient stretching of the extensors
lead to activation of the Triceps Brachii. When the Triceps were active the activity in the Biceps
reduced.
5 3
4
EMG (mV)
EMG (mV)
EMG (mV)
EMG (mV)
Force (N)
Force (N)
Force (N)
Force (N)
2 0.02 0.02 2 0.02 2 0.02
3
2 0.01
1 0.01 0.01 1 0.01 1
1
0 0 0 0 0 0 0 0
– 50 0 50 – 50 0 50 – 50 0 50 – 50 0 50
Angle (deg) Angle (deg) Angle (deg) Angle (deg)
Angle vs Force (slow) Angle vs Force (slow) Angle vs Force (slow) Angle vs Force (slow)
Angle vs Flex or EMG Angle vs Flex or EMG Angle vs Flex or EMG Angle vs Flex or EMG
(ai) (aii) (aiii) (aiv)
EMG (mV)
EMG (mV)
EMG (mV)
Force (N)
Force (N)
Force (N)
Force (N)
3 0.03 3 0.03 3 0.03 3 0.03
2 0.02 2 0.02 2 0.02 2 0.02
1 0.01 1 0.01 1 0.01 1 0.01
0 0 0 0 0 0 0 0
–50 0 50 –50 0 50 –50 0 50 –100 –50 0 50
Angle (deg) Angle (deg) Angle (deg) Angle (deg)
(bi) (bii) (biii) (biv)
5
4 0.04 4 0.04 4 0.04 4 0.04
EMG (mV)
EMG (mV)
EMG (mV)
EMG (mV)
Force (N)
Force (N)
Force (N)
Force (N)
3 0.03 3 3 0.03 3
FIGURE 1.5
The relationship between spasticity, contractures, and function. Graphs illustrating the observation
that the person most prone to developing a contracture is a patient who has not regained functional
movement and who also has concomitant spasticity (graphs ci to civ). Patients who (a) have spastic-
ity and yet recover function (graphs ai to aiv) and (b) have no function and no spasticity (graphs bi
to biv) appear not to develop contractures. In all the graphs above, stiffness (a plot of angle vs. force)
is indicated in gray and stretch-induced muscle activity from the forearm flexors (a plot of angle vs.
EMG activity) is indicated in black. The graphs were plotted for slow movement (ai, aiii, bi, biii, ci, ciii)
and the fast movement (aii, aiv, bii, biv, cii, civ) (unpublished observations from Cameron et al. [2014]).
Measurements were taken at the forearm flexors of the wrist less than two weeks after the stroke
(subscript of I and ii) and repeated six months after stroke (subscripts iii and iv). A patient present-
ing with velocity-dependent spasticity (ai, aiii, aiii, aiv). This person on admission after stroke, had a
NIHSS score of 18 and an action research arm test (ARAT) score of 1. At six months after stroke the
patient had a Barthel index of 15 and an ARAT score of 57. Contractures were assessed during slow
movement (i.e., the range of movement at the wrist had not changed and the stiffness at baseline
and at six months was 0.014 N/deg and at six months was 0.011 N/deg) and there was no evidence
that contractures had occurred. A patient presenting with no spasticity (bi, biii, biii, biv). This person,
on admission after stroke, had an NIHSS score of 17 and an ARAT score of 0. At six months after
stroke the patient had a Barthel index of 18 and an ARAT score of 0. Contractures were assessed
during slow movement (i.e., the range of movement at the wrist had not changed and the stiffness
at baseline and six months were both 0.009 N/deg) and there was no evidence that contractures had
occurred. A patient presenting with a combination of velocity and position-dependent spasticity
at the initial measurement (ci, ciii) and position-dependent spasticity, with potential signs of clonus
at the second measurement (ciii, civ). This person on admission after stroke had an NIHSS score of
13 and an ARAT score of 0. At six months after stroke the patient had a Barthel index of 3 and an
ARAT score of 1. Contractures were assessed during slow movement (i.e., the range of movement
at the wrist had reduced by about 50% at the six-month measurement; the stiffness had increased
from 0.007 N/deg at baseline to 0.047 N/deg at six-months) and there was unambiguous evidence
that contractures were established.
16 Neurological Rehabilitation
are three possible factors that can contribute to a person holding a limb in a
shortened position: (a) spasticity, (b) pain and (c) reduced cognitive ability.
The literature seems to suggest that contractures, when they occur, are
more common at the ankle and the wrist when than at other proximal joints
(Sackley et al. [2008]).
If one were to explore the data from animal models and the few longitu-
dinal data in adult patients with acquired brain injuries, including stroke,
it can be found that contractures can develop quiet rapidly, i.e., within 4 to
6 weeks after a stroke (Malhotra et al. [2011]). This is also the time window
within which spasticity is expected to develop. This is an important consid-
eration when one has to start measuring or treating patients.
Definition and Measurement of Spasticity and Contracture 17
When you can measure ... you know something about it – but when you cannot
measure ... your knowledge is of a meagre and unsatisfactory kind: it may be the
beginning of knowledge but you have scarcely, in your thought, advanced to the
stage of science whatever the matter may be (Lord Kelvin, 1889).