Neurol Clin 25 (2007) xixii

Preface

Kerry H. Levin, MD
Guest Editor

Neck and back disorders are pervasive medical problems in our society.
These disorders are seen in every neurologists practice and occur in every
neurologists family. It was estimated in 1997 that $25 billion per year
was spent in the United States on medical care for back pain and an additional $50 billion was spent for disability and lost productivity. It has been
stated that low back pain is the second leading cause for medical visits. Patients go to chiropractors, family practitioners, internists, rheumatologists,
physiatrists, orthopedists, neurosurgeons, and neurologists for their spine
disorders.
Over the last 10 to 20 years, clinical, neuroradiologic, and surgical and
nonsurgical interventional approaches to the diagnosis and treatment of
spine conditions have proliferated, and thousands of articles have been published on these subjects. The number of careful scientic studies on these
topics remains relatively small, however. For the practitioner, it is dicult
to nd the best strategy for a given patient, because so many experts
recommend so many dierent approaches. In addition to the traditional
medical treatments, alternative approaches have entered the mainstream.
Complementary treatments, such as spinal manipulation, massage therapy,
and acupuncture, are reimbursed by several medical insurance providers.
However, the little scientic scrutiny that has been applied to assessing their
eectiveness has not been widely publicized to the professions or lay public.
The purpose of this issue is to review the current understanding and practice of the neurologic care of spinal disorders. Wherever possible, systematic
reviews and controlled studies have been highlighted to aid in the analysis of
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xii

PREFACE

the eectiveness of current diagnostic and therapeutic approaches. Covered

topics include basic anatomic concepts, elements of an appropriate history
and examination, diagnostic modalities, such as imaging and electromyography, specic treatment approaches, and chronic pain assessment and
management.
I wish to extend my gratitude to all the experts who contributed to this
issue. I would like to acknowledge the editorial assistance provided by Donald Mumford, Clinics development editor for WB Saunders/Elsevier, and his
editorial sta.
Kerry H. Levin, MD
Neuromuscular Center of the Neurological Institute
Department of Neurology
Cleveland Clinic, 9500 Euclid Avenue
Cleveland, OH 44195, USA
E-mail address: [email protected]

Neurol Clin 25 (2007) 331351

Anatomy and Examination of the Spine

Michael W. Devereaux, MDa,b
a

Department of Neurology, University Hospitals of Cleveland/Case Western Reserve

University, 11100 Euclid Avenue, Cleveland, OH 44106, USA
b
University Hospitals Health System, Richmond Heights Hospital 27100 Chardon Road,
Richmond Heights, OH 44143-1116, USA

A review of the anatomy of the spine in a few pages must, by necessity, be

abridged. This article concentrates on clinically relevant anatomy. For
a more expansive discussion, the reader is referred to the most recent edition
of Grays anatomy [1].
Vertebral column
The structures that form the spinal column must be rigid enough to support the trunk and the extremities, strong enough to protect the spinal cord
and cauda equina and anchor the erector spinae and other muscles, and yet
suciently exible to allow for movement of the head and trunk in multiple
directions. The anatomic organization of the spinal column and related
structures allows for all of this, but at a price, because the combined properties of rigidity and mobility can lead to many problems, particularly at the
level of the cervical and lumbar spine.
The spinal column is composed of 7 cervical, 12 thoracic, 5 lumbar, and 5
fused sacral vertebra, along with 5 coccygeal bones. The cervical, thoracic,
and lumbar vertebrae are similar in structure except for the rst (atlas) and
second (axis) cervical vertebrae. Each standard vertebra is composed of
a body, two pedicles, two lamina, four articular facets, and a spinous process. The atlas is composed of a ring of bone without a body, whereas the
axis has an odontoid process around which the atlas rotates. Between
each pair of vertebrae are two openings, the foramina, through which
pass a spinal nerve, radicular blood vessels, and the sinuvertebral nerves
(recurrent meningeal nerves) (Fig. 1). Each foramen is bordered superiorly
and inferiorly by pedicles, anteriorly by the intervertebral disc and adjacent
vertebral body surfaces, and posteriorly by the facet joint.
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DEVEREAUX

Fig. 1. The foremen. (From Levin KH, Covington EC, Devereaux MW, et al. Neck and low
back pain. Continuum (NY) 2001;7:9; with permission.)

The spinal canal itself is formed posterolaterally by the laminae and ligamentum avum, anterolaterally by the pedicles, and anteriorly by the posterior surface of the vertebral bodies and intervertebral discs. The
midsagittal (anterior-posterior) diameter of the cervical canal from C1 to
C3 is usually approximately 21 mm (range 1630 mm), and from C4 to
C7 the diameter is approximately 18 mm (range 1423 mm). The midsagittal
diameter of the cervical spinal cord is 11 mm at C1, 10 mm from C2 to C6,
and 7 to 9 mm below C6. The midsagittal diameter of the cervical cord normally occupies approximately 40% of the midsagittal diameter of the cervical canal in healthy individuals. This cervical canal midsagittal diameter is
decreased by 2 to 3 mm with extension of the neck, which is of clinical importance in the context of hyperextension injuries in an individual with
a congenitally narrow spinal canal, especially in the presence of additional
narrowing caused by cervical spondylosis. Under such circumstances an
acute cervical myelopathy may result. With regard to the lumbar canal,
the midsagittal diameter is approximately 18 mm. Narrowing as a result
of spondylosis coupled with extension can compromise the cauda equina
and the accompanying vasculature, producing the symptoms of neurogenic
claudication.
The facet (zygapophyseal) joint, unlike the intervertebral disc, is a true
synovial joint. Although it contributesdto a limited extentdto the support
of the spinal column, this joints main function is to maintain stability of the
spinal column by guiding the direction of vertebral movement, a function
that depends on the plane of the facet joint surface, which varies throughout
the spinal column. The joint is subject to degenerative change that results in
enlargement, which, in association with thickening of the ligamentum avum, can contribute to canal stenosis as a component of spondylosis. It is

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333

innervated by branches from the posterior ramus of the spinal nerve. The
exact role of the facet joint in the production of back pain, particularly
low back pain, remains somewhat controversial [2].

The intervertebral disc

The intervertebral disc is a cartilaginous and articulating structure between the vertebral bodies. Intervertebral discs have the dual role of providing the primary support for the column of vertebral bones while possessing
enough elasticity to permit the required mobility of the spine (exion, extension, and rotation). The aggregate of discs together accounts for 25% to
30% of the overall length (height) of the spine. Each disc is comprised of
a ring of elastic collagen, the annulus brosus, which surrounds the gelatinous nucleus pulposus (Fig. 2). The collagen bers of the annulus are
arranged obliquely in alternating directions, in layers (lamellae), which
allows for exibility while maintaining strength. Fifteen to 25 lamellae comprise the annulus [3]. Collagen bers continue from the annulus into the adjacent tissues, which ties this structure to each vertebral body at its rim, to
the anterior and posterior longitudinal ligaments, and to the hyaline cartilage endplates superiorly and inferiorly. The cartilage endplates in turn
lock into the osseus vertebral endplates via the calcied cartilage [4].
The nucleus pulposus is a self-contained, pliable gelatinous structure that
is 88% water in a healthy young disc. It is essentially a hydraulic system that
provides support and separates the vertebrae, absorbs shock, permits transient compression, and allows for movement. As a result of the aging process and injury to the disc, increasing amounts of brous tissue replace
the highly elastic collagen bers of the young, normal, uninjured disc. The
older disc is less elastic, and its hydraulic recoil mechanism is weakened [4].

Fig. 2. The intervertebral disk. (From Levin KH, Covington EC, Devereaux MW, et al. Neck
and low back pain. Continuum (NY) 2001;7:11; with permission.)

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DEVEREAUX

By the fth decade of life, the annulus becomes ssured, with transformation into brous bodies separated by softer substances. Ultimately the disc
deteriorates into a desiccated, fragmented, and frayed annulus brosus
surrounding a brotic nucleus pulposus [4,5].
The intervertebral disc is avascular by the third decade of life, and nutrition is delivered to the disc by diusion. The nucleus pulposus in the normal
adult disc has no nerve supply. The outer lamellae of the annulus brosus
contains nerve endings derived from the sinuvertebral nerves (recurrent
meningeal nerves), however [4,69].
There is debate in the literature regarding nociceptive nerve supply to the
intervertebral disc and what role the disc plays as a generator of back pain.
Korkala and colleagues [8] showed that the nerve endings entering the annulus brosus do not contain substance P and are not nociceptors. The authors
noted that nociceptive nerve endings are located in the posterior ligament
adjacent to the disc. Palmgren and colleagues [9], in a study of normal
human lumbar intervertebral disc tissue, demonstrated that nerve endings
could be found at a depth of a few millimeters, whereas neuropeptide
markers (eg, substance P) revealed nociceptive nerves only in the outermost
layers of the annulus brosus. This study lends support to the concept that
the normal intervertebral disc is almost without innervation.
This nding leads to the question of the mechanism of primary discogenic
pain, particularly in the lumbar spine. Damage to the intervertebral disc can
produce pain, but no consensus exists on the responsible mechanisms. Radial
tears and ssures in the annulus brosus occur as the disc ages. This change
has been linked to the ingrowth of blood vessels and nerve bers, leading to
the concept that the ingrowth of these nerve endings may be the pathoanatomic basis for discogenic pain [6,10]. First, if the ingrowth of nociceptive
nerve bers into the intervertebral disc may be the neuroanatomic substrate
for discogenic pain, then why are most degenerative discs not a source of
pain? For example, discography of degenerative discs does not uniformly induce pain [10]. Because disc degeneration per se is not the basis for discogenic
pain, contributing factors must be at play. Possibly a combination of focal
damage to the annulus brosus, inammation, neoinnervation, and nociceptor sensitization is necessary to induce discogenic pain [11].

Ligaments of the vertebral column

Several ligaments lash the vertebrae together and, along with the intrinsic
paraspinous muscles, control and limit spinal column motion. From a clinical perspective, some of the ligaments are more important than others.
The posterior longitudinal ligament stretches from the axis (named the
membrane of tectoria in the high cervical spine) to the sacrum and forms
the anterior wall of the spinal canal. It is broad throughout the cervical and
thoracic portions of the spine. At the L1 vertebral level it begins to narrow,

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335

however, and at L5 it is one-half its original width. It is attached rmly to

each intervertebral disc by hyalin cartilage endplates, but only in the midline
by a septum to the periosteum of each vertebra. The open space between the
posterior longitudinal ligament and the vertebral body is the anterior epidural space, which is important in disc herniation. The narrowing of the ligament in the lumbar spine inadequately reinforces the lumbar disc, which
creates an inherent structural weakness. This narrowing, coupled with the
great static and kinetic stress placed on the lumbar discs, contributes to their
susceptibility to injury and herniation.
The ligamenta ava is composed of a series of strong paired elastic ligaments that span the space between the laminae, attached to the anterior inferior surface of the laminae above and the posterior superior margin of the
laminae below. Each component stretches laterally, joining the facet joint capsule. The ligament stretches under tension, which permits exion of the spine.
It contains few, if any, nociceptive nerve bers. It can be clinically important
because with age it can thicken and, along with other spondylotic degenerative
changes, can contribute to canal stenosis, which produces myelopathy in the
cervical spine and cauda equina compression in the lumbar spine.
Other ligaments that contribute to the stabilization of the spine include
the anterior longitudinal ligament, the ligamentum nuchae from the occiput
to the cervical vertebra, the infraspinous ligaments, and the supraspinous
ligaments. The occipitovertebral ligaments are dense, broad, and strong
and connect the occiput to the atlas. These ligaments permit up to 30 of
exion and extension around the atlanto-occipital joint. The stability of
the atlantoaxial joints depends almost entirely on ligaments. The transverse
ligament of the atlas helps to contain the odontoid process in place. It is actually stronger than the odontoid process, which means that the odontoid
process fractures before the ligament is torn. The paired alar ligaments attach on either side of the apex and extend to the medial side of the occipital
condyles. The main function of these ligaments is limitation of rotation,
keeping in mind that in the atlas axis there is approximately 90 of the
160 of total head rotation capacity.

The paraspinous muscles

With the exception of the atlas and axis, the range and type of movement
in each segment of the spine is determined by the facet joints, but spine stability and the control of spinal movement depend on muscles and ligaments.
The movement itself, of course, depends on muscle.
The spinal muscles are arranged in layers. The deeper layers comprise the
intrinsic, true back muscles, as dened by their position and innervation by
the posterior rami of the spinal nerves. This is in contrast to the more supercial extrinsic muscles, which insert on the bones of the upper limbs and are
innervated by anterior rami of the spinal nerves.

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DEVEREAUX

The intrinsic muscles are also divided into supercial and deep groups. The
supercial layer is comprised of the paraspinous erector spinae group, which
spans the entire length of the spine from the occiput to the sacrum, and the
splenius muscles of the upper back and neck. This supercial group functions
collectively primarily to maintain erect posture. Deep to the erector spinae is
the transversospinalis muscle group, which is composed of muscles made up
of several smaller muscles that run obliquely and longitudinally. In essence,
they form a system of guy ropes that provide lateral stability to the spine, contribute to maintenance of an erect posture, and rotate the spine. Deepest of all
are the interspinal and intertransverse muscles, which are composed of numerous small muscles involved in the maintenance of posture.
The multiple subdivisions of muscle mass, numerous connective tissue
planes, and multiple attachments of tendons over small areas of vertebral
periosteum help to explain the prevalence of neck and back pain while simultaneously explain the diculty in precisely localizing the source of
that pain. Taking into account this diculty in identifying muscle and tendon injury as the source of pain and the fact that there are other generators
of low back pain besides muscles (eg, fascia, ligaments, facet joint, intervertebral disc), it is no wonder that according to Deyo and colleagues [12], the
source of acute low back pain cannot be identied in 85% of patients. It also
should be noted that when muscle is the source of pain, the pathophysiologic pain-generating process is unclear. In the clinic, muscle spasm is often
the diagnosis made. Muscle spasm is generally dened as a contraction of
muscle that cannot be voluntarily released and is associated with electromyographic activity. Johnson and others [13,14] have taken issue with increased muscle activity as a source of paraspinous pain, noting a lack of
electromyographic evidence indicative of muscle spasm.

Vascular supply to the spinal column and contents

The vertebral column and its contents receive blood supply from segmental medullary arteries. These arteries originate from the vertebral arteries in
the cervical spine and from the posterior intracostal and lumbar arteries in
the thoracic and lumbar portions of the spine, which ultimately originate
from the aorta. Branches enter into the spinal column through the foramina.
Some of the anterior branches are large, such as the great anterior segmental
medullary artery of Adamkiewicz, and anastomose with longitudinal spinal
cord vessels to form a pial plexus on the surface of the cord. The segmental
spinal arteries send anterior and posterior radicular branches to the spinal
cord along the ventral and dorsal roots. The importance of the segmental
arterial blood supply to the spinal cord is amply demonstrated in patients
with a dissection of the aorta, with resultant occlusion of paired branches
feeding segmental branches to the spinal column and cord and resultant
ischemic injury to the cord.

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337

In addition to the segmental arties, the longitudinal paired posterior spinal arteries and the single anterior spinal artery originate from the distal vertebral arteries. Although they run the length of the surface of the spinal
cord, they alone cannot supply the spinal cord and anastomose with segmental vessels along their entire length.
The importance of the anterior spinal artery in the cervical cord is well
known to clinicians. Hyperextension injuries to the neck in association
with cervical spondylosis and canal stenosis can result in occlusion of the anterior spinal artery and ischemia to the anterior two thirds of the cord. Therapeutic cervical manipulation has been associated with mechanical injury to
the spinal cord and distal vertebral artery dissection, which results in posterior cerebral circulation distribution strokes [15].
The nerve supply to the spinal column and related structures
One of the most frustrating aspects of neck and back pain for the physician and patient is the diculty in arriving at a precise cause. As in the case
of acute low back pain, a denite diagnosis cannot be established in 85% of
patients because of weak associations between symptoms, pathologic
changes, and imaging results [12]. It is widely assumed that much nonradiating neck and low back pain is secondary to musculoligamentous injury and
degenerative changes.
Localized cervical and lumbosacral pain is mediated primarily through
the posterior primary ramus and the sinuvertebral (recurrent meningeal)
nerves. The sinuvertebral nerves supply structures within the spinal canal.
They arise from the rami communicantes and enter the spinal canal by
way of the intervertebral foramina [16]. Branches ascend and descend one
or more levels, interconnecting with the sinuvertebral nerves from other
levels and innervating the anterior and posterior longitudinal ligaments,
the anterior and posterior portion of the dura mater, and blood vessels,
among other structures (Fig. 3). This system also may supply nociceptive
branches to degenerated intervertebral discs.
Branches of the posterior ramus provide sensory bers to fascia, ligaments, periosteum, and facet joints (Box 1). The source of deep somatic
neck and low back pain can be the vertebral column itself, the surrounding
muscle, tendons, ligaments, and fascia, or a combination thereof.
Radicular pain, unlike spondylogenic pain, is not mediated by sinuvertebral
nerves or the posterior rami, but rather by proximal spinal nerves. Two major
factors are involved in the generation of radicular pain: compression and inammation. Compression of the nerve root produces local ischemia with possible alteration in axoplasmic transport and edema. Ischemia may have
a particular impact on large mechanoreceptor bers. Because of their large
diameter, these bers have greater metabolic activity and are more sensitive
to reduced blood ow. This reduction can result in the loss of inhibitory
pain impulses and lead to preferential nociceptive input into the spinal cord.

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DEVEREAUX

Fig. 3. The sinuvertebral nerve. (From Levin KH, Covington EC, Devereaux MW, et al. Neck
and low back pain. Continuum (NY) 2001;7:13; with permission.)

Compression alone can produce paresthesia and some radicular pain;

however, compression and traction in the presence of chronic inammation
produces more prominent radicular pain. The origin of the inammatory
response itself may be neurogenic or immunologic. In the case of disc

Box 1. Pain-sensitive tissues in the spine

Skin, subcutaneous tissue, and adipose tissue
Capsules of facet and sacroiliac joints
Ligaments: longitudinal spinal, interspinous (mainly posterior),
flaval (minimal innervation probably not clinically
significant), and sacroiliac
Periosteum: vertebral bodies and arches
Dura mater and epidural fibroadipose tissue
Arterioles that supply spinal and sacroiliac joints and vertebral
cancellous bone
Veins: epidural and paravertebral
Paravertebral muscles: perivascular unmyelinated nerve endings
in the adventitial sheaths of intramuscular blood vessels
Data from Levin KH, Covington EC, Devereaux MW, et al. Neck and low back
pain. Continuum (NY) 2001;7:13.

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339

herniation with nerve root compression, the normally avascular nucleus pulposus comes into contact for the rst time with the immune defense mechanism, which results in autoimmune-induced inammatory response in the
region of the spinal nerve.
Radicular, radiating pain secondary to disc herniation is the product of
spinal nerve compression and local inammation. The normal disc itself
may not contain nociceptive nerve bers and is insensitive to pain. When
the nucleus pulposus ruptures through the annulus brosus, there is little
or no localized pain until nociceptive bers of the sinuvertebral nerves in
the lateral posterior ligament and the dura of the nerve root sleeves are stimulated. This stimulation generates localized back and neck pain. Understanding the role of (1) the sinuvertebral system and the posterior rami in
the generation of localized spine pain and (2) the spinal nerve and the generation of radiating pain helps to explain why patients with disc herniation
develop sciatica only approximately one third of the time. The following
clinical situations also can be more easily understood on this basis:
 Disc herniation visualized on a neuroimaging procedure in the absence
of a history of radicular pain [17,18].
 Weakness in a radicular distribution without signicant radicular pain
secondary to disc herniation, with compression of the ventral root only
 Nonradiating low back pain secondary to disc herniation (with radicular
pain perhaps developing months or years later)
One last generator of spine pain, viscerogenic referred pain (pain that arises
from organs that share segmental innervation with structures in the lumbosacral spine), sometimes eludes clinical neurologists. The quality of pain is often,
but not always, dierent (eg, cramping in quality). Organs that can refer pain
to the low back and sometimes mid-spine include the aorta, pancreas, duodenum, ascending and descending colon, rectum, kidney, ureter, bladder, and
pelvic organs. The abdominal examination is important in the evaluation of
the patient who is experiencing low and mid-back pain.
Neurologic history
History
The history is of critical importance in assessing patients with symptoms
believed to be secondary to cervical and lumbar spine disorders, especially in
persons with a nonfocal neurologic examination. The dierential diagnosis
is frequently based solely on the history in these patients.
Pain prole
Onset
In most instances, patients who present with a history of acute onset of
neck and low back pain have a history of preceding pain, often for weeks

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DEVEREAUX

or months or longer. This is also the case in patients with the acute onset of
radicular pain. The acute onset of cervical or lumbosacral radicular pain in
the absence of any prior history of neck and low back pain is the exception
rather than the rule.
Quality
Variable, nonradiating musculoskeletal back pain is often described as
being deep and aching, whereas radicular pain is usually described as sharp,
jabbing, or lancinating in quality.
Location
Musculoskeletal pain is usually localized to the paraspinous regions. In
the neck, it is generally maximally felt in the paracervical regions, at times
spreading into the shoulders and scapular regions. Lumbosacral pain tends
to be maximal in the paraspinal regions, spreading at times to the anks and
into the buttocks. When cervical roots are involved, the pain generally radiates into the upper extremity. Occasionally the distribution of the pain alone
may be enough to allow localization to a specic cervical root (Table 1). In
the case of lumbosacral radiculopathy, the pain usually radiates into one or
Table 1
Symptoms and signs associated with cervical radiculopathy
Root

Pain
distribution

Dermatomal
sensory distribution

C4

Upper neck

C5

Neck, scapula,
shoulder, anterior
arm

Cape distribution
shoulder/arm
Lateral aspect of
arm

C6

Neck, scapula,
shoulder, lateral
arm, and forearm
into rst and
second digits

Lateral aspect
forearm and hand
and rst and
second digits

C7

Neck, shoulder,
lateral arm, medial
scapula, extensor
surface forearm
Neck, medial
scapula, medial
aspect arm and
forearm into
fourth and fth
digits

Third digit

C8

Distal medial
forearm to hand
and fourth and
fth digits

Weakness

Aected
reex

None

None

Shoulder abduction

Biceps
Brachioradialis

Forearm exion
Shoulder abduction

Forearm exion
Elbow extension
Finger extension

Finger: abduction
adduction exors

Biceps
Brachioradialis

Triceps

Finger exors

Data from Levin KH, Covington EC, Devereaux MW, et al. Neck and low back pain. Continuum (NY) 2001;7:743.

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SPINE

both lower extremities. The distribution of the pain also can occasionally
point to the specic root involved (Table 2). For example, high lumbar
(L2, L3) radiculopathic pain does not radiate distal to the knee, whereas
the pain of an L4 radiculopathy can radiate to the medial leg distal to the
knee. L5 and S1 radiculopathies tend to produce pain that radiates into
the posterolateral thigh and posterolateral leg and often involves the foot.
Pain may be maximum in the medial (L5 radiculopathy) or lateral aspect
of the foot (S1 radiculopathy).
Duration
Mechanical low back pain generally has a duration of days to weeks. Radicular pain often resolves more gradually over 6 to 8 weeks. An extensive
neurodiagnostic evaluation is generally not necessary in this setting. A patient who presents with a history of chronic low back pain, however, requires a careful history to rule out a new problem superimposed over
chronic symptoms that, in the proper setting, may require an immediate
neurodiagnostic evaluation.
Severity
As all clinicians recognize, the severity of pain is often dicult to interpret because it can be colored by several factors, including a patients
Table 2
Symptoms and signs associated with lumbar radiculopathy

Root
L1
L2

L3

L4

L5

S1

Pain
distribution
Inguinal region
Inguinal region
and anterior
thigh
Anterior thigh
and knee

Anterior thigh,
medial aspect
leg
Posterolateral
thigh
Lateral leg
Medial foot
Posterior thigh
and leg and
lateral foot

Dermatomal
sensory
distribution

Weakness

Aected
reex

Inguinal region
Anterior thigh

Hip exion
Hip exion
Hip adduction

Cremasteric
Cremasteric
Thigh adductor

Distal
anteromedial
Thigh,
including knee
Medial leg

Knee extension
Hip exion
Hip adduction

Patellar
Thigh adductor

Knee extension
Hip exion
Hip adduction
Dorsiexion
foot/toes
Knee exion
Hip extension
Plantar exion
foot/toes
Knee exion
Hip extension

Patellar

Lateral leg,
dorsal foot,
and great toe
Posterolateral leg
and lateral
aspect of foot

Achilles

Data from Levin KH, Covington EC, Devereaux MW, et al. Neck and low back pain. Continuum (NY) 2001;7:743.

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DEVEREAUX

personality. Severe low back and neck pain that is not relieved when the patient is recumbent suggests metastatic cancer, pathologic vertebral fracture,
or infection of a vertebra, disc, or the epidural space.
Time of day
Cervical and lumbar radiculopathy frequently present upon awakening in
the morning. Nonradiating pain that tends to be dull during the day is often
the result of mechanical disorders (eg, muscle strain, degenerative disc disease/spondylosis). Tumors of the spine and spinal cord often produce
pain that persists and occasionally increases in the supine position; patients
with lumbar and cervical tumors may have increased pain in bed at night.
Associated symptoms
Several cervical spine disorders that cause localized and radiating pain
into an upper extremity also may produce symptoms secondary to an associated cervical myelopathy (eg, weakness and paresthesia in the lower extremities) and sphincter dysfunction. In the case of low back pain, the
patient should be questioned about abdominal pain and intestinal or genitourinary symptoms.
Triggers
Valsalva maneuvers (eg, coughing, sneezing, and bearing down at stool)
often transiently aggravate lumbosacral and cervical radicular pain. In the
case of cervical radicular pain, lateral head movements to the side of the radiating paindand sometimes to the opposite sidedmay aggravate the pain.
Low back radicular pain is generally made worse by sitting and standing
and often is relieved by lying supine. If pain persists or increases in the supine position, the possibility of spinal metastatic cancer or infection must be
considered. In the case of lumbar canal stenosis, neurogenic claudication
can be brought on by standing erect and walking.
Motor symptoms
In the face of pain, distinguishing between weakness and guarding by the
history alone can be dicult. In the case of low back and lower extremity
pain, however, weakness is suggested by a history of a foot slap when walking or of falls secondary to a lower extremity giving way. With neck pain
radiating into an upper extremity, a history of diculty writing with the
symptomatic extremity and diculty elevating the limb may be useful clues
as to the presence of true accompanying weakness. Although weakness is
usually best appreciated on a neurologic examination, the history is a useful
adjunct in helping to separate weakness from guarding secondary to pain.
Sensory disturbances
Patients with radiculopathy often report numbness, tingling, and even
coolness in the involved extremity. At times, symptoms suggest dysesthesia

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343

and allodynia. The distribution of a sensory disturbance by history, particularly of numbness and tingling, may be even more useful in determining the
presence and localization of a radiculopathy than the sensory examination
itself.
Bladder and bowel disturbances
Symptoms of a hypertonic bladder (ie, urgency, frequency, nocturia, and
incontinence of bladder [or occasionally of bowels]) are often found in association with cervical myelopathy. Sphincter disturbances also may appear
with cauda equina compression and, when acute, always must serve as
a warning of the need for urgent surgical intervention.
Risk factors
Although various risk factors have been associated with an increased incidence of neck and low back pain, knowledge of these risk factors is not
necessarily helpful in evaluating individual patients. Risk factors are better
established for low back pain than neck pain, but many risk factors are common to both, including the following:
 Increasing age
 Heavy physical work, particularly long static work postures, heavy lifting, twisting, and vibration
 Psychosocial factors, including work dissatisfaction and monotonous
work
 Depression
 Obesity
 Smoking
 Severe scoliosis (O80%)
 Drug abuse
 History of headache
Several other factors are commonly thought to increase the risk of low
back and neck pain but probably do not, including






Anthropometric status (height, body build)

Posture, including kyphosis, lordosis, and scoliosis !80%
Leg length dierences
Gender
State of physical tness (although not a predictor of acute low back
pain, t individuals have a lower incidence of chronic low back pain
and tend to recover more quickly from episodes of acute low back
pain than unt individuals).

The pain patient at risk

Although most patients who present with neck and back pain do not need
immediate diagnostic evaluation and initially should be treated conservatively, certain historical features should lead to the consideration of an

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immediate and thorough study of the patient with new onset neck/back pain
with or without radiating pain into extremity. These historical features
include the following factors:









Age O50
Body temperatures O38 C
Neuromuscular weakness
Signicant trauma before the onset of pain
History of malignancy
Pain at rest in the recumbent position
Unexplained weight loss
Drug and alcohol abuse (increased risk of infection and possibly unremembered trauma)

Evaluation in the emergency room

Neurologists generally do not see patients early in the course of low back
pain. Occasionally, however, a neurologist may be called to the emergency
room. It is clear that patients who present to the emergency room with
the acute onset of focal neurologic decits, such as weakness in the lower
extremities or bladder and bowel disturbances, require an immediate and detailed evaluation, usually including a neuroimaging procedure. Patients who
present with severe low back pain and abdominal symptoms also should be
evaluated for a leaking aortic aneurysm or other acute abdominal disorders.
Physical examination
The experienced neurologist knows that the neurologic examination of
the patient with neck and low back pain can be altered by the pain itself.
For example, when testing strength, guarding must be taken into account.
Tendon reexes may be suppressed as a result of poor relaxation of
a limb as a consequence of pain. Preparing the patient by explaining each
step of the examination in advance may reduce anxiety and encourage relaxation, thereby reducing guarding and enhancing the reliability of the examination itself.
General examination
The necessity for a general physical assessment in the patient who complains of back pain cannot be underestimated. The presence of a low-grade
fever, for example, may signal infection that involves the vertebral column,
the epidural space, or the surrounding muscle (eg, psoas abscess). Inspection
of the skin for lesions may yield diagnostic information (Box 2). Changes in
the rectal examination, including sphincter tone, anal wink, and the bulbocavernosus reex, may reect changes in the spinal cord or cauda equina,
whereas an abnormal prostate may lead to a diagnosis of prostate cancer
with spinal metastases.

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Box 2. Skin lesions and spine pain

Psoriasisdpsoriatic arthritis
Erythema nodosumdinflammatory disease, cancer
Cafe-au-lait spotsdneurofibromatosis
Hydradenitis suppurativadepidural abscess
Vesiclesdherpes zoster
Needle marks (intravenous drug abuse)dvertebral column
infections
Subcutaneous massesdneurofibroma, lymphadenopathy
Data from Levin KH, Covington EC, Devereaux MW, et al. Neck and low back
pain. Continuum (NY) 2001;7:18.

The abdominal examination may be particularly important. The presence of

abdominal tenderness, organomegaly, or a pulsatile abdominal mass with a bruit
in a patient with low back pain should immediately direct an urgent diagnostic
evaluation, which may lead to a potentially lifesaving diagnosis, such as a leaking
abdominal aortic aneurysm. In patients with low back pain and claudication,
evaluation of the peripheral pulses in both lower extremities is essential to help
distinguish neurogenic claudication from vascular claudication.

Neurologic examination
Low back pain
Inspection of the low back can be of value. The presence of a tuft of hair
over the lumbar spine suggests diastematomyelia/spina bida occulta. Percussion may produce pain over an infected area or at the site of a malignancy. Palpation of the paraspinous muscles may demonstrate spasm as
a cause, or accompaniment, of acute low back (and neck) pain. The concept
of spasm itself as a cause of back pain has been challenged.
Posture while standing may be altered by a herniated lumbar disc. Splinting with list away from the painful lower extremity is seen with lateral lumbar disc herniation, whereas list toward the painful side can be seen with
medial herniation. Tilting the trunk to the side opposite the list can cause
additional nerve root compression, with resultant accentuation of radicular
distribution pain. Patients with neurogenic claudication secondary to compression of the cauda equina may tend to stand and walk with the trunk
exed forward, which reduces compression by widening the anteriorposterior dimension of the lumbar canal. Walking with the trunk extended may
accentuate the symptomatology. Lumbar spine mobility is usually reduced
in patients with low back pain, but because there is such wide variability

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DEVEREAUX

as a result of conditioning and age, a measurement of degrees of mobility is

usually not useful. Evaluation of the gait is of fundamental importance to
seeking, for example, evidence of
 An antalgic gait that favors the side of a lumbar radiculopathy
 Foot slap (ie, foot drop) secondary to weakness of dorsiexors of the
foot, found with an L5 radiculopathy
 Trendelenburg gait (drop of ipsilateral side of pelvis as foot is lifted),
which signals proximal (unilateral or bilateral) lower extremity weakness.
Neuromechanical tests are an important adjunct to the traditional neurologic examination in patients with low back pain and sciatica.
 Straight leg raising test: With the patient in the supine position, the
symptomatic lower extremity is slowly elevated o the examining table.
The spinal nerve and its dural sleeve, tethered by a herniated disc, are
stretched when the lower extremity is elevated between 30 and 70 .
This movement accentuates the radiating pain (sciatica). Increased
pain at less than 30 and more than 70 is nonspecic (Fig. 4).
 Lasegue test: A variation of the straight leg raising test. With the patient
in the supine position, the symptomatic lower extremity is exed to 90
at the hip and knee. The knee is then slowly extended, which produces
radiating pain with L5 and S1 nerve root compression.

Fig. 4. The straight leg raising test. (From Levin KH, Covington EC, Devereaux MW, et al.
Neck and low back pain. Continuum (NY) 2001;7:20; with permission.)

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347

 Bragards sign (test): After a positive straight leg raising test, the elevated
extremity is lowered to the point of pain resolution. The foot is then dorsiexed by the examiner. If this movement recreates the pain, the test is
positive (Fig. 5).
 Contralateral (well) straight leg raising test: Performed on the asymptomatic lower extremity, this test has specicity but low sensitivity for
disc herniation.
 Prone straight leg raising test: With the patient in the prone position, the
symptomatic lower extremity is slowly extended at the hip by the examiner. Accentuation of pain in the anterior thigh suggests a high lumbar (L2, L3) radiculopathy (Fig. 6).
 Valsalva test: This maneuver increases intrathecal pressure, which accentuates radicular pain in the presence of spinal nerve compression and
inammation.
 Brudzinski test: With the patient supine, the head is exed by the examiner, which aggravates radicular pain in the presence of spinal nerve
compression.
 Patricks (Faber) test: The lateral malleolus of the symptomatic lower extremity is placed on the patella of the opposite extremity, and the symptomatic extremity is slowly externally rotated. Accentuation of pain
favors a lesion of the hip or sacroiliac joint as the cause for the pain (Fig. 7).
 Gaenslen test: With the patient supine and the symptomatic extremity
and buttock slightly over the edge of the examination table, the asymptomatic lower extremity is exed at the hip and knee and brought to the
chest. The symptomatic lower extremity is extended at the hip to the
oor. Increased nonradiating low back and buttock pain indicates sacroiliac joint disease (Fig. 8).
 Waddell test: Excessive sensitivity to light pinching of the skin in the region of the low back pain suggests a functional component.

Fig. 5. Bragards sign. (From Levin KH, Covington EC, Devereaux MW, et al. Neck and low
back pain. Continuum (NY) 2001;7:20; with permission.)

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DEVEREAUX

Fig. 6. Prone straight leg raising test. (From Levin KH, Covington EC, Devereaux MW, et al.
Neck and low back pain. Continuum (NY) 2001;7:21; with permission.)

Lumbosacral root testing is the essence of the neurologic examination in

patients with back pain and a suspected lumbosacral radiculopathy. Each
myotome and dermatome must be carefully evaluated (Table 2). There are
several pitfalls to be avoided in this portion of the examination. Guarding
secondary to pain may simulate weakness, but this is usually diuse and
not specic to a given myotome. Reexes may be suppressed secondary to
poor relaxation. The sensory examination is usually less useful than the history of the distribution of paresthesia, particularly early in the course of
a radiculopathy.
Neck pain
Inspection of the head and neck, noting reduced spontaneous head movement, head tilt, and neck deformity all raise the possibility of an underlying
vertebral disorder or deformity. Palpation and percussion of the neck, as

Fig. 7. Faber maneuver. (From Levin KH, Covington EC, Devereaux MW, et al. Neck and low
back pain. Continuum (NY) 2001;7:22; with permission.)

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349

Fig. 8. Gaenslen test. (From Levin KH, Covington EC, Devereaux MW, et al. Neck and low
back pain. Continuum (NY) 2001;7:22; with permission.)

with the low back, have a low yield with regard to identifying a specic process, but paracervical tenderness or other changes such as palpation of
a mass oer support of the diagnosis of a vertebral column disorder.
Gait assessment is also important in patients with neck pain, because evidence of myelopathy may appear. Unilateral or bilateral spastic, ataxic, spastic-ataxic, or Trendelenberg gait all signal a possible cervical myelopathy.
Neuromechanical tests, as with low back and lower extremity pain, are
useful in the assessment of patients with neck and upper extremity pain.
 Spurling test: The head is inclined toward the side of the painful upper extremity and then compressed downward by the examiner. Pain and paresthesia that radiate into the symptomatic extremity strongly suggest nerve
root compression, usually secondary to disc herniation. (It should be
noted that lateral head movement away from the symptomatic extremity
sometimes can accentuate pain and paresthesia in the symptomatic upper
extremity, secondary to stretching a compressed nerve root.)
 Traction (distraction) test: Lifting (traction) on the head may relieve
cervical spinal nerve compression and reduce upper extremity pain
and paresthesia.
 Valsalva test: As with low back pain, the Valsalva maneuver with resultant increased intrathecal pressure can accentuate neck and upper extremity symptoms.
 Lhermittes test: In patients with myelopathy that aects the posterior
columns, neck exion can produce paresthesia, usually in the back but
sometimes into the extremities. As is familiar to neurologists, Lhermittes sign is most commonly associated with an inammatory process,
such as multiple sclerosis but it is sometimes noted with spinal cord
compression.
 Adsons and hyperabduction tests: Long used in the evaluation of suspected thoracic outlet syndrome, these tests are nonspecic and unreliable. With the patient sitting erect and the upper extremities at the

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DEVEREAUX

side (Adson) or the symptomatic upper extremity abducted and extended (hyperabduction), the radial pulse is palpated. The test results
are positive if the pulse disappears and paresthesia develops in the
hand of the symptomatic extremity.
Cervical root and spinal cord tests
As with the evaluation of low back pain, cervical root testing is central to
the neurologic evaluation of a patient with neck and upper extremity pain.
In addition to cervical root involvement, the possibility of associated spinal
cord compression makes the examination of the lower extremities essential.
Motor examination
In additional to evaluating the strength of each cervical myotome for evidence of a cervical radiculopathy as such, assessment of strength and tone
of the lower extremities is required to rule out a cervical myelopathy.
Reexes
Cervical radiculopathy and myopathy in combination may result in loss
of a tendon reex at the level of the lesion with heightened reexes below the
level of the lesion. All reexes may be lost with an acute myelopathy during
periods of diaschisis (spinal shock).
Sensation
In addition to testing for a dermatomal pattern of sensory loss, a segmented checking for cord level also should be sought. Spinal cord compression may be associated with paresthesia and sensory disturbance
conned to the upper extremities as a result of a so-called central cord syndrome with involvement primarily of decussating anterior sensory bers [19].
Sympathetic function
Lesions in the superior thoracic spine may aect the T2 spinal nerve and
produce pain in the upper back, shoulder, and proximal upper extremity
along with an ipsilateral Horners syndrome.
Summary
A careful history and physical examination are of primary importance in
the evaluation of a patient with spine pain and related symptoms. It can be
the dierence between sending a patient home with a conservative treatment
plan and admitting the patient for an immediate evaluation and possible
surgery. In this same vein, the history and physical examination can determine if an expensive evaluation is necessary immediately or whether conservative treatment is appropriate rst.

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References
[1] Williams A, Newell RLM. Back and macroscopic anatomy of the spinal cord. In: Standing S,
editor. Grays anatomy. 39th edition. New York: Elsevier Churchill Livingstone; 2005.
p. 72787.
[2] Jackson R. The facet syndrome: myth or reality? Orthop Clin North Am 1992;279:11021.
[3] Boos N, Weissbach S, Rohrbach H, et al. Classication of age-related changes in lumbar
intervertebral discs. Spine 2002;27:263144.
[4] Roberts S, Evans H, Trivedi J, et al. History and pathology of the human intervertebral disc.
J Bone Joint Surg Am 2006;88(Suppl 2):104.
[5] Battie MC, Videman T. Lumbar disc degeneration: epidemiology and genetics. J Bone Joint
Surg Am 2006;88(Suppl 2):39.
[6] Brisby H. Pathology and possible mechanisms of nervous system response to disc degeneration. J Bone Joint Surg Am 2006;88(Suppl 2):6871.
[7] Levin KH, Covington EC, Devereaux MW, et al. Neck and low back pain. Continuum (N Y)
2001;7:1205.
[8] Korkala O, Gronblad M, Liese P, et al. Immunohistochemical demonstration of nociceptors
in the ligamentous structures of the lumbar spine. Spine 1985;10:1567.
[9] Palmgren T, Gronblad M, Virri J, et al. An immunohistochemical study of nerve structures
in the annulus brosus of human normal lumbar intervertebral discs. Spine 1999;24:20759.
[10] Coppes M, Marani E, Thomeer R, et al. Innervation of painful lumbar discs. Spine 1997;
22:23429.
[11] Lotz JC, Ulrich JA. Innervation inammation and hypermobility may characterize pathologic disc degeneration: review of animal model data. J Bone Joint Surg Am 2006;88(Suppl
2):7682.
[12] Deyo RA, Cherkin D, Conrad D, et al. Cost controversy crises: low back pain and the health
of the public. Annu Rev Public Health 1992;12:14155.
[13] Johnson EW. The myth of skeletal muscle spasm [editorial]. Am J Phys Med 1989;68:1.
[14] Mense S, Simons D. Muscle pain understanding is nature, diagnosis and treatment. Baltimore (MD): Lippincott, Williams & Wilkins; 2001. p. 1178.
[15] Devereaux MW. The neuro-ophthalmologic complications of cervical manipulation. J Neuroophthalmol 2000;20:2369.
[16] Groen GJ, Baljet B, Drukker J. Nevers and nerve plexuses of the human vertebral column.
Am J Anat 1990;188:28296.
[17] Boden SD, Davis DO, Dina TS, et al. Abnormal magnetic resonance scans of the lumbar
spine in asymptomatic subjects: a prospective investigation. J Bone Joint Surg Am 1990;
72:4038.
[18] Jensen M, Brant-Zawadzki M, Obuchowski N, et al. Magnetic resonance imaging of the
lumbar spine in people without back pain. N Engl J Med 1994;331:6973.
[19] Voskuhl R, Hinton R. Sensory impairment in the hands secondary to spondylotic
compression of the cervical spinal cord. Arch Neurol 1990;47:30911.

Neurol Clin 25 (2007) 353371

Epidemiology and Risk Factors

for Spine Pain
Devon I. Rubin, MDa,b,*
a

Mayo Clinic College of Medicine, 200 First Street, SW, Rochester, MN 55905, USA
Department of Neurology, Mayo Clinic, 4500 San Pablo Road, Jacksonville, FL 32224, USA

Pain in the low back and neck is one of the most common medical problems in the adult population. It is estimated that between 70% and 80% of
adults experience an episode of low back pain at least once during their lifetime [1,2]. This high prevalence and widespread nature of the problem aect
physicians throughout the medical specialties and it is estimated that between 2% and 5% of the population seeks medical attention annually because of back pain. Patients seek medical consultation not only from their
primary care physicians but also from various physician and nonphysician
subspecialists, including neurologists, neurosurgeons, orthopedic surgeons,
physiatrists, rheumatologists, physical therapists, and chiropractors. In
many instances, patients who have back and neck pain make up the largest
proportion of patients for many of these specialists. Furthermore, it is estimated that back pain is the most common reason for limitation of activity in
the younger population and is the most frequent cause of absences from
work [1,35].
Although the evaluation and treatment of back pain is one of the most
common reasons for patients to seek medical attention, accurate assessment
of the true incidence and prevalence is dicult. The literature is full of studies performed during the past several decades focusing on the epidemiology
of back and neck pain. The wide methodologic variability of the studies,
however, poses several challenges in interpreting the results. For example,
the cohorts from which the epidemiology of back and neck pain have
been studied vary widely and have consisted of patients in the general population or in subpopulations (such as those seen in general medical practices
or in specic work environments), in largely or sparsely populated cities, in
the United States or in other countries, in young or old individuals, and in
* Department of Neurology, Mayo Clinic, 4500 San Pablo Road, Jacksonville, FL 32224.
E-mail address: [email protected]
0733-8619/07/$ - see front matter 2007 Elsevier Inc. All rights reserved.
doi:10.1016/j.ncl.2007.01.004
neurologic.theclinics.com

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RUBIN

individuals involved in a variety of occupations. Another interpretive challenge lies in the inconsistency and lack of standardization of the case denition used to dene back pain in dierent studies, the criteria used to dene
the severity of the symptoms, and the variability in the duration of low back
pain used in the studies. Attempts to standardize the denition of back pain
have led to improvements in the quality of the studies, but even with standardized denitions, comparisons are dicult. Furthermore, most studies
rely on self-reporting the experience of back or neck pain, which is subjective and prone to inaccuracies because of reliance on patient recollection.
As a result of these many variables, extrapolating the results of the studies
in the literature to determine the most accurate prevalence and incidence
rates is dicult and generalizing the ndings may be impossible.
Regardless of the exact prevalence of back and neck pain, spine problems
undoubtedly pose a major medical problem to society. There are many different causes of back pain; however, a specic cause rarely is identied in the
majority of patients. Nonetheless, the identication of factors that may lead
to increased risk for development of back or neck pain is important to ultimately guide individuals who may be more predisposed to experiencing pain
in the use of potential preventative measures. This articlea article reviews the
epidemiology and risk factors for neck and back pain. Because neck pain is
less common and disables a smaller proportion of the population than low
back pain, the epidemiology and risk factors for neck pain are studied much
less extensively than for low back pain. As a result, the focus of the article
predominantly is on low back pain.

Epidemiology
The burden of low back and neck pain to society can be estimated in
epidemiologic studies evaluating the prevalence and incidence of the
conditions. The prevalence refers to the number of patients in a population
who experience pain at a certain point in time. Prevalence can be dened as
the number of people who have pain at a dened point or period of time divided by the total dened population during that time. Prevalence is measured at a single point in time (point prevalence) or over a specic period
of time (period prevalence), such as during 1 month, 1 year, or throughout
an entire lifetime (cumulative lifetime prevalence). The incidence refers to
the number of patients who experience a new episode of pain over a specic
period of time, such as over a 1-year period. Although both parameters assess the burden of the problem, estimation of the incidence focuses on newonset or rst-time development of acute back or neck pain.
Incidence of developing back pain
Most studies that focus on the epidemiology of back pain have concentrated on identifying the prevalence, but the incidence for developing

EPIDEMIOLOGY AND RISK FACTORS FOR SPINE PAIN

355

a new episode of pain also has been studied. The annual incidence of developing an episode of low back pain is reported as low as 4% and as high as
93% [68]. In an epidemiologic survey of adults, ages 20 to 69, in Saskatchewan, Canada, 19% of 318 individuals who did not have a history of back
pain over a period of 6 months before the study developed an episode of low
back pain over a 1-year period, and most episodes were reported as mild in
severity [8]. In another population-based study of adults from a single small
town in Israel, a similar 1-year incidence of 18% was found for developing
low back pain that interfered with regular daily activities and lasted at least
24 hours [9]. When assessed over a 3-year period, the incidence of developing low back pain of any degree or duration in 148 randomly selected
Veterans Aairs (VA) outpatients was 67%, whereas 44% self-reported experiencing an episode of moderately severe pain [10].
Contrary to the high rates reported in some studies, a longitudinal study
of adults in a Canadian population demonstrates the risk for developing
new onset of back pain over 2 years to be only 8% for males and 9% for
females, with an overall incidence of approximately 45 per 1000 person years
[11]. Similarly, a large study of more than 2000 adults who were free of low
back pain during the month before the study found a 12-month cumulative
incidence of only 3% to 5% for a new episode of low back pain for which
patients consulted a physician. The 12-month cumulative incidence was approximately 30% for an episode of back pain, however, for which patients
did not consult a physician [6]. These studies suggest that the incidence of
developing any type of back pain over a 1- to 2-year period may be high,
whereas that of developing pain that is more severe and limits daily activities
or requires medical attention is lower.
Prevalence of low back pain
One of the challenges in comparing dierent studies on prevalence of
back pain is the variation in study populations and in the many factors
that may aect the development of back pain. For example, dierences in
the ages of the populations studied, activity level, psychosocial function,
physical features, and other health status all potentially may contribute to
dierences in the prevalence of back pain in the population. Controlling
for all of these variables to compare dierent epidemiologic studies is
unrealistic. Despite the varying prevalence rates, many studies show that
low back pain is a common and frequent problem in the general adult
population.
The prevalence rates reported for low back pain in the population vary
widely. It is estimated that 15% to 20% of adults experience back pain during a single year and 50% to 80% experience at least one episode of back
pain during an individual lifetime [1,12,13]. A systematic review of studies
in the literature evaluating the prevalence of low back pain between 1966
and 1998 notes that the methods of data collection, sample sizes, response

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rates, and prevalence time frames varied widely, even when strict methodologic criteria were used to include only high-quality studies [14]. In this evidence-based review, the ranges for prevalence rates reported were 12% to
30% for point prevalence studies, 22% to 65% for 1-year prevalence studies,
and 11% to 84% for lifetime prevalence studies [14]. In a similar methodologic literature review during a shorter but similar time period, Loney and
Stratford [15] reported the point prevalence rates for any duration of low
back pain at the time of the surveys to be 4% to 33%, whereas the point
prevalence rates for low back pain lasting greater than 2 weeks were lower.
Prevalence of neck pain
There are fewer population-based epidemiologic studies on neck pain. It
is estimated that one fth of the adult population experiences neck pain over
a 1-year period and two thirds experience neck pain at least once during
their lifetime [16,17]. Other community-based studies report 6-month prevalence rates for neck pain of approximately 40% in the working population
[18,19]. Approximately 18% of the general population visits a health care
professional annually for neck pain and approximately 5% of patients
who have neck pain report signicant disability from the pain [16,20]. Disability from neck pain seems less common than for back pain but still can be
a signicant burden in the population. The prevalence of neck pain increases
with age and is more common in women than men [21].
Prevalence in dierent age groups
Children and adolescents
Most epidemiologic studies of spine pain have focused on adults and
working populations, and back pain in the childhood or adolescent period
has been investigated in less detail. Although generally it is believed that
back pain is uncommon in children and adolescents, several studies have attempted to estimate the prevalence in this population and to determine if the
presence of pain at a young age predicts the presence in adulthood [22]. The
prevalence of low back pain in younger individuals is variable. In a study of
adolescents between ages 11 and 15, 11% to 50% self-reported experiencing
pain in their back [23]. The age of onset of back pain in children is approximately 13 to 14 years, after which the prevalence rates may increase and become similar to the adult prevalence rates in the older adolescent population
[2224]. Although the evidence is conicting, genetic predisposition, socioeconomic status, athletic activities, the presence of scoliosis, and increased
height are factors suggested to increase the risk for back pain in children
[22,25].
Neck pain also is a problem in the adolescent age group, with 15% to
30% experiencing neck pain [26,27]. Symptoms in adolescence are shown
to predict morbidity from neck pain in adulthood [26].

EPIDEMIOLOGY AND RISK FACTORS FOR SPINE PAIN

357

Elderly
Despite the growing elderly population, few epidemiologic studies have
focused on the presence of back pain in the older population. In a survey
of adults age 65 years or older, however, back pain was considered to be
one of the most important factors to aect individual state of health [28].
Back and neck pain is a common problem in the older population, and
the prevalence of low back pain in the older population (O65 years) may
be higher than in younger adults. Several studies show that approximately
one fth of visits to physicians for back problems occur in patients more
than 65 years old [29,30].
Bressler and colleagues [31] systematically reviewed the literature between 1966 and 1999 for studies assessing low back pain in patients older
than 65 years and found the prevalence in the general community to be
13% to 49%. In older patients evaluated in a medical practice setting, the
prevalence was slightly higher, at 23% to 51%. In a study of individuals
ages 70 to102, the 1-month prevalence rate of back pain was 25% [32].
Other studies report similar ndings, with frequent back pain over
a 1-year period occurring in approximately one third of the older population [33]. Back pain consistently is shown to be more frequent in older
women than men [32,33]. The prevalence of back pain decreases signicantly in women over age 85 and men over age 90 [33,34]. The reason
for this decline in the oldest patients may be related to recall bias, the
acceptance of some pain as natural, less reporting of their pain, or
a lesser degree of physical activity. Despite a high prevalence of back
pain in the elderly, most patients experience only intermittent or episodic
pain rather than constant or progressive pain [35]. In one survey of patients between ages 68 and 100, however, 22% of responders indicated
that they experienced back pain on most days [34]. Nonetheless, functional limitation was reported in approximately only 7% of older patients
who had back pain, and most patients were not impaired signicantly by
the pain [33].
The frequency of neck pain decreases after age 50 [19]. The prevalence of
neck pain in older patients (O70 years) is slightly less than low back pain in
one population-based study, with a reported 1-month prevalence of 11% for
neck pain compared with 15% for low back pain [35]. The likelihood of experiencing neck and low back pain together, however, is high in older individuals [35]. Although the prevalence of low back pain is shown to be higher
in older women than men, no gender dierences are found with respect to
the prevalence of neck pain [31,35].
The studies that evaluate the frequency of back and neck pain in the elderly may underestimate the true prevalence rates for several reasons. Factors that may lead to underreporting in this age group include the presence
of cognitive impairment, depression, and decreased pain perception. In addition, elderly patients may have an attitude of not wishing to burden their
caregivers and, therefore, may not complain of pain [31].

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Course of low back and neck pain

The course of back and neck back pain refers to the progression, stabilization, or resolution of pain after the initial onset and diagnosis. Similar to
the diculty in determining the prevalence, dening the typical clinical
course of pain in the population is challenging. Dierences in the terminology used to dene the course of pain, etiologies, treatments, and outcome
parameters confound comparison of prognostic studies. For example, in
some studies, a good outcome may be considered when patients no longer
seek medical attention or return to work, even though the pain may persist,
whereas others dene a good outcome based on complete resolution of pain.
It generally is believed that most episodes of low back pain are self-limiting. It is estimated that approximately 50% of patients who have acute low
back pain no longer are disabled after 2 weeks and 70% recover by 1 month.
Furthermore, nearly 90% of patients recover from an acute episode of pain
by 3 months, leaving only 10% of patients who continue to seek medical
care after 3 months [1,36]. With respect to the prevalence of episodes of
pain lasting various durations, the 1-year prevalence of pain lasting longer
than 2 weeks is 15% and pain lasting 3 to 6 months occurs in only 5% to
10% of patients who have back pain [12].
Several studies have attempted to determine the course of back pain, with
similar reported rates of recovery and progression to chronic pain. In one
study of 530 patients who had low back pain of varying degrees of severity,
resolution of the pain was reported in 27% during a 1-year period [8]. Another review of the prevalence studies in the literature that assessed the
course of back pain found that between 42% and 75% of subjects continued
to experience pain 1 year after onset and between 44% and 78% of subjects
experienced relapses of pain [13]. Another study followed adults who experienced an episode of back pain lasting less than 2 weeks for 12 months,
measuring predominantly days absent from work and the degree of complete recovery of pain, and found that 45% of patients continued to complain of low back pain at the 1-year follow-up, although 50% returned to
work within 8 days after evaluation [37]. Although these nding may be interpreted as indicating that back pain resolves completely within 3 months
in most patients, alternatively they may indicate only that patients continue
to experience pain but simply do not require further medical attention.
The ndings in the literature support the concept that recurrent episodes
of back pain are common and having experienced a prior episode of low
back pain consistently is a strong predictor of future episodes [3,6,7]. In
many instances, new or rst-time episodes often develop into longer and
possibly more disabling episodes over time and eventually into chronic
back pain. The denition of chronic back pain is variable but typically refers
to pain persisting beyond 3 months. Much research has been undertaken to
determine the prevalence of chronic back pain and variable rates are reported. One study nds that 79% of patients who have a new episode of

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359

back pain experience chronic pain, with many experiencing pain lasting
more than 1 year in duration [36]. In a longitudinal study of patients in
the United Kingdom, 20% of patients who did not experience chronic
pain when surveyed in 1996 experienced chronic back pain when surveyed
4 years later [38]. In the initial survey, however, nearly 60% of patients experienced pain somewhere other than in their back, suggesting that previous
chronic pain or poorer general health is predictive of the development of
chronic back pain [38]. Other studies also nd that the point prevalence rates
of low back pain is higher in patients who have experienced previous episodes of low back pain compared with those who do not have a history
of low back pain.
Several other predictors for the transition from acute to chronic back
pain are proposed, including the initial duration of the rst episode of
back pain and the severity of pain. The risk for developing chronic disability
from back pain becomes higher when the duration of the initial episode of
back pain exceeds 14 days [39]. The longer the initial episode of back pain
lasts, the less likely that patients return to work; fewer than 50% of patients
return to work after experiencing back pain lasting longer than 6 months
[40]. Patients who have a prior history of absenteeism from work because
of an episode of back pain, older age, or a prior history of low back pain
likely have a poorer outcome after a single episode of pain and more likely
have persistent or chronic low back pain after an initial episode [37,41]. Patients who have more severe baseline pain are less likely to experience resolution compared with those who have mild baseline pain (10% versus 36%
with resolution) [39]. Other studies suggest that women are more likely to
experience persistent chronic back pain than men, but age had no eect
on the development of chronic pain [38].
The course of neck pain has been evaluated less frequently than that of
low back pain. A 1-year prevalence rate of 11% is reported for neck pain
last more than 1 month. Persistent pain at 6 to 12 months after an episode
of neck pain has been reported in 10% to 37% of individuals, and in one
survey approximately half of the patients who experienced pain at one point
in time continued to experience pain at a 1-year follow-up [4245]. Recurrent episodes of neck pain are common and occur in approximately one
quarter of individuals [44]. These ndings indicate that the course of neck
pain often is one of periods of remission and exacerbation rather than
one of complete resolution.

Risk factors for back pain

Despite the variability in the prevalence rates reported for back and neck
pain in the general population, it is evident that spine pain is a common and
signicant medical condition with a tremendous social and economic impact
on society. Back pain is a leading cause of absenteeism from work,

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temporary disability, and workers compensation; therefore, the nancial

costs to society are enormous. Identifying factors that may increase the
risk for or predispose individuals to the development of back pain is critical
in attempting to reduce the prevalence and ultimately the social impact of
this problem.
Many studies have attempted to identify and evaluate the contribution
of multiple dierent demographic, physical, socioeconomic, psychologic,
and occupational factors to the development of spine pain. There is a signicant limitation in interpreting the literature on risk factors, because
many of the studies rely on self-reported parameters and on statistical correlations of association among large cohorts of the population. Many factors are implicated in the predisposition to the development of pain. One
review notes that more than 55 dierent individual factors and 24 workrelated factors have been studied in relation to back pain [46]. Most of
these factors, however, are assessed only in single or small studies, with
weak and nonreproducible evidence to support a denite association. Several risk factors are evaluated more thoroughly and the results of these risk
factors are discussed in more detail (Box 1) [5,11]. Although not studied in
as much detail as back pain, similar risk factors for neck pain are identied
[21].

Box 1. Risk factors for back pain

Demographic factors
Age
Gender
Socioeconomic status and education level
Health factors
Body mass index (BMI)
Tobacco use
Perceived general health status
Occupational factors
Physical activity, such as bending, lifting, or twisting
Monotonous tasks
Job dissatisfaction
Psychologic factors
Depression
Spinal anatomy factors
Anatomic variations
Imaging abnormalities

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Demographic factors
Age
The prevalence of back pain in dierent age groups is discussed earlier in
this article. The highest rates of back pain consistently are found in the adult
population from the third to the sixth decades, with those experiencing new
onset of back pain more likely to be in the third decade [5,7,11,47]. A systematic review of the literature comparing the prevalence of low back
pain in dierent age groups nds lower prevalence rates in younger adult patients (ages 2035) with rates increasing with age until ages 60 to 65, after
which there is a decline in the frequency of pain [12,15]. Older patients
more likely experience persistent or intermittent neck and low back rather
than new onset of pain than younger individuals [7,45]. As noted previously,
the presence of low back pain in adolescence seems to be a risk factor for the
development of low back pain in adulthood [48].
The causal relationship between age and the development of back pain is
not entirely clear. The high prevalence of back pain in younger adults may
be related to the fact that the younger population is more physically active
in general than older population and the activity may predispose them to developing pain (discussed later) or the eect of back pain on their daily lifestyle may be more pronounced and, therefore, cause them to seek medical
attention more often. With increasing age, more stress and anatomic
changes in the spinal structures also could result in a predisposition for
experiencing more chronic and persistent pain.
Gender
Back and neck pain poses a signicant problem for men and women. Although several studies suggest that women are more predisposed to experiencing back pain than men, the literature does not consistently identify
signicant dierences in the incidences between genders [11,49]. In the older
age population, women have a higher prevalence of low back pain than men,
possibly related to a higher risk for osteoporosis involving the spine [31].
Several reports indicate that women are more likely than men to use health
care for back pain, take more sick days from work, have a poor outcome
after a single episode of low back pain, and develop persistent, chronic pain
lasting more than 3 months [38,41,49].
Neck pain is reported more frequently in women than in men, and
women are more likely to seek medical attention from a health care professional [19]. Chronic or persistent neck pain over a 1-year period is reported
with similar frequency in men and women [45].
Socioeconomic status and level of education
Low socioeconomic status and a lower level of education are associated
with disability retirement from back pain [5052]. In a systematic review of
the literature, Dionne and colleagues [51] found a consistent association of

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increased prevalence of back pain with low educational status. There seemed
to be a stronger eect, however, of education on the duration and recurrence
of back pain than on the onset of pain. Furthermore, the course of back
pain was less favorable in those who had low educational status, with
a poorer outcome in those patients. The incidence of disability retirement
from back pain was seven- to tenfold higher in unskilled workers compared
with skilled workers in a higher social class [50]. Similarly, the incidence of
disability increased by 22- to 25-fold in patients who had less than or equal
to 7 years of education compared with those who had college degrees. In
addition, patients who had a low level of education demonstrated more
misconceptions about low back pain and endorsed pain beliefs associated
with poorer ability to adjust to chronic pain [52].
There are several proposed mechanisms that may account for the relationship between low educational status and back pain. There is a direct relationship between education and socioeconomic status, because the amount
of formal education contributes to the types of jobs individuals may secure
and, subsequently, the types of jobs inuence their socioeconomic status.
The association between socioeconomic status and the development of
back pain disability is not understood completely, although a correlation
between socioeconomic status and other environmental factors, such as
cigarette smoking, obesity, chronic stressful events, dietary habits, and
physical occupations may play a role.
Health factors
Obesity
Obesity or high BMI (O30 BMI) is an independent predictor of the development of low back pain and disability from pain [1,53,54]. The association of BMI on the development of back pain may be stronger in
women than men [55]. Vogt and colleagues [53] reviewed the prevalence
and risk factors in postmenopausal women who had back pain and found
that postmenopausal women who had low back pain had a higher BMI
and weighed approximately 2 to 3 kg more than those who did not have
back pain.
Smoking
Smoking is suggested as a risk factor for the development of back pain,
although the supportive evidence for this association is modest at best.
Smoking has an impact on the musculoskeletal system by several mechanisms, including increasing the risk for osteoporosis and fractures, decreasing bone density, and increasing degenerative changes in the spine. Several
studies identify a higher prevalence of back pain in smokers compared with
nonsmokers [5660]. For example, one study nds that individuals who began smoking at age 16 and continued to smoke moderately or heavily for 17
years had a 90% higher relative risk for back pain at age 33 than

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363

nonsmokers [60]. In another study, smoking for more than 15 years is associated with a higher risk for sciatic pain, but volume of smoking is not a contributing factor, whereas another study nds that smoking volume and
duration were associated with chronic back pain [61,62]. Because most studies do not control for other possible associated variables, the evidence for
a clear causal link between back pain and smoking is not strong. An indirect
stressor eect related to chronic coughing in smokers also is proposed to account for the possible association with back pain [55]. In contrast, other
studies show that smoking is not associated with a signicantly increased
risk for back pain [9,11,55]. It remains unclear whether or not smoking is
a denite risk factor for developing pain.
Health status
Self-rated health status is an important predictor of the development of
back pain in men and women [3,11,35,55,63]. Patients who have a perception
of poorer health are more prone to back pain [11,41,55,63]. In one prospective, longitudinal study of back pain in Canadian adults, the strongest risk
factor for the development of back pain was a self-rated poor overall health
status [11]. Croft and colleagues [55] studied a large population that had low
back pain in the United Kingdom and also found that poor general health at
baseline was the strongest predictor of a new episode of back pain.
Patients who have back pain experience many co-occurring health problems and comorbidities, including bone and joint diseases, migraine headaches, pulmonary diseases, cardiac diseases, and gastrointestinal diseases
[32]. The relationship between these comorbidities and back pain is unclear,
but this association may account for the self-reported poor health status
found in individuals experiencing back pain. Therefore, in the studies that
demonstrate a relationship between the perception of poor health and
back pain, it is likely that the presence of back pain is one of many factors
that lead to the perception of poor health status rather than a direct causal
relationship.
Occupational factors
Occupational and leisurely physical activity
Repetitive physical activities may produce cumulative stress on the spine
and lead to the development of back pain. Athletic activities or repetitive
physical maneuvers that occur with manual labor occupations are suggested
to predispose individuals to back pain [1,64]. It is estimated that 37% of low
back pain worldwide is attributable to occupational risk factors [65]. A systematic review of the literature to assess the evidence related to the type of
physical activity on the development of back pain concludes that there is
moderate evidence to support a relationship between heavy physical work
and manual handling techniques and pain but no evidence for an association
with prolonged standing or sitting [64]. The type, degree, and duration of

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physical activity that individuals perform on a regular basis may aect the
development of back pain; however, studies assessing the level of physical
activity as a predictor of back pain report conicting results.
The types of physical activity performed, from occupational and recreational standpoints, potentially may play a role in the development of neck
and low back pain. Occupations that consist of manual material handling,
such as heavy lifting, moving, carrying, bending, or twisting; those that include long-term static positions, such as sitting; and those that have high exposure to low-frequency whole-body vibration are perceived to apply more
stress on the structures in the spine and are a risk factor for back pain [1,64].
Similarly, work-related risk factors for the development of neck pain include
neck exion, arm posture, sitting for more than 95% of the working time,
twisting or bending of the trunk, and hand-arm vibration [66,67]. Professions, such as those in sales, clerical work, repair, service, and transportation, more likely are associated with back pain than other professional
occupations [5]. Several types of occupations are stratied according to level
of risk for stress on the back; those that are at a low risk include managers,
professionals, and clerical or sales workers, whereas higher-risk professions
include operators, service workers, and farmers [65]. The degree of acute
physical load applied to the back and the cumulative or long-term load to
the back may play a role in the development of pain [64]. Adults whose
job requires standing or walking for more than 2 hours per shift and women
who lift or move more than 25 pounds are more than twice as likely to consult a general practitioner for back pain than those whose jobs are more sedentary and do not require lifting [68].
Another risk factor identied as predicting the progression from acute to
chronic occupational back pain is the need to lift for at least 75% of the
work day [69]. In workers returning to their occupation after experiencing
an episode of back pain, those who were unable to return with light duties
on return to work and those who were required to lift for most of the day
were at a higher risk for developing chronic pain [69].
In some cases, the perception of the degree of physical demand, rather
than the actual degree of activity, may be associated with pain. In one survey of 715 patients who were granted back pain disability, the strongest predictor for developing back pain disability was the patients perception that
their work was physically demanding [63]. Subjects who reported physically demanding work frequently were at higher risk for disability than those
who reported infrequent physically demanding work.
Several studies have surveyed athletes in various types of sporting activities to assess the prevalence of back pain, with conicting results [64]. When
assessed according to specic sports, no increased risk for back pain was
seen in golf, cycling, or athletic training [64]. In a study of cross-country
skiers and rowers, the 1-year prevalence of self-reported low back pain
was higher than in nonathletic controls [70]. Back pain appeared more often
during periods of training and competition.

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In contrast to the evidence suggesting that physical stress may lead to the
development of back pain, other studies report that a lower level of physical
activity is associated with an increased risk for back pain [32]. In one study,
a lower baseline level of sporting activities is associated with a higher likelihood of experiencing back pain episodes [9]. In a another study, however, of
a cohort of adults in the general population evaluating the association of
low back pain and self-reported level of physical activity compared with
their peers, the perceived level of leisurely physical activity in the subjects
who had back pain was not signicantly dierent than those who did not
have pain [55]. The causative nature of a lower physical activity level and
back pain is unclear, and the presence of back pain may be the cause of limitation of physical function rather that a result.
Job satisfaction
Studies also have attempted to assess the role of work satisfaction with
the development of back pain. Although some studies suggest that workplace dissatisfaction is a predictor of back pain, others show that level of
work satisfaction is not associated with an increased risk for back pain
[9,69,71]. In a study of a large population of aircraft employees, the degree
of work satisfaction was associated signicantly with back pain, with subjects who had low work satisfaction 2.5 times more likely to report a back
injury than those who had high job satisfaction [72].
The psychologic work environment also is associated with the experience
of neck and shoulder pain [67]. Secretaries who reported a poor psychologic work environment with poor social support at work were found to
have a higher relative risk for experiencing frequent neck pain compared
with those who reported a good work environment [73].
Psychologic factors: depression
There is a strong association between back and neck pain and depression
[10,7478]. The experience of pain involves a complex interaction of physical, emotional, cognitive, and behavioral components. The ability to cope
with pain relies on emotional and psychologic capabilities, and underlying
depression may aect the mechanism of coping adversely, thereby leading
to an increased perception or experience of pain. Patients who experience
pain, particularly when the precise cause cannot be determined, often feel
hopeless and helpless. The inability to obtain timely or eective relief for
the pain may result further in depression and anxiety. In the acute phase
of back pain, a natural emotional reaction, such as anxiety or worry about
the cause of the pain, may occur. As the pain persists, increasing behavioral
or psychologic reactions may develop, including anger, depression, and somatization. Psychologic changes and depression become more prominent as
back pain becomes more chronic. In individuals who have chronic pain,
a complex interaction between the physical, psychologic, and social

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environments may develop and patients may adopt a sick role, where interaction with their environment, social obligations, and normal responsibilities become more dicult [79]. Patients who have chronic back pain are
approximately 6 times more likely to be depressed than pain-free individuals
[78]. A genetic predisposition to symptoms of back pain and to depression
or anxiety also is suggested as playing a role [80].
In 2000, Linton [77] systematically reviewed the literature related to the
interaction between psychologic factors and the development of back or
neck pain and came to several conclusions. First, a signicant relationship
between stress, distress, anxiety, mood, and depression and neck and back
pain was identied consistently. Second, this relationship existed independently of other variables. Third, psychosocial variables have more impact
than biomedical factors on back pain disability and are linked to the transition from acute to chronic pain disability. In addition, cognitive factors,
such as attitude, passive coping, and fear-avoidance beliefs, also were
related to the development of pain and disability.
Depression, as identied by patient report, also is a predictor of developing low back pain rather than a response to the experience of pain. Several
studies demonstrate that depression is an independent risk factor for the development of back or neck pain and those individuals who have self-reported
depression are twice as likely to develop back pain [10,81]. The degree of pain
may correlate with the development of depression, and individuals who have
more severe pain have a higher likelihood of depression [78].

Spinal anatomy factors

Several anatomic factors can aect the spine, including congenital abnormalities, degenerative changes, scoliosis, osteoporosis, and disk herniations.
Congenital vertebral abnormalities, such as a transitional vertebra or spina
bida occulta, may be contributors to back pain. The presence of a transitional lumbosacral vertebra refers to a total or partial fusion of the transverse process of the lowest lumbar vertebra to the sacrum. A review of
approximately 800 radiographs from male patients who had a 4-week or
more history of low back pain found congenital vertebral abnormalities in
10%, with approximately half being transitional vertebrae and half spina bida occulta [82]. Transitional vertebrae are found in approximately 8% to
30% of young and middle-aged men. The evidence regarding the association
between a transitional vertebrae and the development of low back pain is
conicting [8386]. In several studies, a transitional vertebra is shown to
be the cause of back pain [8385]. Increased prevalence of disk protrusion
or extrusion above the transitional vertebra or altered biomechanics associated with asymmetric transitional vertebrae may account for the pain. Other
studies nd no association between the presence of a transitional vertebra
and any type of low back pain [86].

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The association between disk abnormalities on imaging studies and back

pain is the subject of controversy. Disk disruption is found in approximately
40% of a population with low back pain [87]. Several studies conclude,
however, that the presence of lumbar disk abnormalities often is seen in
asymptomatic subjects and does not predict the development of low back
pain [8890]. In an assessment of 148 asymptomatic VA outpatients followed over a 3-year period, the incidence of low back pain was 67%, and
no signicant association was found between the development of low
back pain and MRI ndings, including endplate changes, disk degeneration,
annular tears, or facet degeneration [10]. Another study nds disk degeneration on MRI in 39% of working males, between ages 20 and 58, with
a higher frequency of disk degeneration in the older patients, but failed to
nd an association between lumbar disk degeneration on MRI and the
presence of low back pain [91]. The ndings of disk extrusion (but not
protrusion) or central spinal stenosis more likely are associated with the development of pain [10].
In a study evaluating the association between radiographic cervical spine
degenerative changes and neck pain or disability, no signicant dierences
were found in the degree of pain between patients who did or did not
have radiographic cervical spine degeneration [92].
Summary
Low back and neck pain remains a common problem and one of enormous social, psychologic, and economic burden. Low back pain aicts
individuals of all ages, from adolescent to elderly populations, and is a major
cause of disability in the adult working population. The risk factors for the
development of spine pain are multidimensional, with physical attributes,
socioeconomic status, general medical health and psychologic state, and
occupational environmental factors all playing a role in contributing to
the risk for experiencing pain.
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Neurol Clin 25 (2007) 373385

Cervical Radiculopathy
David W. Polston, MD
Department of Neurology, Cleveland Clinic, 9500 Euclid Avenue,
Cleveland, OH 44195, USA

Neck pain commonly is derived from a variety of nonspecic musculoskeletal causes, including direct trauma, progressive structural changes
with or without associated systemic disease (eg, rheumatoid arthritis),
chronic stress or strain injury, and degenerative conditions [1,2]. Cervical
radiculopathy is a distinct consideration in the evaluation of any patients
who have neck pain and may be dened simply as an abnormality of a nerve
root, which originates in the cervical spine. James Parkinson (17551824) is
credited with the rst clinical description of this disorder, in 1817, but he attributed it to a rheumatic aectation of the deltoid muscle and the clinical
scenario subsequently has been well described in large patient series for
more than 50 years [3].
Incidence rates for cervical radiculopathy from a population-based study
in Rochester, Minnesota, indicate an overall rate of 83.2 per 100,000, with
a higher incidence in men than women (107.3 per 100,00 versus 63.4 per
100,000, respectively) and peak incidence in the sixth decade of life in both
genders [3]. Compared with the reported annual incidence of neck pain
(14.6%) in a Canadian-based cohort, cervical radiculopathy is less common,
but a systematic approach to its evaluation when encountered is no less important [4]. This article addresses those considerations that are somewhat unique
to cervical radiculopathy in the assessment of patients who have neck pain.

Brief anatomic review

Eight pairs of cervical nerve roots are formed directly from multiple tiny
rootlets that originate directly from the spinal cord. These tiny rootlets coalesce immediately within the intraspinal canal and form the dorsal (sensory) and the ventral (motor) roots. These join together just before
passing through the intervertebral foramen and form the spinal nerve
E-mail address: [email protected]
0733-8619/07/$ - see front matter 2007 Elsevier Inc. All rights reserved.
doi:10.1016/j.ncl.2007.01.012
neurologic.theclinics.com

374

POLSTON

root. On exiting the foramen, the nerve root splits into the small posterior
ramus and the larger anterior ramus (Fig. 1). In contrast to the roots, there
are only seven cervical vertebrae, so cervical roots 17 exit via the foramen
above the corresponding vertebra whereas the eighth root exits below the
seventh cervical vertebra and above the rst thoracic vertebra. An abnormality at the C6-7 neuroforamen, therefore, causes a lesion of the C7 root.
In general, it is as the cervical nerve roots enter the neuroforamina that
they are most susceptible to injury. The neuroforamen are bordered anteromedially by the uncovertebral joint, posterolaterally by the facet joint, superiorly by the pedicle of the vertebral body immediately above, and inferiorly
by the pedicle of vertebral body immediately below. The medial section of
the foramen is derived from the intervertebral disks and the vertebral endplates. The roots originate in close proximity to the level at which they
exit the intraspinal canal. Consequently, the cervical roots generally pass
through the canal in a somewhat more horizontal fashion than the lumbar
roots. This arrangement causes the neuroforamen to originate more medially and the cervical root and the cervical spinal cord to be in close proximity, thereby susceptible to abnormalities of these medial structures (eg,
osteophytes or disk herniations) [5,6].

Clinical evaluation
The hallmark clinical manifestations of cervical radiculopathies are pain,
sensory loss, and motor weakness in the distribution of the aected nerve

Fig. 1. Section of the cervical spine. (From Levin KH. Electrodiagnostic approach to the
patient with suspected radiculopathy. Neurol Clin 2002;20:398. Courtesy of Cleveland Clinic
Foundation, Cleveland, OH.)

375

CERVICAL RADICULOPATHY

root [7]. Antecedent events and putative risk factors, such as physical exertion or heavy lifting, previous cervical or lumbar radiculopathy, smoking,
and trauma, are reported. Patients also frequently develop radiculopathy,
however, with no apparent causative or predisposing factors identied
[3,8,9]. Classically, patients present with some degree of discomfort or
pain that may have developed in an acute to subacute manner. The timing
of onset may vary according to the cause and clinically may be helpful in
predicting the underlying pathology. Disk herniations may develop suddenly, whereas root lesions related to spondylosis may develop more slowly.
The description of the pain itself varies considerably and may be multifaceted, with aching, lancinating, or burning qualities.
The distribution of the discomfort and physical ndings may vary depending on the nerve root involved (Table 1). Historical studies correlating
radiographic, clinical, and surgical data indicate that C7 root lesions are the
most common. A 1957 analysis of 100 cervical radiculopathies found the C7
nerve root involved in 69% of cases. The C6 (19%), C8 (10%), and C5 (2%)
were involved much less frequently [10]. A population-based analysis of cervical radiculopathies in Olmsted County, Minnesota, suggested comparable
results (Table 2). Lesions of the upper cervical roots (C2, C3, and C4) are
uncommon and generally give rise to no motor decit.
In addition to the routine neurologic assessment of strength, tone, muscle bulk, and reexes, several provocative tests are described. These tests

Table 1
Symptoms and signs associated with cervical radiculopathy
Pain
Root distribution

Dermatomal
sensory distribution

C4

Upper neck

C5

Cape distribution
Usually none
Shoulder/upper arm
Lateral aspect of arm Shoulder
abduction
Forearm exion
Lateral aspect
Shoulder
of the forearm,
Abduction
hand, thumb
Forearm exion
and 2nd digit
Forearm pronation

Neck, scapula,
shoulder and
anterior arm
Neck scapula,
shoulder, lateral
arm and forearm
into thumb and
2nd digit
Neck, shoulder,
Dorsal lateral
lateral arm, medial
forearm and
scapula and extensor
hand and 3rd digit
surface of the forearm
Neck, medial scapula,
Medial forearm,
medial aspect of the
hand and to the
arm, forearm and into
4th and 5th digits
the 4th and 5th digits

C6

C7

C8

Motor
decit

Reex
abnormality
None
Biceps
Brachioradialis
Biceps
Brachioradialis

Elbow extension
Wrist extension

Triceps

Finger abduction
Finger adduction
Finger exion

Finger exors

Adapted from Levin KH, Covington, ED, Deveraux MW, et al. Neck and back pain. Continuum 2001;7:15; with permission.

376

POLSTON

Table 2
Frequency comparison for surgically conrmed cervical radiculopathy

C5
C6
C7
C8
C5, C6
C6, C7

Yoss et al

Radhakrishnan et al

n 100

n 561

2%
19%
69%
10%
N/A
N/A

6.6%
17.6%
46.3%
6.2%
10.3%
8.4%

Abbreviation: N/A, lesions not localized in this manner.

Data from Yoss RE, Corbin KB, Maccarty CS, et al. Signicance of symptoms and signs
in localization of involved root in cervical disk protrusion. Neurology 1957;7:67383; and
Radhakrishnan K, Litchy WJ, OFallon WM, et al. Epidemiology of cervical radiculopathy.
A population-based study from Rochester, Minnesota, 1976 through 1990. Brain 1994;117:
32535.

are designed to mechanically induce or alleviate patient symptoms that are

the result of anatomic changes in the spine. Spurlings maneuver may be
the one known most widely [11]. It is performed by an examiner slightly
rotating and laterally bending the head and then applying approximately
7 kg of force to the head. This test is considered positive if it provokes
symptoms. Other maneuvers also are used, such as Valsalvas maneuver
and neck distraction. The usefulness of all of these tests, however, remains
unproved [12].
Radiculopathy may coexist with cervical myelopathy, particularly in the
setting of cervical spondylosis, and should be considered in the evolution of
any patients who have neck pain. Direct questioning, therefore, for symptoms suggestive of myelopathy and close inspection for physical signs of myelopathy should be done routinely (Box 1). Additionally, ominous or
potentially life-threatening conditions (eg, abcess or cancer metastases)
may cause cervical radiculopathy, so red ags (such as fever, chills, history
of cancer, intravenous drug abuse, and so forth) should suggest to an examiner that more urgent attention may be necessary.

Etiologic considerations
Compressive radiculopathies are the most common type of cervical root
lesion encountered. Given their proximity to the mobile structural components of the spine, cervical nerve roots are susceptible to a variety of injuries
and mechanical distortions. Causes of compressive cervical radiculopathy
vary according to the age of the population. Radiculopathies seen in the
younger population most often are related to disk herniation resulting in
direct pressure on an exiting nerve, whereas those in older patients most

CERVICAL RADICULOPATHY

377

Box 1. Clinical features suggestive of myelopathy

Symptoms
Clumsiness of the upper or lower limbs
Generalized sensory disturbances
Stiffness of the upper or lower limbs
Urinary urgency
Bladder or bowel incontinence
Lhermittes sign
Frequent falls
Examination findings
Hyperreflexia
Hoffmanns sign
Increased tone or spasticity
Extensor plantar responses (Babinskis signs)
Gait abnormalities

often are related to foraminal narrowing resulting from the formation of

osteophytes (spondylosis) [6]. Overall, spondylosis accounts for approximately 70% and disk herniation accounts for approximately 20% of all cervical radiculopathies [3]. Focal masses, such as tumors or infectious
processes, also may cause compressive lesions but less frequently.
Disk herniations
The herniation of an intervertebral disk most often is related to the degenerative processes of aging but may occur after trauma. Degeneration
of the disk is a process associated with progressive loss of the proteoglycan
matrix within the disk. This leads to loss of the elasticity and hydration of
the nucleus pulposus (the center portion of the disk). Additionally, the anulus brosis (the outer portion of the disk) undergoes degeneration, resulting
in cracks or ssures in its lamellated structure. These processes and the mechanical loading forces applied over time may predispose adults to disk herniation [13].
Disk herniations may be classied according to the anatomic locations
relative to the vertebra: central, paracentral, lateral, and far lateral. Central
herniations may give rise to compression of the cervical cord, whereas paracentral herniations may give rise to hemicord compression (Brown-Sequard
syndrome). Far lateral and lateral disk herniations may result in compression of the exiting nerve root (and in some cases the dorsal root ganglion),
giving rise to weakness in the myotomal distribution of the aected nerves
[14,15].

378

POLSTON

Cervical spondylosis
The naturally occurring degenerative changes within the spine often are
asymptomatic. The alteration of the biochemical composition of the intervertebral disk may lead to redistribution of the axial load supported by
the cervical spine and loss of the separation of the vertebral bodies [13].
These factors plus the development of osteophytes may culminate in compression of the neural structures, leading to pain and functional loss. The
non-neural structures likely also are pain generators and give rise to mechanical or nonradicular neck pain that results from innervation of some
of these structures by the sinuvertebral (recurrent meningeal) nerves, which
are derived from rami communicantes of the ventral rami [7].
Because nerve root compression and severe degenerative spine disease
may be asymptomatic, all of the factors that contribute to the generation
of pain are not yet understood. Recent studies suggest, however, that local
biochemical changes related to inammatory mediators, such as nitric oxide,
interleukins, and prostaglandins, play a role [12,1618].
Extraspinal compressive radiculopathies
Lesions external to the cervical spinal canal giving rise to injury of the anterior primary rami are uncommon and may be dicult to diagnose. Two
disorders (neurogenic thoracic outlet syndrome and postmedian sternotomy
brachial plexopathy) historically have been classied as lesions of the brachial plexus but likely are related to injury of the cervical anterior primary
ramus after emerging from the foramen [19,20].
Neurogenic thoracic outlet syndrome clinically results in wasting of the
hand, with varying degrees of sensory disturbance and pain. It is caused
by a congenital anomaly that generally consists of a tight tissue band extending from the rst thoracic rib to an elongated C7 transverse process
or, alternatively, a rudimentary cervical rib. This band results in stretching
of bers originating from the T1 and to a much lesser extent the C8 anterior
primary rami (Fig. 2A, B). Because this is a postganglionic lesion, clinically
and electrophysiologically, the sensory bers that originate from these rami
are involved [21].
Postmedian sternotomy lesions may occur after cardiac surgery. The clinical appearance is that of a C8 radiculopathy. Although the causal mechanism
is not well understood, it likely is related to an occult fracture of the rst thoracic rib, which lies immediately inferior to the C8 ventral ramus (see Fig. 2C)
[22]. These lesions generally manifest postoperatively as weakness and sensory disturbances in the distribution of the C8 nerve root. As a result of several factors, these lesions may not come to clinical attention until long after
the procedure and because of the distribution of the symptoms, postmedian
sternotomy lesions may be mistaken for an ulnar neuropathy (at the elbow).
Consequently, clinicians should keep these lesions in mind when evaluating
cardiac patients in the postoperative period [22].

CERVICAL RADICULOPATHY

379

Fig. 2. Pathogenesis of neurogenic thoracic outlet syndrome and postmedian sternotomy lesions. (A) Normal anatomy. (B) The C8 and T1 nerve roots in relation to the congenital ligamentous band in neurogenic thoracic outlet syndrome. (C) The injured C8 nerve root in relation
to the fractured rst thoracic rib in postmedian sternotomy lesions. Roman numerals, level of
vertebral body. Circled numbers, cervical root. FTR, rst thoracic rib. (From Wilbourn AJ.
Brachial plexus lesions. In: Dyck PJ, Thomas PK, editors. Peripheral Neuropathy. 4th ed. Philadelphia: Elsevier Saunders; 2005. p. 1360. Courtesy of Cleveland Clinic Foundation, Cleveland,
OH.)

Noncompressive radiculopathies
Cervical root lesions not related to compression are important to consider, particularly in patients who have predisposing or chronic illnesses.
Potential causes of noncompressive radiculopathies are outlined (Box 2).
These lesions may be related to inammatory changes within the nerve,
Box 2. Potential causes of non-compressive radiculopathies
Infection
Herpes zoster
HIV
Cytomegalovirus
Borrelia burgdorferi (Lyme disease)
Inflammatory
Vasculitis
Sarcoidosis
Diabetic radiculoplexus neuropathy (diabetic radiculopathy/
Bruns-Garland syndrome)
Neuralgic amyotrophy (Parsonage-Turner syndrome)
Neoplastic
Carcinomatous meningitis
Lymphoma

380

POLSTON

the associated connective tissue, and supporting blood vessels or to direct

inltration by the oending agent.
With these lesions, a medical history or physical examination suggestive
of predisposing conditions (eg, a history of diabetes mellitus or skin lesions
suggestive of herpes zoster) usually, but not always, is noted. Additionally,
these conditions often aect the nervous system in a more generalized manner or cause systemic abnormalities. Therefore, signs of a more generalized
neurologic or systemic disease raise the possibility of these conditions. Occasionally, these possibilities may not be considered until alternative diagnoses (eg, spondylosis) are excluded by imaging. Nevertheless, awareness of
these possibilities is important, as disease specic treatment is available
for many of these disorders.
Diagnostic considerations
In general, laboratory testing has little or no value. If a systemic or infectious disorder is considered, limited testing to evaluate the specic possibilities in question is appropriate.
Imaging
It is suggested that given the prevalence of cervical spondylosis (O90%
by the seventh decade), imaging studies are used too frequently in patients
who have isolated neck pain [23,24]. In cases of neurologic decits or abnormalities suggestive of radiculopathy, however, imaging potentially can be
helpful in determining the cause. In some cases, a denite cause cannot be
determined, but assessing the level of abnormality may assist with surgical
planning, if indicated.
Conventional radiographs often are the rst diagnostic tests requested in
the evaluation of neck pain. These may be helpful in assessing for bony abnormalities, such as fractures or instability, particularly in cases associated
with trauma. They are less useful in the evaluation of radiculopathy, however, because of their low sensitivity and specicity in determining the presence or absence of root lesions [25,26].
MRI is the modality of choice in the assessment of cervical radiculopathy
[27]. The inherent contrast between tissues and the various sequencing protocols available allows for dierentiation between various types of soft tissue abnormalities and determination of the cervical level involved. CT
myelography may have some advantages in distinguishing soft tissue from
bony pathology but is more invasive [28].
Electrodiagnostic studies
Electrodiagnostic studies (nerve conduction studies and needle electromyography) commonly are used in the evaluation of neck pain, particularly if
cervical radiculopathy is considered likely. The usefulness of these studies

CERVICAL RADICULOPATHY

381

in the assessment of radiculopathy may vary considerably, depending on the

age of the lesion in question, segmental level of the lesion, and diagnostic approach. In recent years, MRI has supplanted electrodiagnostic studies as the
preferred initial diagnostic test. In the presence of clinical evidence of weakness, however, electrodiagnostic studies may provide valuable information regarding the presence of axon loss and the chronicity, activity, and severity of
the denervation [29,30]. Electrodiagnostic studies also dierentiate radiculopathy from mimics, such as rotator cu disease and entrapment neuropathies.

Treatment
The initial approach to the management of cervical radiculopathy is
nearly identical to that of patients who have nonspecic neck or back
pain. There currently are no randomized, placebo-controlled trials available
comparing the standard nonsurgical treatments [31]. Consequently, care
plans are developed primarily based on cumulative experience, the services
available locally, and the specic preferences of patients. Treatment plans
should be designed to alleviate pain, improve function, and prevent recurrences [32]. They must be tailored to patients, considering their specic
symptoms or functional limitations.
Activity modication
Patients should be educated regarding the cause of their pain and basic
activity modications that may improve it. Simple activity modications
to keep the head and neck in a midline and unexed position may minimize
stress on the cervical spine and thereby relieve pain and reduce root compression. The eectiveness of these measures, however, is unproved [9]. Cervical orthoses (or collars) sometimes are recommended for this same
purpose but should be used for less than 1 to 2 weeks, given the counterproductive eects of prolonged immobilization [12,33].
In the past, complete bed rest had been advocated in the treatment of
lumbar radiculopathy, but more recently, care providers encourage a rapid
return to activity [34]. A similar approach in the acute period of cervical radiculopathy may be advisable but in the most severe cases, a reduced activity
level may be necessary [32].
Medications
Nonsteroidal anti-inammatory drugs (NSAIDs) and acetaminophen
generally are the medications recommended most frequently early in the
course of radiculopathy. These agents are believed to reduce the inammatory response that may underlie the pain in these conditions [18]. NSAIDs
have the potential for renal and gastric toxicity. This is important to
remember in high-risk patients (eg, the elderly or those treated with

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POLSTON

anticoagulants); coadministration of gastric protective agents, such as proton pump inhibitors, may be needed.
Although not proved eective, steroids often are used in the acute period of
radiculopathy as a pulse treatment. Many regimens are described but generally
an initial oral dose (approximately 1 mg/kg of ideal body weight daily) is followed by a tapered reduction over 2 to 3 weeks. Steroids are associated with
side eects, such as impaired glycemic control, worsening hypertension, and
gastritis, but short-term use generally results in few long-term complications [9].
Epidural injections
Few randomized clinical trials are available and those available generally
do not provide assessment with validated outcome measures [12]. Multiple
studies suggest that these injections may be benecial, with decreased pain reported in up to 60% of patients [35]. These procedures may have signicant
complications, although the current use of uoroscopic guidance may minimize the risk [36,37]. This treatment modality is covered in detail in the article
by Levin, elsewhere in this issue.
Traction
Traction has been described for centuries in the treatment of a variety of
spine disorders. It generally involves the use of a system of pulleys or pneumatic devices to provide the force to allow separation of the cervical vertebra and relieve pressure [3840]. In 1995, a systematic review of the
literature regarding cervical traction identied only three randomized studies. Based on available data, no valid judgment regarding this treatment modality could be drawn [41]. Many devices are available, however, and many
care providers consider this modality a standard of care [32].
Surgery
Several procedures are available for the treatment of cervical radiculopathy. The approach used varies according to the location of the lesion, patient age, the overall anatomic structure of the spine (appropriate lordosis
versus kyphosis), and other factors, including surgeon preference [42]. Surgery may be considered for patients who have medically refractory pain or
signs of myelopathy. Progressive neurologic decit resulting from a root lesion is documented to improve with conservative management, so this alone
may not be an adequate indication for surgery [43].
There are limited data from randomized controlled trials available to address the benets of surgery versus conservative management. A recently updated report from the Cochrane Database of Systemic Reviews in 2001 found
only two acceptable studies that address this issue. This review suggests that
in one study of 81 patients, neurologic outcome in regard to pain, weakness,
and sensory decits improved in the short term (3 months), but at 1 year no

CERVICAL RADICULOPATHY

383

dierences between the surgical and nonsurgical groups could be seen. Consequently, it is unclear if the surgical risk is outweighed by any long-term
benet [44].
Recommendations
In general, the prognosis of radiculopathy is considered favorable, with
most patients improving substantially over time [6,12,32]. Epidemiologic
data suggest that up to 90% of patients improve with conservative treatment
alone [3,45]. The natural history of this disorder remains somewhat unclear,
however, given the lack of standardized criteria for the diagnosis of radiculopathy and limited long-term follow-up in many studies. Furthermore, the
lack of comparative randomized, controlled trials assessing conservative and
operative management complicates decision making and hinders the development of standardized evidence-based treatment guidelines. Despite these
limitations, a systematic approach to the evaluation and treatment of cervical radiculopathy is necessary.
Initial evaluation always must include a careful history and thorough examination, for it is based on these that all further clinical decisions are
made. In general, conservative treatment, combining the use of NSAIDs
and physical therapy, is acceptable for the rst 4 to 6 weeks in the absence
of red ags or myelopathy [31]. If pain remains persistent at this point, then
cervical MRI is appropriate. Even in the setting of severe disk herniations,
regression generally occurs, and in cases of cervical spondylosis, the pain
may remit spontaneously, so structural abnormalities alone are not an indication for surgical treatment [46]. Progressive neurologic decits and intractable pain are indications for surgical consultation [47]. In the absence of
these factors, however, conservative management likely yields long-term results similar to those of surgical patients.
Summary
Cervical radiculopathy is a condition encountered commonly, which, despite the use of ancillary imaging and electrodiagnostic tests, remains a clinical diagnosis for which there are no widely accepted or standardized
criteria. Consequently, clinicians must be familiar with its clinical features
and consider it in the dierential diagnosis of any person who has the complaint of neck pain. Clinical improvement is the rule but diligence in assessment is necessary so that appropriate measures may be taken to alleviate
pain and prevent potential long-term morbidity.
References
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Neurol Clin 25 (2007) 387405

Lumbosacral Radiculopathy
Andrew W. Tarulli, MDa,b,
Elizabeth M. Raynor, MDa,b,*
a

Harvard Medical School, 25 Shattuck Street, Boston, MA 02115, USA

b
Department of Neurology, Beth Israel Deaconess Medical Center,
330 Brookline Avenue, TCC 810, Boston, MA 02215, USA

Lumbosacral radiculopathy is one of the most common disorders evaluated by neurologists and is a leading referral diagnosis for the performance
of electromyography. Degenerative spondyloarthropathies are the principal
underlying cause of these syndromes and are increasingly common with
age. The clinical presentation and initial management of lumbosacral radiculopathies of various etiologies are discussed.
Epidemiology
Although precise epidemiologic data are dicult to establish, the prevalence of lumbosacral radiculopathy is approximately 3% to 5%, distributed
equally in men and women [1,2]. Men are most likely to develop symptoms
in their 40s, whereas women are aected most commonly between ages 50
and 60 [1].
Anatomy
Detailed spinal anatomy is discussed elsewhere in this issue by Devereaux;
however, clinically relevant points are reviewed. There are ve moveable
lumbar vertebrae, ve fused sacral vertebrae, and four fused coccygeal vertebrae [3] with intervertebral disks sandwiched between each of the lumbar
vertebrae and between the fth lumbar vertebra and sacrum. The moveable
vertebrae are connected by paired facet joints between the articular processes
of the pedicles and by the anterior and posterior longitudinal ligaments.
The intervertebral foramina are formed by notches in the articular processes
* Corresponding author. Department of Neurology, Beth Israel Deaconess Medical
Center, 330 Brookline Avenue, TCC 810, Boston, MA 02215.
E-mail address: [email protected] (E.M. Raynor).
0733-8619/07/$ - see front matter 2007 Elsevier Inc. All rights reserved.
doi:10.1016/j.ncl.2007.01.008
neurologic.theclinics.com

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of adjacent pedicles of two vertebrae; the disk is anterior and medial to

the foramen.
In adults, the spinal cord terminates at the L1-2 intervertebral level as the
conus medullaris. The nerve roots descend from this point through the spinal canal as the cauda equina and exit eventually through the neural foramina at their respective intervertebral levels. Eleven pairs (ve lumbar, ve
sacral, and one coccygeal) of spinal nerves emerge from the spinal cord in
the lumbosacral region. Ventral roots, containing primarily motor bers,
arise from rootlets, which extend from the ventral gray matter of the spinal
cord. Dorsal rootlets, carrying sensory information, extend centrally from
the dorsal root ganglia that lie outside the spinal cord, within the neural foramen. Just distal to the intervertebral foramen, the dorsal and ventral roots
unite to form a mixed spinal nerve, which divides into dorsal and ventral
primary rami. The dorsal rami supply the paraspinal muscles and skin
overlying the paraspinal region, whereas the ventral rami give rise to the
lumbosacral plexus and, eventually, the individual nerves supplying the
lower limbs and sacral region. The muscles supplied by a single spinal segment constitute a myotome; the skin region supplied by a single spinal segment is a dermatome.
History and physical examination
Performance of a careful history and physical examination is the initial
and integral step in the diagnosis and management of lumbosacral radiculopathy. Lesion localization depends on demonstration of a segmental
myotomal or dermatomal distribution of abnormalities; a working knowledge of the relevant anatomy is essential. Sciatica, the classic presenting
symptom of lumbosacral radiculopathy, is characterized by pain in the
back radiating into the leg. Patients variably describe this pain as sharp,
dull, aching, burning, or throbbing. Pain related to disk herniation is exacerbated by bending forward, sitting, coughing, or straining and relieved by
lying down or sometimes walking [4]. Conversely, pain related to lumbar
spinal stenosis characteristically is worsened by walking and improved by
forward bending. Pain that is exacerbated by or fails to respond to the
recumbent position is a distinctive feature of radiculopathy produced by inammatory or neoplastic lesions and other nonmechanical causes of back
pain. The distribution of pain radiation along a dermatome may be helpful
in localizing the level of involvement; when present, the dermatomal distribution of paresthesias is more specic [4].
In the majority of cases, lumbosacral radiculopathy is caused by compression of nerve roots from pathology in the intervertebral disk or associated structures. The dierential diagnosis of lesions producing lumbosacral
radiculopathy, however, is broad and includes neoplastic, infectious, and inammatory disorders (Box 1). Important risk factors for serious underlying
disease that should be sought in the history include age greater than 50,

LUMBOSACRAL RADICULOPATHY

Box 1. Causes of lumbosacral radiculopathy

Degenerative
Intervertebral disk herniation
Degenerative lumbar spondylosis
Neoplastic
Primary tumors
Ependymoma
Schwannoma
Neurofibroma
Lymphoma
Lipoma
Dermoid
Epidermoid
Hemangioblastoma
Paraganglioma
Ganglioneuroma
Osteoma
Plasmacytoma
Metastatic tumors
Leptomeningeal metastasis
Infectious
Herpes zoster (HZ)
Spinal epidural abscess (SEA)
HIV/AIDS-related polyradiculopathy
Lyme disease
Inflammatory/metabolic
Diabetic amyotrophy
Ankylosing spondylitis
Pagets disease
Arachnoiditis
Sarcoidosis
Developmental
Tethered cord syndrome
Dural ectasia
Other
Lumbar spinal cysts
Hemorrhage

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previous history of cancer, unexplained weight loss, and failure to improve

after 1 month of conservative therapy [5].
Aside from assessment of potential serious disease, the history is geared
toward establishing the involvement of nerve roots and their anatomic level.
Similarly, the aim of the physical examination is to elucidate motor, sensory,
or reex abnormalities in a radicular distribution relevant to the suspected
clinical level. Sciatic nerve tension signs may provide supporting evidence
of L5-S1 radiculopathy; however, they may be present with lesions of the
lumbosacral plexus, sciatic nerve, or hip joint and in mechanical lower
back pain [68]. With the patient supine and one hand on the iliac crest
of the aected side, an examiner passively elevates the heel slowly while
keeping the knee straight; the angle at which pain or paresthesias are produced and the distribution are noted. Dorsiexion of the foot may increase
symptoms. The straight leg raise test is positive if symptoms are produced
between 30 and 70 [6]. In a similar fashion, the femoral nerve stretch
test produces tension on the L3, L4 nerve roots. With a patient lying on
the asymptomatic side and the lower limb exed at the hip and knee, the
symptomatic knee is extended passively at the hip [9]. Pain radiating into
the anterior thigh with this maneuver suggests L3 or L4 radiculopathy.
Clinical presentation of monoradiculopathies
L1 radiculopathy
Disk herniation at this level is rare; consequently, L1 radiculopathy is extremely uncommon. The typical presentation is one of pain, paresthesias,
and sensory loss in the inguinal region, without signicant weakness. Infrequently, subtle involvement of hip exion is noted. Muscle stretch reexes
(MSRs) are normal. Dierential diagnostic considerations include ilioinguinal and genitofemoral neuropathies. Physical examination may help distinguish between these conditions, but imaging of the lumbosacral spine or
pelvis often is required (Table 1).
L2 radiculopathy
Also rarely caused by disk herniation, L2 radiculopathy produces pain,
paresthesias, and sensory loss in the anterolateral thigh. Weakness of hip
exion may occur; MSRs are normal. Lateral femoral cutaneous neuropathy (meralgia paresthetica) may mimic L2 radiculopathy; the presence of
hip exor weakness suggests radiculopathy rather than meralgia. Femoral
neuropathy and upper lumbar plexopathy may present similarly.
L3 radiculopathy
Although more common than with higher lumbar roots, disk herniation
is an uncommon cause of L3 radiculopathy. Pain and paresthesias involve

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Table 1
Neurologic examination ndings in monoradiculopathies
Root
level
L1
L2
L3

L4

Pain
Inguinal region
Groin, anterior
thigh
Anterior thigh
to knee,
anterior leg
Medial foreleg

Sensory loss
(paresthesias)

Motor abnormalities
or weakness

Muscle stretch
reex abnormalities

Inguinal region
Anterolateral
thigh
Medial thigh
and knee

None
Iliopsoas

None
None

Quadriceps,
iliopsoas,
hip adductors
Tibialis anterior,
quadriceps,
hip adductors
Toe extensors
and exors,
ankle dorsiexor,
everter and
inverter,
hip abductors
Gastrocnemius,
hamstrings,
gluteus
maximus,
toe exors
None unless S1-2
involved

Knee jerk

Medial lower leg

L5

Lateral thigh
and lower leg,
dorsum foot

Lateral lower
leg, dorsum
foot, great
toe

S1

Posterior
thigh, calf,
heel

Sole, lateral foot

and ankle,
lateral two
toes

S2-4

Medial
buttocks

Medial buttocks,
perineal,
perianal region

Knee jerk

Internal hamstrings

Ankle jerk

Bulbocavernosus,
anal wink.
Ankle jerk
if S1 involved

the medial thigh and knee, with weakness of hip exors, hip adductors, and
knee extensors; the knee jerk may be depressed or absent. L3 radiculopathy
may be confused with femoral neuropathy, obturator neuropathy, diabetic
amyotrophy, or upper lumbar plexopathy. Combined weakness of hip adduction and hip exion dierentiates L3 radiculopathy from femoral and
obturator mononeuropathies.
L4 radiculopathy
Unlike the higher lumbar levels, L4 radiculopathy is produced most commonly by disk herniation. Spinal stenosis frequently involves this nerve root
in conjunction with roots at adjacent spinal levels. Sensory symptoms involve the medial lower leg in the distribution of the saphenous nerve. As
with L3 radiculopathy, knee extension and hip adduction may be weak; additionally, foot dorsiexion weakness uncommonly may be observed. When
present, ankle dorsiexion weakness generally is less prominent than in L5
radiculopathy. The knee jerk may be depressed or absent. Lumbosacral
plexopathy is the main dierential diagnostic consideration; saphenous neuropathy also is a possibility in pure sensory syndromes.

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L5 radiculopathy
The most common cause of L5 radiculopathy is intervertebral disk herniation. Foot drop is the salient clinical feature, with associated sensory symptoms involving the anterolateral leg and dorsum of the foot. In addition
to weakness of ankle dorsiexion, L5 radiculopathy commonly produces
weakness of toe extension and exion, foot inversion and eversion, and
hip abduction. Common peroneal neuropathy closely mimics and must be
distinguished from L5 radiculopathy. Physical examination is helpful in
localization as weakness of foot eversion (mediated by the L5/peronealinnervated peroneus muscles) in conjunction with inversion (mediated by
the L5/tibial-innervated tibialis posterior) places the lesion proximal to the
peroneal nerve. Lumbosacral plexopathy and sciatic neuropathy are important dierential diagnostic considerations. The involvement of hip abductors
(gluteus medius and minimus) indicates a lesion proximal to the sciatic nerve
but does not dierentiate L5 radiculopathy from lumbosacral plexopathy.
Although there is no classic MSR abnormality associated with L5 radiculopathy, an asymmetric internal hamstring reex can support its presence.
S1 radiculopathy
S1 radiculopathy also is caused commonly by intervertebral disk herniation, with associated weakness of foot plantar exion, knee exion, and hip
extension. Subtle weakness of foot plantar exion may be demonstrated by
having patients stand or walk on their toes. Sensory symptoms typically involve the lateral foot and sole. The ankle jerk is depressed or absent. Sciatic
neuropathy and lower lumbosacral plexopathy may mimic S1 radiculopathy. Both of these conditions, however, also are expected to aect L5innervated muscles.

Lumbosacral polyradiculopathy and cauda equina syndromes

Multiple, contiguous nerve roots may be involved by compressive lesions
aecting several individual nerve roots, either in the vertebral canal or the
neural foramina; less frequently, inltrating or inammatory processes
spreading along the meninges produce similar clinical syndromes. Lesions
involving the cauda equina should be considered when nerve roots at more
than two neighboring levels are involved, developing acutely or gradually.
Acute cauda equina syndrome most often is the result of compression of
the lower lumbar and sacral nerve roots by a large, central disk herniation,
usually at L4-5. Sacral nerve roots, which lie medially in the cauda equina,
often are aected disproportionately, leading to sacral polyradiculopathy
with prominent bowel and bladder dysfunction and characteristic saddle
anesthesia. Lumbar nerve roots also may be involved, resulting in leg weakness that can progress to paraplegia, depending on the extent of nerve root

LUMBOSACRAL RADICULOPATHY

393

compromise. A true neurologic emergency, prompt recognition of cauda

equina syndrome is necessary to preserve sphincter function and ambulation.
A more insidious manifestation of cauda equina dysfunction results from
central spinal stenosis, creating a clinical syndrome of intermittent neurogenic claudication (discussed in Chads article, elsewhere in this issue). The
neurologic and electrodiagnostic examinations in these cases may demonstrate patchy lumbosacral polyradiculopathy but often are normal.

Dierential diagnosis
The majority of lesions causing lumbosacral radiculopathy are compressive in nature and result from disk herniation or spondylosis with entrapment of nerve roots. It is important, however, to recognize a variety of
other lesions that may produce lumbosacral radiculopathy, including several
neoplastic, infectious, and inammatory disorders (see Box 1).
Degenerative spine disorders
Acute disk herniation
Intervertebral disk herniation is the most common cause of lumbosacral
radiculopathy in patients under age 50 [7]. At birth, the boundary between
the gelatinous nucleus pulposus and the tough, surrounding annulus pulposus is distinct; with increasing age, the concentration of collagen in the disk
increases and water content decreases [7]. As a result, clefts and ssures form
in the disk and disruption of annular bers occurs, predisposing to herniation of the nucleus pulposus [7]. Acute disk herniation produces symptoms
by direct compression of the nerve roots and by inammatory and ischemic
mechanisms involving the roots and dorsal root ganglia [8]. The intervertebral disks aected most frequently are L4-5 and L5-S1, leading to L5 or S1
radiculopathies. Pain characteristically is of abrupt onset and intense, often
precipitated by bending over or lifting. Patients may report of sciatica without back pain. Aggravation of pain with movement, particularly forward
or lateral bending, or with Valsalvas maneuver is typical; usually, pain is
relieved with recumbency. In addition to pain, patients frequently report
paresthesias in the involved dermatome. Cauda equina syndrome with
prominent bowel and bladder involvement may be the presenting syndrome
with large, central disk herniations.
Often, a diagnosis of acute disk herniation may be made on clinical
grounds. MRI and EMG, however, may be helpful in establishing the diagnosis and distinguishing disk pathology from other causes of lumbosacral
radiculopathy. Although MRI is sensitive, lumbar disk herniations are identied in 30% to 40% of asymptomatic subjects by MRI and in an equivalent
number at autopsy with CT and with myelography [7]. Initial treatment
is aimed at pain control and identication of patients who require urgent
surgical consideration to prevent permanent neurologic decits.

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Degenerative spondylosis
After age 50, acute disk herniation is a less common cause of lumbosacral
radiculopathy, and chronic lesions related to degenerative spinal arthropathy predominate [7]. With advancing age, intervertebral disks desiccate
and atten, transferring increasing axial load to the facet joints, with resultant facet joint hypertrophy, osteophyte formation, and thickening of the
ligamentum avum [7,10]. These changes contribute to narrowing of the
central spinal canal, lateral recesses, and neural foramina. L4-5 and L5-S1
levels in particular are aected [7]. Chronic radiculopathy may result from
entrapment of nerve roots in the lateral recess, intervertebral foramen, or
central canal, involving single or multiple nerve roots. Clinical syndromes
of radicular pain involving buttock, hip, or posterior thigh and intermittent
neurogenic claudication are more common than back pain [10].
MRI frequently is performed in the evaluation of these lesions, although
bony pathology is demonstrated better by CT. Because degenerative
changes are commonplace in older patients, electrodiagnostic studies frequently are necessary to establish the relevance of neuroimaging abnormalities. Initial management involves pain control with analgesic medications
and physical therapy to strengthen supporting musculature and improve
postural mechanics. Surgical decompression is considered for progressive
or recalcitrant symptoms or worsening neurologic decits.
Neoplasms
Radiculopathy may result from tumor in various locations within the spinal canal; usually, these lesions are extramedullary. Primary tumors tend to
be intradural, whereas metastatic lesions are extradural. Furthermore, primary lesions tend to be solitary (neurobromatosis type 1 being a notable
exception), whereas metastatic lesions frequently are multiple.
Primary tumors
Primary nerve root tumors are a rare cause of lumbosacral radiculopathy. Most primary spinal tumors are benign and slow growing, and their
clinical manifestations may be dicult to distinguish from more common
causes of radiculopathy, such as disk herniation [11]. Both are characterized
by back pain; however, the nature of pain related to tumor is distinctive, as
it becomes increasingly severe over time and is worse when lying down,
often interfering with sleep. Primary tumors producing lumbosacral radiculopathy most frequently are neurobromas (often associated with neurobromatosis type 1) and ependymomas; less common are schwannomas
(in neurobromatosis type 2), meningiomas, lipomas and dermoids, and
lipomas [11]. Ependymomas and neurobromas typically aect the lum
terminale, producing a cauda equina syndrome [11]. Diagnosis of primary
tumors is established by MRI, and their denitive treatment is surgical.

LUMBOSACRAL RADICULOPATHY

395

Epidural and vertebral metastases

Although metastatic tumor is the most common type of neoplasm involving the spinal canal, it is rare in the general population. In one series of 1975
patients who had low back pain, 13 (0.7%) had a malignancy to account for
this problem [5]. These lesions chiey are seen in patients who have a known
malignancy and, in a small percentage, are the presenting feature. Approximately 30% of epidural metastases occur in the lumbar spine, and radicular
pain is an initial symptom in approximately half [12,13]. Metastases typically invade the spinal column and extend from there into the epidural space
[14]. Metastases seed the vertebrae by way of Batsons venous plexus (which
drains the vertebrae and anastomoses with veins draining the viscera). Less
commonly, paravertebral lesions spread directly to nerve roots through the
intervertebral neural foramina [14].
The three most common cancers involving the lumbosacral spine are
breast, lung, and prostate cancer, each accounting for approximately 10%
to 20% of cases [14,15]. Virtually all cancers, however, may produce metastatic spinal cord compression, and in 20%, spinal cord compression is the
initial feature [12]. Tumors of the pelvic region, including colon and prostate, preferably metastasize to the lumbosacral region. Back pain is the
most common initial complaint and, as with primary tumors, is unremitting
and characteristically worse with recumbency; radicular pain is more variable. Percussion tenderness at the site of the lesion is noteworthy. Bowel
and bladder disturbances occur in a minority of patients at onset but tend
to be more common as disease progresses [13,14].
Contrast-enhanced MRI is the procedure of choice in the evaluation of
suspected spinal metastases [16]; as lesions frequently are multiple, scanning
of the entire spine is indicated [17]. Corticosteroids and external beam radiation are the mainstays of treatment [15]. The neurologic prognosis of patients who have radiculopathy as the sole symptom of metastatic disease
is good; most patients likely maintain ambulation after treatment with radiotherapy [15,18]. Prognosis is correlated closely with the degree of neurologic dysfunction at diagnosis, so early recognition is crucial.
Leptomeningeal metastases/meningeal carcinomatosis
Cancer cells may inltrate the leptomeninges and subarachnoid space diffusely, leading to a syndrome reecting involvement of cranial nerves, spinal
nerve roots, and brain. Manifestations include radiculopathy, cranial polyneuropathy, headache, memory loss, seizures, and gait disturbances [15].
Radicular discomfort is the most common presenting symptom, usually involving lumbosacral levels resulting from involvement of the cauda equina
[19]. Although all cancers have the potential to produce this condition,
the most likely primary tumors to do so are leukemia, lymphoma, and
breast carcinoma [15,19,20]. Other tumors that may produce leptomeningeal
metastasis include melanoma, lung cancer, gastrointestinal cancers, and sarcoma [15,20,21]. Initial cerebrospinal uid (CSF) examination reveals

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a mildly increased cell count in approximately half, elevated protein in

a large majority, and low glucose in approximately 25% [15,20]. Positive cytologic examination is seen in half of initial lumbar punctures and 90% after
three lumbar punctures [15]. MRI may reveal contrast enhancement of the
meninges in a diuse or nodular pattern [15].
Infections
Herpes zoster
Primary infection with varicella-zoster virus produces chickenpox, usually
in children, after which it lies dormant in dorsal root ganglia and may be
reactivated decades later, producing acute Herpes zoster (HZ) or shingles
[22,23]. A common disorder, it is prevalent especially in immunocompromised and elderly populations. HZ usually aects a single dermatome and
is accompanied by intense neuralgic pain reecting the level of infection;
pain often precedes the classic vesicular eruption. Ophthalmic and thoracic
dermatomes are aected most commonly, whereas lumbosacral zoster accounts for approximately 20% of cases [23,24]. In the presence of rash, the
diagnosis of HZ is obvious, but a minority of patients may present with zoster
sine herpete, dermatomally distributed pain without rash [25]. Approximately
5% of patients may develop a local neuritis of the spinal nerve, which subsequently aects the motor axons, producing a segmental zoster paresis [26].
The pain of acute HZ, frequently overwhelming at the outset, gradually subsides as the vesicles crust over in most patients. Approximately 10% to 15%
suer from chronic pain, or postherpetic neuralgia (PHN), however, despite
treatment with antiviral agents [27]. Complete resolution of motor decits
occurs in 50% to 70% of those who have segmental zoster paresis [24].
Tricyclic antidepressants, gabapentin, pregabalin, opioids, and topical
lidocaine patches are eective in the treatment of acute herpetic neuralgia
(grade A evidence) [28]. Amitriptyline usually is eective, in a dosage of
75 to 100 mg per day, in the treatment of pain related to PHN (grade A)
[29]. Gabapentin, in doses between 1800 and 3600 per day, also is eective
in relieving the symptoms of PHN (grade A) [30] and may be preferred to
amitriptyline because of a lower incidence of side eects. If begun within
72 hours of development of the rash, famciclovir, valacyclovir, or acyclovir
reduces the pain of acute HZ but may not be eective in the prevention of
PHN (grade A) [23]. Of these antiviral agents, valacyclovir (1000 mg 3 times
a day for 7 days) is preferred for its more rapid resolution of neuralgia
symptoms, shorter duration of PHN, and smaller pill burden [31]. Corticosteroids by themselves do not alter the course of PHN but, in combination
with an antiviral agent, may improve pain [23].
Spinal epidural abscess
Spinal epidural abscess (SEA) most commonly involves the thoracic and
lumbar spine. Risk factors for development of SEA include diabetes

LUMBOSACRAL RADICULOPATHY

397

mellitus, history of intravenous drug abuse, spinal surgery, spinal or paraspinal injection, epidural catheter placement, and immunocompromised status [32,33]. Severe back pain, often with a radicular component, is the
presenting complaint [34]. Fever is a common, but not universal, sign. Leukocytosis and elevation of the erythrocyte sedimentation rate are typical and
in the presence of fever and back pain, the diagnosis should be straightforward. Only 20% of patients, however, have the classical clinical triad of fever, back pain, and neurologic decits, so a high index of suspicion should
be maintained [35]. The diagnostic test of choice is contrast-enhanced MRI.
Treatment of SEA must be initiated urgently with surgical debridement
generally the treatment of rst choice. There is increasing evidence, however,
that management with 6 to 8 weeks of intravenous antibiotics with or without oral antibiotics may result in similar outcomes (grade B) [36]. Antibiotic
treatment should be directed to treat the most common infecting organisms,
which include Staphylococcus aureus, other gram-positive cocci, gram-negative rods, and anaerobes [33]. Close monitoring is necessary, and urgent surgical decompression must be considered strongly if neurologic compromise
develops.
Polyradiculopathy in HIV and AIDS
Polyradiculopathy secondary to HIV infection is uncommon, accounting
for only 2% of HIV-related neurologic consultations [37]. The majority of
patients have an AIDS-dening illness before the development of radiculopathy, and the CD4 count is less than 100 cells per mL in almost all patients
[38,39]. Polyradiculopathy in AIDS tends to involve the lumbosacral nerve
roots, producing a rapidly progressive cauda equina syndrome with severe
low back pain [3740]. Cytomegalovirus accounts for most HIV-related
radiculopathy. Other causes of HIV-radiculopathy include herpes simplex
virus, lymphomatous meningitis, mycobacteria, Cryptococci, and treponemal infection [38,39].
Examination of CSF demonstrates pleocytosis, with polymorphonuclear
predominance and, in some patients, decreased glucose [3840]. A positive
CSF polymerase chain reaction for cytomegalovirus also is supportive of
the diagnosis. Recommended treatment includes intravenous ganciclovir,
foscarnet, or both for 3 to 6 weeks (grade B) [41]. Development of polyradiculopathy in AIDS generally portends a poor prognosis, with minimal
functional recovery after treatment and a median survival time of 2.7
months [39].
Lyme radiculopathy
Lyme disease is transmitted by the bite of Ixodes ticks infected with the
spirochete Borrelia burgdorferi [42]. The classic rash of erythema migrans
develops in 50% to 90% of patients [43]. In addition to a u-like illness, hematogenous dissemination may aect the heart, joints, and nervous system
[42,43]. Acute Lyme radiculoneuropathy is seen most commonly in the rst

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2 months of infection and mimics structural disk herniation; a minority of

cases aects the lumbosacral nerve roots [43]. Radicular signs and symptoms usually occur in conjunction with cranial neuropathies and lymphocytic meningitis.
The current recommendation for serologic testing is to use a two-step approach, in which a positive-screening ELISA is conrmed by a Western blot
[42]. In addition to serologic analysis, lumbar puncture may be helpful in
establishing a diagnosis, with CSF analysis typically showing a mildly
increased protein and a lymphocytic pleocytosis of up to a few hundred
white cells per mm3 [42,43]. Recommended treatment of acute Lyme radiculopathy is ceftriaxone, 2 g daily for 14 to 28 days (grade B) [44]. Intravenous
penicillin G, 18 to 24 million units daily divided every 4 hours, and cefotaxime, 2 g IV every 8 hours, are alternatives (grade B) [44]. In patients intolerant of penicillin and cephalosporins, doxycycline, 100 mg bid per day in
two divided doses, is preferred (grade B) [44]. Although the prognosis of
acute Lyme radiculopathy generally is excellent, axonal regeneration and
resolution of neurologic symptoms may require several months [43].
Chronic Lyme radiculoneuropathy is dierentiated from acute Lyme radiculopathy by its development, on average, 8 months after the symptoms of
the acute illness, a milder clinical course, and the absence of CSF pleocytosis
[45]. The condition can develop despite successful treatment of the acute illness [45]. Treatment regimens are similar to those used for acute Lyme radiculopathy. A small number of nonrandomized patients have been followed
up; 6 months after treatment with intravenous ceftriaxone, improvement
was reported in 9 of these 12 patients [45]. This improvement, however, usually was incomplete and noted weeks to months after completion of therapy,
not during the course of treatment [45].
Diabetes (diabetic amyotrophy)
Diabetes may cause a syndrome of severe lower extremity pain and weakness, commonly referred to as diabetic amyotrophy. This syndrome usually
involves multiple lumbosacral nerve roots but rarely presents as a monoradiculopathy [46]. Patients typically have well controlled type 2 diabetes and
are middle aged or older [47]. In some patients, the neurologic impairment
heralds the onset of diabetes [47]. Sudden onset, unilateral lower extremity
pain variably involves the groin, anterior thigh, and lower leg; weakness follows shortly. Proximal muscles, in particular quadriceps, tend to be aected
rst and most conspicuously, but the majority of patients also develop distal
and bilateral symptoms [48]. Weight loss is a frequent accompanying
symptom [47]. The precise pathophysiology of diabetic radiculopathy is controversial, with nerve ischemia, inammation, and metabolic causes
implicated [4750].
EMG is helpful in diagnosing diabetic amyotrophy. There is evidence of
subacute polyradiculopathy with prominent denervation changes involving

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399

limbs and multiple, bilateral paraspinal regions. Underlying axonal polyneuropathy may also be present. CSF protein is elevated without pleocytosis.
Diabetic radiculopathy is a monophasic illness that improves with time
[46,47]. Improvement, however, often is incomplete and prolonged, with
motor symptoms slower to resolve than sensory symptoms [47]. Pain control
in the early stages can be challenging. Standard agents for neuropathic pain,
such as anticonvulsants or tricyclic antidepressants, are benecial, but narcotic analgesics also may be needed temporarily [47]. Physical therapy and
orthoses should be provided as indicated [47]. Up to 20% of patients may
suer a recurrence on the same side [47,51].
Spinal cysts
Cystic lesions in the sacral spine are common, with an incidence ranging
from 4.6% to 17% on imaging studies [52,53]. Most sacral meningeal
cysts are dural diverticula (Tarlov cysts) produced by uctuations in CSF
pressure [52]. There is little to dierentiate the presentation of meningeal
sacral cysts from other causes of lumbosacral radiculopathy [52]. Radicular
pain often is relieved or disappears when patients are recumbent and is
aggravated by Valsalvas maneuver [52]. Because they are common and
not necessarily the cause of symptoms, establishing a cyst as the cause of
lumbosacral radiculopathy involves eliminating other causes rst. MRI is
the diagnostic procedure of choice for demonstrating lumbosacral cysts;
however, clinical relevance of the imaging ndings must still be established.
Although analgesic medications may reduce pain, relief of symptoms with
uoroscopic-guided aspiration and surgical treatment is denitive [52].
Spinal hematomas
Hematomas are uncommon causes of lumbosacral radiculopathy. Epidural and subdural spinal hematomas occur most frequently in patients who
have coagulopathies, who are taking anticoagulants, or who recently have
undergone epidural injections or instrumentation of the lumbosacral spine
[5456]. Spinal subarachnoid hemorrhage is uncommon. Unlike its intracranial counterpart, spinal subarachnoid hemorrhage is caused most commonly
by arteriovenous malformation rupture rather than aneurysmal rupture [57].
Hemorrhage into synovial cysts or the ligamentum avum also may produce
hematomas and lumbosacral radiculopathy [58,59].
Other uncommon causes of radiculopathy
Sarcoidosis can aect any level of the neuraxis; radiculopathy is an uncommon presentation. Cauda equina syndrome and lumbosacral polyradiculopathy are described as manifestations of sarcoid [60].
Arachnoiditis also may produce lumbosacral radiculopathy. Classically
caused by a reaction to intrathecal oil-based contrast dye for myelography,

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other causes of arachnoiditis include neurocysticercosis and other infections,

blood in the intrathecal space, surgical interventions in the spine, intrathecal
corticosteroids, and trauma [61].
Tethered cord syndrome is a developmental malformation characterized
by an abnormally low-lying conus medullaris tethered to an intradural
abnormality [62]. Uncommonly, this syndrome presents in adulthood, most
often as pain centered around the anorectal or inguinal regions, but sometimes diusely in the legs or in a radicular distribution [6365]. Approximately
60% to 70% of patients report an inciting traumatic event leading to presentation [65]. A mixed cauda equina and conus medullaris syndrome is seen,
without other signs of spinal dysraphism, such as sacral dimples or hair tufts
[6365]. MRI has allowed earlier detection of the syndrome [63,64], with
termination of the conus medullaris inferior to the inferior aspect of the L2
vertebral body being diagnostic [63].

Approach to initial diagnosis and management

An algorithm for the initial diagnosis and management of lumbosacral
radiculopathy is shown in Fig. 1. First, whether or not patients have a disease process that could result in irreversible neurologic dysfunction must be
determined. Indications for immediate neuroimaging and surgical evaluation include a cauda equina syndrome, rapidly progressive neurologic decits, and risk factors for metastatic cancer or epidural abscess.
Provided that none of these indications for urgent evaluation is present,
a trial of conservative therapy may be attempted for 4 to 6 weeks. Specic
details of conservative and surgical management are discussed by Benzel
and colleagues elsewhere in this issue of the Clinics; however, there is little difference among the outcomes of patients treated with bed rest, physical therapy, or continuation of normal activities of daily living, so treatment should
be tailored to provide maximum comfort [66,67]. Analgesic medications,
including nonsteroidal anti-inammatory drugs, nonopioid analgesics (eg,
tramadol), and, in some cases, narcotic analgesics should be used as indicated.
If 4 to 6 weeks of conservative therapy fails to control painful symptoms
or if neurologic decits progress, further diagnostic studies, including EMG
and MRI, are warranted. Needle EMG is the preferred electrodiagnostic
technique in the evaluation of radiculopathy and is performed in conjunction with nerve conduction studies to exclude alternative diagnosis, such
as neuropathy or plexopathy [68]. EMG is advantageous because it assesses
the physiologic integrity of the nerve roots directly and can diagnose compressive and noncompressive radiculopathies. It also provides a measure
of severity of radiculopathic disease. MRI is the preferred study to view the
structure of the lumbosacral spine and nerve roots. Because of the high prevalence of disk protrusions and degenerative spinal stenosis in older patients,
history and physical examination remain paramount in determining the

LUMBOSACRAL RADICULOPATHY

401

Fig. 1. Approach to initial diagnosis and treatment of lumbosacral radiculopathy.

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TARULLI & RAYNOR

relevance of imaging ndings [69,70]. EMG also can be used to help provide
conrmation of clinically suspected nerve root involvement.
In some cases, further laboratory testing is appropriate based on the history, physical examination, EMG, or imaging ndings. Lumbar puncture
may be indicated to investigate inammatory or infectious causes. The
direction of the evaluation is guided by patient presentation and subsequent
clinical course. As discussed previously, a basic understanding of the diverse
disorders producing lumbosacral radiculopathy and those who are at risk
for them is the foundation for accurate diagnosis and treatment.

Summary
Lumbosacral radiculopathy is a common neurologic syndrome that is an
important source of disability. Although the most common causes are disk
herniation and chronic spinal arthropathy, physicians should be mindful of
other causes, including neoplasm and infection. Initial evaluation should
focus on localization of lumbosacral radiculopathy and exclusion of disorders that may produce irreversible neurologic compromise. Treatment is
aimed at providing pain relief and preventing neurologic decits in addition
to appropriate directed therapy based on the underlying cause.

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Neurol Clin 25 (2007) 407418

Lumbar Spinal Stenosis

David A. Chad, MD
Department of Neurology, University of Massachusetts Memorial Health Care,
55 Lake Ave. N, Worcester, MA, 01605, USA

Lumbar spinal stenosis perhaps is understood best as a clinicopathologic

disorder: narrowing of the lumbar spinal canal and the nerve root canals
(causing central and lateral recess stenosis, respectively) typically is brought
about by the process of osteoarthritis and leads to compression of the contents of the canalsdthe neural and vascular structures, causing neurologic
symptoms (typically low back and leg pain and lower limb numbness and
weakness) that are intermittent, characteristically triggered by ambulation
(ameliorated by pausing), and generally positional (aggravated by standing
and eased by trunk exion). The emergence of spinal stenosis as a recognizable disease entity took a major step forward in 1954 with the work of the
Dutch neurosurgeon, H. Verbiest [1] (described in a literature review by
Javid and Hadar [2]), who coined the term, stenosis of the vertebral canal,
and dened the pathologic changes that take place in the lumbar spinal
canal engendered by encroachment of the canal contents by hypertrophied
articular processes. Although having a narrow lumbar spinal canal is
a necessary component of the condition, alone it is not sucient for the disorder to be expressed, because this requires a degree of narrowing that compresses canal contents and causes compromise in sensory and motor nerve
function. Accordingly, there may be a poor correlation between stenosis
demonstrated by neuroimaging methods and clinical symptoms [3]. As Haig
and colleagues [4] point out, there is no criterion standard for the clinical
diagnosis of lumbar spinal stenosis. Clinically, the constellation of symptoms not always is classic; radiologically, there is no clear relationship
between the severity of symptoms and degree of stenosis; and electrophysiologically, there is no predictable, specic electromyographic (EMG)
abnormality.
Lumbar spinal stenosis is a common problem in adult life. It is estimated
to be present in 5 of every 1000 Americans over age 50 [5]. It accounts for

E-mail address: [email protected]

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CHAD

5% of patients who present with persistent low back pain to a general physician and up to 14% of patients who seek the opinion of a specialist [6]. It is
the leading preoperative diagnosis for adults older than age 65 who undergo
spine surgery [7]; in the United States, rates of surgery for spinal stenosis increased eightfold from 1979 to 1992 in patients over age 65 [8]. It commonly
aects adults in their sixth and seventh decades when it most likely is a result
of acquired degenerative joint diseasedlumbar spondylosis. A subset of
adults in their third and fourth decades also is aected, and these individuals
typically have congenital narrowing of the lumbosacral spine (discussed
later) [9]. Some patients who have the congenital form of spinal stenosis
have achondroplastic dwarsm and at age 38 have a relatively young
mean age of presentation, attesting to the primary nature of the stenosis
[10].

Clinical features
Patients present with the insidious onset of diuse, often symmetric
symptoms, reecting the bilateral nature of the underlying disease process
that often involves several vertebral levels [11]. The rst symptoms of lumbar spinal stenosis frequently are low back pain and morning stiness
relieved by activity [12]. As time passes, there frequently is low back,
buttock, thigh, and calf discomfort, often described as a cramping, burning
sensation, sometimes with associated numbness and tingling in the legs and
thighs. Weakness is not a prominent symptom but may be present, most often manifested as partial foot drop or weakness in plantar exion, especially
after prolonged standing or walking, and pointing to the common involvement of muscles served by L5 and S1 roots [13]. A characteristic of the
symptoms produced by lumbar spinal stenosis is that they are induced or
triggered by standing and walking (activities that extend the lumbar spine)
and eased by sitting or exing the trunk. The latency from the start of standing to the onset of pain varies from patient to patient and also changes over
time for individual patients, becoming shorter when and if the disease process evolves. A classic clinical feature of lumbar canal stenosis is neurogenic
claudication, the dynamic phenomenon of standing- and walking-related
symptoms (thigh or leg pain preceding numbness and motor weakness),
causing patients to limp and then to cease the provocative activity [14]. It
is to be distinguished from the vascular mechanism encountered more commonly underlying painful legs, induced by walking, in the context of atherosclerotic peripheral vascular disease. In this vascular disorder, the typical
history is that cramping develops in the calves with activity (such as walking,
cycling, or descending, and especially ascending, stairs) and that relief is obtained by sitting and resting. In neurogenic claudication, by contrast, ascending stairs typically is less likely to induce symptoms than descending,
probably because the former allows for a partially exed trunk, whereas

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409

in the latter, the lumbar spine straightens out, obliging patients to walk
downstairs backward to adopt a forward-exed position [5]; cycling is tolerated much more than walking. Patients who have lumbar spinal stenosis
typically are fairly comfortable on shopping outings if they can lean over
while pushing a grocery cart.
In the early stages of the disorder, the symptoms may be mild and provoked after an extended period of standing or walking, but as time passes,
the disease seems to enter an extended plateau phase in many patients. In
others, symptoms may become more pronounced and diuse, triggered by
only brief periods of standing, reaching the point where quality of life
may become seriously compromised. In these advanced cases, patients
barely are able to walk short distances without severe symptoms and reexively attempt to attenuate any discomfort by using a stooped or anthropoid
posture (eectively exing the back) that presumably allows for widening of
the lumbar spinal canal [15]. In approximately 10% of patients, generally
those who have the most advanced degrees of lumbar spinal stenosis, there
are symptoms of bladder control diculties, manifested as recurrent urinary
tract infections associated with an atonic bladder, incontinence, and, rarely,
episodes of urinary retention [9].
The examination ndings are muted, in contrast to the ndings in lumbosacral radiculopathy (which may coexist with lumbar spinal stenosis).
In lumbosacral radiculopathy, there is straight leg raising and reverse
straight leg raising positivity, segmental weakness, attenuation of reex
activity, and dermatomal sensory loss. In lumbar spinal stenosis, there
may be attening of the lumbar lordosis and a decrease in lumbar extension. Positive straight leg raisingdcomplaints of a severe sciatica-like pain
in a raised leg at 30 to 40 of elevationdis uncommon in patients who
have lumbar spinal stenosis [15]. Provocative measures suggestive of lumbar spinal stenosis include lying prone in lumbar hyperextension, walking,
and walking with an exaggerated lumbar lordosis until symptoms appear,
followed by relief of symptoms by leaning forward [7]. At rest there may
be a paucity of ndings [14], but with onset of symptoms after walking or
extending the spine, there may be diminution in patellar and Achilles tendon reexes, mild sensory loss in L4 to S1 dermatomes, and mild weakness in L4-, L5- and S1-innervated musclesdhence, the importance of the
sage advice from Alvarez and Hardy [15] to perform a neurologic examination before and immediately after symptoms appear after a short
period of ambulation.
Finally, it is important to assess patients for clinical evidence of vascular
disease, which, as discussed previously, might simulate some of the symptoms of lumbar spinal stenosis, notably claudication. The examination includes the evaluation of skin color, turgor, and temperature; distal lower
limb pulses; and auscultation for arterial bruits. Absence of clinical features
of peripheral vascular disease should heighten condence in a diagnosis of
lumbar spinal stenosis [7].

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Anatomy and pathology

The spinal cord in adults ends at the upper border of the L1 vertebral
body and continues as multiple nerve roots, the cauda equina, that descend
to their specic neural foramena, providing exit from the lumbosacral spinal
canal. The spinal canal ranges from 15 to 23 mm in its anteroposterior diameter and is a triangular space bounded anteriorly by the dorsal surfaces
of the bodies of the lumbar vertebrae and the disk spaces (covered by the
posterior longitudinal ligament), medially by the pedicles that extend from
the lateral margin of the vertebral body, posteriorly by the laminae of the
vertebral arch and their covering, the ligamentum avum; and the facet
joints that are part of the posterior elements of each vertebral body
[7,11,15]. The vertebral bodies are connected to each other by the disks anteriorly and two facet or zygoapophyseal joints posteriorly. The disks are
composed of a tough outer connective tissue annulus brosis and a soft,
jelly-like center, the nucleus pulposus.
There are two major categories of lumbar spinal stenosis: congenital and
acquired. The major contributors to narrowed lumbar canals on a congenital
basis are short pedicles, thickened lamina and facets, and excessive scoliotic
or lordotic curves [15]. Patients who have these congenital anatomic changes
have a small safety factor for the emergence of clinically signicant lumbar
spinal stenosis, which may be precipitated by further canal narrowing from
later lifeonset superimposed degenerative joint changes. Defects in cellular
metabolism leading to retardation of cartilaginous growth and irregular intracartilagenous bone formation lead to congenital spinal stenosis in achondroplastic dwarsm, where there is signicant narrowing of the spinal canal
in all its dimensions, especially in the upper lumbar regions because of shortened pedicles, hypertrophied zygapophyseal joints, and thickened
laminae [10].
The majority of cases of lumbar spinal stenosis, however, are acquired, and
stem from degenerative or arthritic changes that aect the three-joint complex between lumbar vertebrae: the two zygoapophyseal (facet) joints posteriorly and the adjoining intervertebral disk anteriorly [9]. The degenerative
process begins most often with the disk and aects the articular processes secondarily. Initially, there is desiccation of the disk, narrowing of the disk
space, rents or ssures in the annulus, disk bulging, and frank herniation of
nucleus pulposus. This soon is followed by hypertrophic degenerative
changes of the facets (osteophyte formation) and thickening of the ligamentum avum. This results in central narrowing, so that the anteroposterior diameter is attenuated (typically to less than 12 mm) [7], with compression of
the cauda equina, and lateral narrowing (at the recesses), with root compression at the entrance of the intervertebral foramen. Spondylolysis (a defect in
the pedicles, the pars interarticularisdcongenital or acquired) may lead to
spondylolisthesis, the anterior displacement of one vertebra relative to the
one beneath it, further narrowing an already stenotic lumbar canal [16].

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411

The spine is the site aected second most commonly in Pagets disease,
predisposing patients to spinal stenosis, occurring in one third of those
who have spinal involvement [17]. Pagetic spinal stenosis is brought about
by bone remodeling of lumbar vertebrae, with bone expansion in all directions: posteriorly from the vertebral bodies, anterioromedially from the vertebral lamina, and medially from the pedicles. This leads to hypertrophic
facet arthropathy and resulting spinal stenosis. Some cases of neurologic
deterioration do not result from direct compression of neural elements,
rather from spinal ischemia resulting from diversion of blood ow through
remodeled hypervascular pagetic bone (referred to as the arterial steal phenomenon) [17].

Pathogenesis
Three explanations are advanced to explain the phenomenon of neurogenic claudication, the cardinal manifestation of lumbar spinal stenosis.
They are designated the postural, the ischemic, and the venous stasis (stagnant hypoxia) theories [9]. The postural theory suggests that symptoms are
explained by transient compression of the cauda equina (leading to sensory
and motor axon dysfunction) by degenerated intervertebral disks and thickened ligamenta ava, when the lumbar spine is extended and lordosis is accentuated, either at rest or in the erect posture [15]. In the ischemic theory, it
is proposed that the metabolic demand of the cauda equina cannot be met
during activity (eg, walking), that blood ow needs of the lumbosacral nerve
roots are not met by the local vasculature that is compromised by lumbar
spinal stenosis. Porter [16] suggested the venous stasis theory: that the underlying mechanism of neurogenic claudication is inadequate oxygenation
or the accumulation of metabolites in the cauda equina. He presented evidence from a porcine model that venous pooling of one or more nerve roots
of the cauda equina between two levels of low pressure stenosis transitions
to venous engorgement during exercise (walking), that in turn tends to prevent the expected arteriolar vasodilation response to activity, leading to
nerve conduction failure with resulting symptoms of tiredness, weakness,
and discomfort in the legs when walking.

Diagnostic testing
Standing center stage among diagnostic testing modalities in the evaluation of patients suspected of having lumbar spinal stenosis is neuroimaging
with MRI. This noninvasive test with its multiplanar imaging capability
provides the most complete assessment of the anatomy of the lumbosacral
spine and allows adequate visualization of the spinal cord, cauda equina,
and exiting nerve roots and their relationships to the various elements

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that comprise the spinal canal, including the ligaments, epidural fat, subarachnoid space, and intervertebral disks, with excellent detail [7,15]. A variety of MRI sequences with gadolinium also reveals pathology of the
vertebrae, the spinal canal, and the cauda equina that might mimic the clinical features of lumbar spinal stenosisdfor example, infectious or neoplastic
processes (see dierential diagnosis discussion). If for any reason MRI cannot be performed (eg, contraindicated because the subject has a cardiac
pacemaker), CT myelography provides appropriate alternative imaging resolution and reveals spinal canal pathology clearly.
Electrodiagnostic studies are helpful in the evaluation of patients who
have suspected lumbar spinal stenosis. In patients who have axon loss
root disease resulting from lumbar canal stenosis, nerve conduction studies
may reveal reduced amplitude of motor evoked responses recorded from the
small foot muscles after stimulating the peroneal and tibial nerves, with little
or no change in conduction velocities or distal latencies [13]. Sensory amplitudes recording from the supercial and sural nerves generally are expected
to be unaected, because the pathology of the nerve roots in lumbar spinal
stenosis is at a preganglionic level. In rare instances, the L5 sensory ganglia
have an intraspinal location and, therefore, may be involved in nerve root
compressive disorders localized to the lateral recesses, causing attenuation
of the supercial peroneal sensory amplitudes [18]. It also should be recalled
that sensory responses in the lower extremities may be reduced or absent,
because the age range of patients aected with lumbar spinal stenosis overlaps with the age when sensory responses are lost as part of normal aging.
H-reexes commonly are attenuated or absent, and, in instances when the
sural response is preserved, this nding is all the more suggestive of preganglionic S1 root dysfunction [13]. Peroneal and tibial F-wave chronodispersion (the dierence between the shortest and longest F latencies in a series
of F waves) [19] may be increased abnormally after 3 minutes of standing
[20].
The needle electrode examination is considered the single most useful diagnostic method in the electrophysiologic evaluation of patients who have
suspected nerve root compromise in the setting of lumbar spinal stenosis
[13]. In the older population most at risk for this condition, a painful, positive straight leg raising radiculopathy is encountered in few individuals [21],
and, therefore, needle electrode examination features of single root lesions
are uncommon. Patients presenting with lumbar spinal stenosis, especially
those who are elderly, are much more likely to experience compressive effects on the cauda equina and, therefore, may manifest EMG changes typical of multiple root involvement [21]. Wilbourn and Amino [13] described
bilateral, multiple lumbosacral radiculopathies in approximately half of patients who have lumbar spinal stenosis, with L5 and S1 roots involved most
commonly. In many patients, especially those who have lesser degrees of
lumbar spinal stenosis and accordingly less compression of the cauda
equina, the needle examination may be only mildly abnormal or within

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413

normal limits. When present, needle electrode examination abnormalities

typically are noted in the categories of spontaneous activity and motor
unit potential morphology. Because of the chronicity of lumbar spinal stenosis, there is an opportunity for motor unit reinnervation; therefore, brillation potentials tend to be restricted to the distal muscles of the myotomes,
and motor unit potentials have attributes of chronic neurogenic change,
such as prolonged duration and increased amplitude [13].
Finally, electrodiagnostic studies also are helpful in identifying common
disorders that might coexist with lumbar spinal stenosis. For example, they
detect peripheral nerve involvement in the setting of diabetes (reduced or absent sensory and motor amplitudes in the lower and upper extremities, along
with mild slowing of nerve conduction velocities), a condition that might
lead to sensory symptoms in the legs and discomfort in the buttocks and
legs. Diabetic polyneuropathy often is a complex and multifaceted disorder
with features of polyneuropathy and polyradiculopathy, potentially simulating some of the clinical features of lumbar spinal stenosis [15].
The exercise treadmill testdwherein the ability of patients to walk is
quantied and any diculty in walking is characterized fully (determining
if the limitation on walking is secondary to neurogenic claudication or
some other cause [eg, dyspnea])dplays an important role in the diagnostic
process in patients suspected of having lumbar spinal stenosis [22]. In
a group of 29 patients who had mild lumbar spinal stenosis, the subset
with neurogenic claudication (16/29) covered a signicantly shorter distance
and the time spent walking was signicantly shorter than in the subset with
lumbar spinal stenosis without neurogenic claudication and in two control
groups (healthy controls and diabetic patients).

Dierential diagnosis
The most common manifestations of lumbar spinal stenosis include low
back and leg pain, numbness and tingling, and neurogenic claudication. Because low back pain typically is an initial and predominating feature of lumbar spinal stenosis, one approach to the evaluation of patients suspected of
having lumbar spinal stenosis is to use back pain as the point of departure
for the process of dierential diagnosis and ask what other conditions present with low back pain and can mimic lumbar spinal stenosis. These conditions must be ruled out before a diagnosis of lumbar spinal stenosis can be
established with certainty.
The dierential diagnosis of lumbar spinal stenosis, therefore, may be
viewed through the lens of the dierential diagnosis of low back pain and
may be divided into three major categories [11]: mechanical (97% of patients), nonmechanical (1%), and back pain stemming from visceral disease
(2%). The rst category includes lumbar strain or idiopathic low back pain,
which makes up 70% of this group and is distinguished from lumbar spinal

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stenosis by the lack of neurogenic claudication, relatively normal spinal

canal dimensions, and normal electrodiagnostic studies. Other conditions
include age-related degenerative disease of the disk and facet joints (10%),
frank disk herniations with nerve root compromise (4%), osteoporotic compression fractures (4%), and spondylolisthesis (2%), all of which may present with low back pain but have a distinctive EMG signature (in the case of
radiculopathy) or dening neuroimaging characteristics. Nonmechanical
spinal conditions include neoplastic and benign cystic lesions of the conus
medullaris and cauda equina, infectious diseases (most importantly spinal
epidural abscess), inammatory arachnoiditis, and inammatory arthropathies. Although not an arthropathy per se, polymyalgia rheumatica deserves
mention as a related rheumatologic disorder whose presentation with bilateral aching in the buttocks associated with stiness in the back might suggest lumbar spinal stenosis until the marked elevation of the erythrocyte
sedimentation rate reveals its true character [23]. Visceral diseases include
renal diseases (such as nephrolithiasis, pyelonephritis, and perinephric
abscess), diseases of the pelvic organs (such as prostatitis, endometriosis,
and chronic pelvic inammatory disease), gastrointestinal diseases (such
as pancreatitis, cholecystitis, and penetrating ulcer), and aortic aneurysms.
Abdominal and pelvic imaging techniques in concert with routine clinical
chemistry and hematologic testing are helpful in identifying nonmechanical
and visceral sources of back pain.
In addition to back pain, leg numbness and tingling also are common
presenting manifestations of lumbar spinal stenosis. A common cause of
such sensory symptoms is polyneuropathy, often associated with diabetes.

Management
There are several prospective, long-term, observational follow-up studies
that attempt to evaluate conservative versus surgical treatment outcomes for
patients who have lumbar spinal stenosis. Amundsen and colleagues [24]
compared conservative and surgical management in a cohort of 100 patients
who had symptomatic lumbar spinal stenosis, selecting 19 patients who had
severe symptoms for surgical treatment and 50 patients who had moderate
symptoms for conservative treatment and randomizing 31 patients between
the two treatment modalities (18, conservative; 13, surgical). After 4 years,
excellent or fair results were found in half of the conservatively managed patients and 80% of the surgically treated group. Although the outcome after
10 years was most favorable for the surgically treated group, the investigators pointed out that an initial conservative approach seems advisable for
many patients, because those who have initial unsatisfactory results still
can be oered surgery with a good outcome at a later date.
Atlas and colleagues [25,26] reported on results of a prospective cohort
study of surgical or conservative treatment of patients who had lumbar

LUMBAR SPINAL STENOSIS

415

spinal stenosis recruited from the practices of orthopedic surgeons and neurosurgeons throughout Maine, designated the Maine Lumbar Spine Study.
Of 148 patients enrolled initially, 4-year outcome measures (level of low
back pain, leg pain, and the predominant symptom in the week immediately
preceding the evaluation, rated as better, the same, or worse; and degree of
patient satisfaction) were available on 119 patients (67 treated surgically and
52 treated nonsurgically) [25]. The surgically treated patients had more severe symptoms and worse functional status at baseline and better outcomes
at 4-year evaluation than the nonsurgically treated group, even after adjustment for dierences in baseline characteristics. The relative benet of surgery declined over time but remained superior to nonsurgical treatment.
In a second report of the Maine Lumbar Spine Study, Atlas and colleagues
[26] reported on the evaluation of 105 patients still alive 10 years after enrollment. After 8 to 10 years, a similar percentage of surgical and nonsurgical patients reported that their low back pain was improved, their
predominant symptom improved, and they were satised with their current
status, although leg pain relief and back-related functional status continued
to favor those treated surgically. The investigators concluded by noting that
over time it is likely that symptoms of lumbar spinal stenosis will remain stable, and, therefore, for patients who have any trepidation about surgery,
conservative management seems appropriate, because long-term outcomes
are similar irrespective of treatment modality [26].
Deciding on the most appropriate program of management for a given
patient (whether or not to treat conservatively or surgically, the timing of
surgery, and which procedure to select) remains a complex decision-making
process that requires factoring in the severity of a patients symptoms, general medical condition, tolerance for anesthesia, and personal preferences
for treatment options. Furthermore, lumbar spinal stenosis is a degenerative
condition that does not necessarily worsen with time but has periodic exacerbations and remittances [25]. Johnsson and colleagues [27] described the
clinical course of 32 untreated patients who had lumbar spinal stenosis observed over a mean of 49 years. The mean age was 60 years, all had back
pain, 75% had neurogenic claudication, all had myelographically dened
lumbar canal stenosis, and 30 had EMG abnormalities typical of nerve
root involvement. The patients in this study had not undergone surgery because their medical conditions qualied as contraindications or because they
refused surgery. At follow-up, patients were evaluated by questionnaire and
asked to compare their situation before myelography with their present status, specically with regard to their walking capacity and their level of pain.
Seventy percent of the cases were unchanged, 15% showed improvement,
and 15% worsened.
In light of this report and the observation that surgical intervention may
be associated with signicant increased morbidity, surgical complications,
and mortality [8], it seems appropriate to oer conservative management
to patients experiencing mild to moderate symptoms when symptoms are

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not progressive and when work and leisure activities are not hampered seriously. Controlled trials examining the outcome of conservative management, however, are lacking [6].
Several conservative interventions can be considered. Physical therapy
can provide gentle back and leg strengthening exercises and mobility training that can reduce the risk of falling. Exercises may include use of an exercise bicycle and brief walks (encouraging walking with a rolling walker to
promote a pain-alleviating exed posture). In addition, patients should
avoid lumbar extension exercises, consider the occasional use of lumbar
bracing, and adopt a weight loss program if obese. Other treatments of
unproved or anecdotal value include medications, such as nonsteroidal
anti-inammatory drugs and muscle relaxants, transcutaneous nerve stimulation and ultrasound therapy, and periodic courses of epidural corticosteroid injections. Delport and colleagues [28] conducted a retrospective
review of 140 patients over age 55 who had lumbar spinal stenosis and
who had received epidural corticosteroid injections, transforaminally or
caudally and under uoroscopic guidance. The injections provided approximately one third of patients with more than 2 months of relief and more
than 50% of patients with improvement in function. Fluoroscopic guidance
seems necessary to ensure proper placement of the injecting needle in the
epidural space, specically in the neighborhood of the desired nerve roots.
For some individuals, conservative measures fail to provide adequate
relief from severe symptoms of neurogenic claudication that may reach
the point of compromising quality of life. In such cases, it is appropriate
to consider surgical intervention, even in the geriatric population, to improve walking tolerance and ease disabling leg and back pain [5,7,15]. Although widely agreed on validated indications for surgery do not exist
(surgical emergencies, however, such as rapidly progressive cauda equina
syndrome, are rare) [7]. Good to excellent results of surgery are reported
on average in 64% of cases [29], but the range in the published literature
is 24% to 100% and there is a great deal of heterogeneity among studies
with regard to patient population, patient selection, and outcome measures
[7]; the studies are observational and nonrandomized [26]; and surgical techniques are varied [15]. Surgical options include multilevel decompressive
laminectomies (because canal stenosis occurs commonly over several levels),
unilateral decompressive hemilaminectomy, and multilevel laminotomies,
whereby fenestrations are created by removing portions of the lamina of adjacent involved vertebrae, preserving spinous processes, and sparing interspinous ligaments. The goals of surgical intervention are pain relief,
increased mobility, preservation of neural tissue, and prevention of increasing clinical decits [30]. Goals for successful operations include decompression of aected structures (the extent of which depends on the exact location
of the stenosis: central canal or lateral recesses or both) and the maintenance
of spinal stability postoperatively (usually achieved by preserving facet joint
integrity and protecting the pars interarticularis). Spinal fusion becomes

LUMBAR SPINAL STENOSIS

417

necessary to maintain spinal stability during multilevel procedures, when

facet joint and pars integrity cannot be preserved. In a systematic review
of preoperative predictors for postoperative clinical outcome (level of
pain) in lumbar spinal stenosis, depression, coexisting cardiovascular
comorbidity, poor walking (resulting from joint athritis, neurologic disease,
cardiopulmonary disease), and scoliosis predict poorer subjective outcome
(worse postoperative pain). Better subjective outcome is predicted by
factors, such as better walking ability, self-rated health, higher income,
less coexisting disease, and pronounced central stenosis [31].
In the special case of the management of spinal stenosis in Pagets disease, treatment of this complex metabolic bone disorder is multifaceted.
Typically it begins with antipagetic medical therapy, including bisphosphonates, calcitonin, and mithramycin, which often is successful in improving or
reversing the clinical symptoms of lumbar spinal stenosis [17]. Surgical decompression of spinal stenosis may be necessary should there be failure of
medical treatment and is best tailored to the pathology causing neural
compression.
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[4] Haig AJ, Tong HC, Yamakawa KS, et al. Spinal stenosis, back pain, or no symptoms at all?
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[5] Szpalski M, Gunzburg R. Lumbar spinal stenosis: clinical features and new trends in surgical
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[6] Treatment of Degenerative Lumbar Spinal Stenosis. Summary, Evidence Report/Technology
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[14] Hall S, Bartelson JD, Onofrio BM, et al. Lumbar spinal stenosis. Clinical features, diagnostic
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[17] Hadjipavlou AG, Gaitanis IN, Katonis PG, et al. Pagets disease of the spine and its management. Eur Spine J 2001;10:37084.
[18] Levin KH. L5 radiculopathy with reduced supercial peroneal sensory responses: intraspinal
and extraspinal causes. Muscle Nerve 1998;21:37.
[19] Fisher MA. Electrophysiology of radiculopathies. Clin Neurophysiol 2002;113:31735.
[20] Tang LM, Schwartz MS, Swash M. Postural eects on F wave parameters in lumbosacral
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[21] Levin KH. Electrodiagnostic approach to the patient with suspected radiculopathy. Neurol
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[22] Adamova B, Sohanka S, Dusek L. Dierential diagnostics in patients with mild lumbar spinal stenosis: the contributions and limits of various tests. Eur Spine J 2003;12:1906.
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SJ, Papadakis MA, editors. Current medical diagnosis and treatment. 45th edition. New
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[24] Amundsen T, Weber H, Nordal HJ, et al. Lumbar spinal stenosis: conservative or surgical
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[25] Atlas SJ, Keller RB, Robson D, et al. Surgical and nonsurgical management of lumbar spinal
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[27] Johnsson K-E, Rosen I, Uden A. The natural history of lumbar spinal stenosis. Clin Orthop
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Neurol Clin 25 (2007) 419438

Neck and Back Pain:

Musculoskeletal Disorders
Alec L. Meleger, MD*, Lisa S. Krivickas, MD
Department of Physical Medicine and Rehabilitation, Harvard Medical School
and Spaulding Rehabilitation Hospital, 125 Nashua Street, Boston,
Massachusetts 02114, USA

Strains and sprains

Muscle strain and ligamentous sprain are the most common causes of
acute low back and neck pain seen in the general population. Acute myogenic or muscle-mediated pain can be subdivided into delayed onset muscle
soreness (DOMS) and muscle contusion, which occur after direct tissue
trauma. Likewise, ligamentous injury not only is limited to pathologic elongation (sprain) but also can be classied further as a partial or a complete
tear. Spinal pain of myogenic or ligamentous origin typically is observed
in the context of some type of physical activity, to which patients can be
accustomed or unaccustomed, and the nature of this activity can be passive,
active, repetitive, or occurring as a single event, frequently involving forced
muscular contraction, either concentric or, more often, eccentric (a lengthening muscle contraction).
Muscle strain probably is the most common cause of neck and low back
pain. Acute muscle strain typically results from a single event of macrotrauma with the severity of injury directly proportional to the amount of
force applied. This type of tissue trauma usually occurs when the muscle undergoes forceful, passive elongation or, more commonly, when elongation
occurs while the muscle is in the process of activationdthis is seen with
eccentric muscular contractions. Tearing of muscle bers occurs primarily
at the musculotendinous interface with the belly of the muscle involved
less frequently [1].
All individuals who are able to engage their muscles actively experience
the discomfort of DOMS at some time in their life. This typically occurs
* Corresponding author. Spaulding Rehabilitation Outpatient CenterdMedford, Department of PMR, 101 Main St., Suite 101, Medford, MA 02155.
E-mail address: [email protected] (A.L. Meleger).
0733-8619/07/$ - see front matter 2007 Elsevier Inc. All rights reserved.
doi:10.1016/j.ncl.2007.01.006
neurologic.theclinics.com

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after engaging in unaccustomed physical exertion. The symptoms usually

appear 24 to 48 hours after such activity and abate completely within several
days. The mechanism of this type of muscle injury consists of excessive
eccentric muscular contraction, which leads to signicant ultrastructural
changes to skeletal muscle and is considered reversible [2].
When a direct and forceful compression is applied to a muscle, as occurs
commonly during sports participation, muscle contusion may develop. The
trauma produces local tissue necrosis, cellular death, extravasation of heme
into the interstitium, and secondary inammatory response [3]. This type of
injury is not a common cause of spinal pain and more typically involves the
extremities.
Ligamentous sprains are produced by forceful, passive stretching beyond
the physiologic range or with strong muscular contractions and are among
the most common causes of neck or back pain [4]. Any of the many spinal
ligaments can be sprained, depending on the mechanism of injury and the
developmental cross-sectional area of the ligament involved; thicker
ligaments are less prone to injury. Traumatic micro- and macrotears of
the anterior longitudinal ligament and the cervical facet joint capsule are
implicated in whiplash-type injuries [4,5].
The pain of muscle strain or ligamentous sprain is described typically as
aching, sharp or dull, and ranging in intensity from mild to severe, depending on the acuity and the extent of the injury. Ligamentous injury tends to
be more localized and, with complete tears, less symptomatic compared with
partial ligamentous tears. Active muscular contraction and having the
aected tissue undergo passive stretching are the main exacerbating factors.
On physical examination, patients may have an antalgic gait, postural
listing, and compromised lumbosacral or cervical ranges of motion. Visual
inspection and palpatory examination may reveal local tissue swelling,
edema, erythema, bruising, warmth, and tenderness. When there is full
thickness muscle rupture, a palpable mass may be present.
Spinal imaging usually is indicated to rule out spinal fracture, segmental
instability resulting from ligamentous laxity or rupture, nerve root impingement, or intramedullary injury of the spinal cord.
Myofascial pain
Myofascial pain is a muscle-related pain disorder caused by the local
formation of trigger points. It is fairly common in the general population
and almost ubiquitous among chronic pain suerers, with at least one study
showing a prevalence of 85% among consecutively seen patients at a comprehensive pain center [6].
The hypothesis accepted most commonly regarding the pathophysiology
of trigger pointrelated pain places the blame on the abnormally active
motor end plate in which excessive and continuous release of acetylcholine
produces a constant state of myobril contraction. Prolonged contraction

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causes local tissue hypoxia with edema and, if not reversed, leads to the
development of ischemic muscle pain [7]. Trigger points do not have any
abnormal histologic ndings, and electromyogram of muscle aected by
myofascial pain is normal.
The pain of trigger points is described typically as dull, deep, and aching,
with an ever-present stereotypic pain referral pattern. For example, when
the trapezius muscle is involved, the pain usually is localized to the suprascapular region with a referral pattern into the upper neck and to the parietooccipital and periorbital areas. The intensity of pain can change from day
to day and typically is exacerbated by maintenance of static postures, repetitive movement, stress, lack of sleep, and nutritional imbalance. Patients
also complain of decreased range of motion, local tenderness, and some
dysesthesias.
On physical examination, a taut and tender muscle band, which reproduces a patients typical pattern of referred pain when an appropriate
amount of pressure is applied, can be palpated locally. A local twitch
response is elicited by snapping the trigger point manually. The involved
region may exhibit decreased range of motion and some pain-related local
muscle weakness.
Fibromyalgia pain syndrome
Fibromyalgia, a chronic and complex pain syndrome, typically presents
with symptoms of diuse body pain frequently involving the spinal region.
Whereas myofascial pain may involve only one or two regions of the body,
the pain of bromyalgia is widespread and accompanied by multiple tender
points, which dier from trigger points histologically and lack the typical
trigger point pain referral pattern. Epidemiologic studies show that approximately 2% of United States population and 6% to 10% of patients seen in
the average medical practice carry this diagnosis [8,9]. Women tend to be
aected more frequently than men, with initial onset of symptoms in the second or third decade of life. Given the lack of objective clinical ndings, the
diagnosis of bromyalgia can be delayed for many years, leading to unnecessary medical treatments and unfortunate desperation on a patients part.
Possible predisposing factors and triggers include physical trauma, psychologic stress, and a history of physical or sexual abuse [10]. Genetic predisposition also may play a role in the development of this condition [11]. Altered
central processing of nociceptive stimuli leading to heightened pain response
is believed the main pathophysiologic mechanism of bromyalgia. Spinal
uid abnormalities, such as abnormal elevation of substance P, decreased
levels of excitatory amino acids, and systemic deciency of serotonin, also
are postulated as causative factors [1214]. Several other chronic conditions
frequently are associated with bromyalgia. These include chronic fatigue,
sleep disturbance, myofascial pain, irritable bladder syndrome, irritable
bowel syndrome, and cognitive dysfunction.

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Patients present typically with constant, frequently debilitating, bilateral,

widespread pain with an axial predisposition. The pain usually is exacerbated by physical activity, stress, lack of sleep, cold, and damp weather.
Patients might complain of generalized weakness, daily fatigue, muscle
and joint stiness, and generalized tenderness. Other frequent symptoms include unrefreshed sleep, depressed mood, anxiety, urinary frequency, irritable bowel, and multiple chemical sensitivities. On physical examination,
patients may have decreased spinal range of motion, pronounced pain behavior, psychomotor retardation, slowed mentation, and a relative degree
of somnolence. Generalized tactile allodynia is a pathognomonic nding
in bromyalgia, and tenderness of at least 11 of 18 designated tender points
tends to support the diagnosis. Breakaway weakness is observed commonly;
however, neurologic examination typically is normal.
Diagnostically, imaging and laboratory studies are used to rule out other
musculoskeletal conditions or systemic disorders, such as hypothyroidism,
myopathy, rheumatic disease, and electrolyte or nutrient abnormalities
[15]. Referral for a sleep study is recommended if a serious sleep disorder,
such as sleep apnea or restless legs syndrome, is suspected.
Facet joint pain
The facet or zygapophyseal joints are true synovial, diarthrodial joints,
which make up the posterior elements of the spinal column and provide
stable intervertebral bridging, aording relative, but restricted, degrees of spinal mobility. The segments with the most degrees of freedom, as conrmed by
the prevalence of wear and tear pathology, are the C5/6, C6/7, L4/5, and
L5/S1 spinal segments. Each facet joint receives dual sensory, nociceptive innervation, which is carried by the medial branches of the segmentally adjacent
posterior primary rami. The presence of nociceptive nerve endings and
multisegmental innervation of a single facet joint implicates these structures
as a possible source of back pain and explains the diuse, nonfocal nature
of their symptom production [16,17].
Traumatic capsular tears and age-related osteoarthritic changes are the
most common causes of facet jointmediated pain. Central canal and neuroforaminal narrowing secondary to facet joint hypertrophy, with or without
osteophyte or synovial cyst formation, can contribute to the clinical presentation of spinal stenosis or radiculopathy.
Unfortunately, there are no known pathognomonic ndings on history or
physical examination that can provide a signicant level of certainty in the
diagnosis of facet-mediated pain. The pain is described typically as aching,
deep, and dull with aggravating factors, such as standing, walking, exion,
and extension. Facet-mediated pain consists of the axial and the distal,
referred component with the former producing more intense symptoms
[18]. The cervical referral patterns typically involve the parietal, occipital,
shoulder, upper arm, and periscapular regions. Pain produced by the

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lumbar facet joints can be referred to the buttocks, groin, and thigh and
even distal to the knee. On physical examination, patients may have
decreased spinal range of motion, localized muscle spasm, paraspinal muscle
tenderness, and a normal neurologic examination unless facet joint hypertrophy or synovial cysts are causing radiculopathy or contributing to spinal
stenosis. Facet joint loading achieved by spinal extension with concomitant,
ipsilateral rotation can reproduce typical symptoms but is not shown to be
clinically specic or sensitive.
Diagnostically, the presence of facet joint arthropathy on spinal imaging
does not provide evidence that the pain experienced by a patient is facet
joint mediated, because facet spondylosis is a common nding in asymptomatic individuals and in the ageing population. Fig. 1 is an axial CT image of
lumbar spine showing facet joint osteophyte formation. Nevertheless, MRI
provides the best overall imaging information about the degree of hypertrophy, presence or absence of intra-articular uid, and the level of neural
impingement by a facet cyst or an osteophyte. Single photon emission CT
(SPECT) scanning also can provide additional information on the level of
inammatory activity within the joints; however, this study is not recommended as part of the routine diagnostic work-up. Diagnostic medial
branch blockade under uoroscopic guidance can provide a level of certainty but depends greatly on the expertise of the injectionist, the technique
used, blinding of patients, and interpretation of the results with a thorough
understanding of local anatomy. In addition to the facet joints, the medial
branches also innervate the interspinous and supraspinous ligaments and
the multidi.

Fig. 1. CT axial image of lumbar spine. The facet joint lines appear irregular with evidence of
osteophyte formation (arrow).

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Internal disk disruption

A controversial entity, internal disk disruption (IDD), is proposed as
a cause of diskogenically mediated pain limited to the internal milieu of
the intervertebral disk and separate from other clinical entities that produce
their pathologic eect by deformation of the disks external contour as seen
with disk protrusion, extrusion, or free disk fragments. According to one
study, IDD is present in 39% of individuals suering from chronic low
back pain and most commonly aects L4/5 and L5/S1 vertebral segments
[19]. IDD occurs as part of the degenerative cascade, which can be age
related, post-traumatic, or inuenced by genetic predisposition [20].
Progressive annular deterioration and ssuring eventually can extend to
involve the outer third of the annulus brosis, which is populated thickly
with nociceptive nerve endings [21]. Stimulation of these nociceptors,
through direct extension of annular tears or via an inammatory cascade
initiated by the local release of proinammatory cytokines, is proposed as
a cause of spinal pain secondary to IDD [22].
Unfortunately, there are few symptoms and physical ndings that can
diagnose IDD consistently and reliably [19]. It is believed, however, that
individuals who have IDD typically complain of axial spinal pain that
increases with sitting and, to a lesser degree, standing. Distal and proximal
referred pain also can be part of the clinical picture without direct compression of the exiting spinal nerve roots [23]. On physical examination, patients
may present with a severely diminished range of motion involving the aected
vertebral segment and an inability to maintain a sitting or standing position.
Neurologic symptoms or ndings conspicuously are absent. Severe muscle
spasm and tactile hyperalgesia often can be appreciated at the involved level.
The gold standard for diagnosis of IDD is provocative diskography immediately followed by CT, which provides a better visual delineation of the
location and extent of annular tears. Fig. 2 is a uoroscopic postcontrast
image from a lumbar diskogram. The L3/L4 and L4/L5 intervertebral
disks appear normal. The L5/S1 disk shows extensive ssuring with signicant loss in disk height. Diskographic pressurization provides more of
a physiologic and dynamic examination of the disk architecture and tends
to reproduce concordant pain within the symptomatic, diseased intervertebral disk. There is, however, a signicant amount of controversy surrounding provocative diskography and its usefulness in directing treatment or
predicting spinal fusion outcomes successfully [24,25]. Population studies
fail to show good correlation between degenerative spinal pathology, as depicted on MRI, and the presence of clinically signicant spinal pain [26].
Studies comparing MRI ndings with the results of provocative diskography show a correlation between the presence of intradiskal high-intensity
zones and positive diskographic results [27]. A high-intensity zone is
believed one of the hallmarks of IDD and is believed to represent an active
annular tear.

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Fig. 2. Fluoroscopic postcontrast images of a lumbar diskogram. The L3/L4 and L4/L5
intervertebral disks appear normal. The L5/S1 disk shows extensive ssuring with signicant
loss in disk height.

Somatic dysfunction
Somatic dysfunction is an osteopathic term, dened as impaired or
altered function of related components of the somatic (body framework)
system; skeletal, arthrodial, and myofascial structures; and related vascular,
lymphatic, and neural elements [28]. Somatic dysfunction of the vertebral
column can lead to spinal pain with a proximal or distal referral pattern
and clinically and functionally signicant restriction of cervicothoracolumbar, occipitocervical, or sacroiliac ranges of motion. These restrictions also
can lead to the development of cervicogenic headache, functional leg length
discrepancy, gait abnormality, peripheral joint pain, and restricted breathing in cases involving costovertebral and sternocostal motion segments.
Treatment of lumbar vertebral somatic dysfunction with osteopathic
techniques is shown to relieve pain in a recent meta-analysis [29].
There are several proposed physiologic mechanisms that can lead to the
development of somatic dysfunction, such as synovial meniscoid entrapment, poor tracking of the two opposing diarthrodial surfaces, physicochemical alteration of synovial uid properties, alteration of muscle
length and tone leading to asymmetric eects on the joints, and more
obvious causes, such as trauma, degenerative disease, and inammatory
or neurologic conditions aecting normal physical functioning of the
musculoskeletal system [28].

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Diagnosis of vertebral somatic dysfunction is made by conducting a comprehensive structural examination through observation for asymmetry in
posture and gait and through a detailed range-of-motion evaluation of
symptomatic and distal, asymptomatic motion segments. Palpatory examination provides information on tissue texture, temperature, thickness, tone,
and motion sense.
Imaging studies typically do not provide information on whether or not
somatic dysfunction is present but do provide information about the possible cause of the dysfunction and can direct osteopathic treatment. In cases
of acute disk herniation or osteoporosis, high-velocity low-amplitude
manipulation absolutely is contraindicated.

Spinal fractures
Nonosteoporotic fractures of the spine can occur after signicant spinal
trauma or as a consequence of primary malignant or metastatic disease.
Detailed discussion on the diagnosis and management of spinal fractures is beyond the scope of this article. In general, new-onset spinal pain after signicant injury that involves axial compression, hyperextension, or exion-type
trauma should be assessed for possible fracture or fracture/dislocation. Patients who have a suspicion of post-traumatic spinal fracture need to undergo
immediate clinical and radiologic assessment for fracture stability and to rule
out spinal cord injury. In older individuals who have new onset of nontraumatic spinal pain or in patients who have a clinical history suspicious for primary or metastatic disease of the spine, malignant fractures need to be ruled
out. Cancers that typically metastasize to the spine originate in the breast,
prostate, lung, kidney, and stomach. Multiple myeloma is the most common
primary spinal malignancy. Complaints of generalized malaise, deteriorating
appetite, weight loss, and constant or progressive pain that is worse nocturnally are some of the typical symptoms in individuals who have malignancy.
X-ray imaging is the modality used most commonly in the diagnosis of spinal fractures. At times, when a fracture is suspected and not observed with
plain radiography or if a detailed examination of a fracture is required, CT
is used. MRI with intravenous contrast typically is used to assess the relative
age of the fracture and the state of the neural elements and to help detect a malignant inltrative process. Bone scintigraphy can provide information on the
level of relative metabolic activity within the fracture itself.

Vertebral osteomyelitis
Bacterial osteomyelitis is the most common type of spinal vertebral infection. It is notoriously dicult to diagnose early because of its insidious nature and lack of localizing symptoms and signs. Rapid diagnosis, however,
is paramount, because delay in treatment can lead to spinal deformity and

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instability, paralysis, sepsis, and even death. The vertebral body is the most
common site of bacterial seeding, with the posterior elements, such as lamina
or facet joints, rarely involved. Lumbar spine is involved most frequently,
followed by the thoracic and cervical spinal regions. Hematogenous bacterial
dissemination is the most common pathophysiologic mechanism for vertebral osteomyelitis. The genitourinary tract is the source of infection identied
most often, followed by the respiratory tract, oral cavity, and skin ulcers or
wounds [30]. Direct inoculation as a result of a spinal procedure or surgery or
contiguous spread from a local soft tissue infection is another mechanism of
seeding. The organism isolated most frequently in vertebral osteomyelitis is
Staphylococcus aureus, followed by Streptococcus and enteric gram-negative
rods Candida, and Pseudomonas are seen most commonly in intravenous
drug users. Some of the well-known predisposing factors are male gender,
diabetes mellitus, immunocompromised state, sickle cell anemia, hemodialysis, spinal instrumentation, and intravenous drug use [30].
In the early stages of infection, patients typically complain of axial pain,
which is gradual and nontraumatic in onset, becoming constant and progressive in nature over time. Nocturnal pain, symptoms of malaise, generalized fatigue, and depressed appetite commonly are seen with fever and,
surprisingly, observed rarely. Neurologic symptoms are not seen until later
stages, when the infection extends directly into the epidural space and an
epidural abscess begins to compress the adjacent neural tissues. On physical
examination, patients may appear listless and in severe pain, unable to tolerate standing or sitting. The site of infection typically is warm to touch and
sensitive to palpation, with evidence of surrounding muscle spasm. Neurologic decits consistent with radiculopathy or spinal cord compression are
seen in severe cases.
Leukocytosis notoriously is absent. Early in the disease process, elevation in sedimentation rate and C-reactive protein has high sensitivity
and low specicity; blood cultures often fail to isolate the causative organisms. The results of CT-guided disk or vertebral biopsy also frequently are
unsuccessful in pinpointing the bacterial cause. It can take up to several
weeks for plain radiographs to show radiologic evidence of spinal infection, such as disk space narrowing and end plate destruction. In the later
stages, radiographs may show vertebral collapse with or without bony
sclerosis and the presence of soft tissue mass. MRI with administration
of intravenous gadolinium is the imaging modality of choice for early
detection of osteomyelitis. Bone scintigraphy has high sensitivity but
unfortunately cannot dierentiate an infection from metastasis or a degenerative, inammatory process.
Polymyalgia rheumatica
Polymyalgia rheumatica (PMR) is a rheumatologic syndrome of unknown etiology that may produce neck and trunk pain. The disease typically

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develops in patients age 50 and older and tends to evolve over the course of
4 to 8 weeks. The diagnosis primarily is clinical, but suggested diagnostic criteria include (1) aching and morning stiness lasting greater than 30 minutes
and involving at least two of the following regions: neck, shoulder girdle,
and pelvic girdle; (2) age greater than 50; (3) erythrocyte sedimentation rater
greater than 40; (4) duration of symptoms greater than 1 month; and (5) no
other disease present [31]. Patients have a normal neurologic examination
without signicant muscle weakness. Diseases that need to be excluded in
the dierential diagnosis include various forms of arthritis, viral myalgia, bromyalgia, polymyositis, hypothyroidism, depression, and occult malignancy or infection [32]. Once a diagnosis of PMR is made, it is important
to rule out temporal arteritis, which approximately 15% of patients who
have PMR develop. Temporal arteritis, when untreated, can produce visual
loss. PMR is treatable and responds well to low-dose oral corticosteroids
(1020 mg/day of prednisone); if it is associated with temporal arteritis,
higher doses of corticosteroids are required.

Atlantoaxial instability
The transverse ligament and the two facet joints provide the majority of
the stability to the C1/C2 articulation. When these structures are disrupted, pathologically excessive movement occurs, known as atlantoaxial instability. Forced rotational trauma and medical conditions, such as
rheumatoid arthritis and Down syndrome, in which ligamentous laxity
and inammatory joint erosions occur, are common causes of atlantoaxial
instability. Anomalies of the odontoid process, such as aplasia, hypoplasia,
and os odontoideum, in which there is incomplete fusion of the odontoid
to the body of the axis, also can produce atlantoaxial instability. Severe
neurologic decits can occur when the central spinal canal becomes compromised by atlantoaxial instability. Individuals who carry this diagnosis
can be completely asymptomatic or present with complete tetraplegia requiring ventilator support. Early symptoms may include neck and suboccipital pain, especially with cervical exion/extension and rotation. In
more advanced cases, signs and symptoms of myelopathy become more
prevalent.
Atlantoaxial instability can be diagnosed with plain radiographs by
measuring the atlantodens interval with views of the cervical spine in
neutral and in exion and extension. The atlantodens interval is dened
as the distance between the posterior aspect of the anterior arch of the
atlas and the odontoid process. In adults, this distance should not exceed
3 mm, and in children it should not be greater than 5 mm. CT scanning
and, to a better degree, MRI can assess the degree of spinal canal narrowing further and whether or not there is signicant damage to the spinal
cord itself.

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Atlanto-occipital joint pain

Some clinical and investigational evidence points to the atlanto-occipital
(C0/C1) joints as possible sources of suboccipital and occipital pain [33].
The cranium articulates with the rest of the cervical spine via these two
joints which, given their sagitally oriented anatomy, allow for most of the
cervical exion and extension. This craniocervical articulation is a stable
construct except when it is still underdeveloped in children or when signicant trauma causes atlanto-occipital dissociation resulting in death from
brain stem compression. Degenerative joint arthritis and acceleration-deceleration injury probably are the most common mechanisms leading to C0/C1
joint pain. Patients who have this type of pathology report increased pain
with neck exion and extension maneuvers.

Osteoporotic vertebral compression fracture

Osteoporosis is a systemic bone disorder characterized by pathologic
decrease in the bone mass resulting from greater net bone resorption than
new bone formation. Osteoporotic vertebral compression fractures can be
a common cause of spinal pain in the older patient population and aect approximately 25% of postmenopausal women in the United States [34]. The
prevalence of this condition shows continued progression with advancing
age and, although less common, can be a source of morbidity in older males
[35]. The risk factors for the development of osteoporotic fractures are the
same as those for osteoporosis. They include advanced age, female gender,
Caucasian and Asian races, family and personal history of prior compression fractures, susceptibility to falling, estrogen and nutritional deciency,
lack of physical activity, and low weight. Antecedent trauma not always is
a prerequisite. Some compression fractures occur during quiet sleep or while
performing such normal activities as sitting or bending forward [36].
The pain typically is described as having a sudden onset, axial in location,
sharp, ranging from mild to severe in intensity, and exacerbated by sitting,
standing, and bending forward. A percentage of these fractures, however, is
clinically silent without concomitant pain. Neurologic symptoms usually are
absent except when, in rare circumstances, a burst fracture causes retropulsion of bone fragments into the spinal canal. On physical examination,
patients may have exaggerated thoracic kyphosis resulting form loss of anterior vertebral height at multiple levels. The area of compression fracture
usually is tender to palpation with evidence of surrounding muscle spasm.
The typical radiographic appearance of an osteoporotic compression
fracture includes anterior wedging of the vertebral body with sparing of elements of the middle and posterior columns. Plain radiographs, however,
are not able to provide the age of the fracture, which can help with directing
treatment. MRI with fat suppression and SPECT scanning can assess the
relative age and the extent of metabolic activity of the compression fracture.

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Scheuermanns disease (Sheuermanns kyphosis)

Scheuermanns disease is a developmental disorder of the spine, which
has a familial predisposition and usually aects skeletally immature adolescent males. The initial sign is a postural deformity, specically thoracic
kyphosis, which becomes progressive over time. In the early stages of the
disease, patients can be completely asymptomatic and later, with progression of the deformity and the resultant compensatory lumbar lordosis,
may begin to complain of axial thoracic and lumbar discomfort. This type
of kyphotic deformity does not reduce with extension, as seen in individuals
who have rounded back posture. Anterior vertebral wedging of at least three
adjacent vertebra with evidence of end plate abnormalities on lateral views
conrms the diagnosis. MRI can depict further degenerative diskogenic
changes, such as disk desiccation and formation of Schmorls nodes, at
multiple intervertebral levels.

Spondylolysis
Spondylolysis is a structural defect of pars interarticularis, which connects
the superior facet articular process to its lamina. This defect can be unilateral
or bilateral and is observed most commonly at the L5 vertebral level. Spondylolysis is caused by a genetic predisposition or fatigue stress injury of the neural arch, most commonly of the repetitive extension type, as seen in gymnasts,
weight lifters, and football players [37]. General population studies show an
overall prevalence rate of 3% to 6%, with initial occurrence in the preschool
years and peaking in the early adulthood [38]. One of the major concerns with
bilateral spondylolysis is progressive spondylolisthesis, when a superior vertebral body undergoes anterior slippage with respect to the inferior vertebral
segment. The risk of signicant slippage is low in skeletally mature individuals
and occurs most frequently during the adolescent growth spurt.
Most people who have radiologically conrmed spondylolysis are clinically asymptomatic [38]. When the fatigue fracture of spondylolysis is an
active or acute lesion, the pain is in the low back with intermittent radiation
into the gluteal and proximal lower extremity regions. On physical examination, patients may present with a hyperlordotic lumbar spine, tight
hamstrings, tenderness of the aected lumbar segment, and reproduction
of pain, with maneuvers stressing lumbar extension and ipsilateral rotation.
The neurologic examination should be normal unless an additional pathologic process is present.
Oblique radiographs (Scotty dog view) can demonstrate a defect in the
pars, but they have low sensitivity [39]. Fig. 3 is an X-ray image showing
a noticeable defect within pars interarticularis. CT scanning is the gold standard test for the presence of the spondylolytic defect. SPECT scanning is
used to determine if the lesion is metabolically active, which would direct
the course of treatment.

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Fig. 3. Oblique X-ray image of lumbar spondylolitis. A noticeable defect within pars interarticularis (arrow) is present.

Spondylolisthesis
Spondylolisthesis occurs when a superior vertebra slips anteriorly with
respect to the inferior vertebrae; this type of pathology is termed anterolisthesis. Retrolisthesis occurs when a posterior slip is observed. The etiology
of the slippage is classied as congenital, isthmic, degenerative, pathologic,
traumatic, or iatrogenic. Isthmic or spondylolytic spondylolisthesis is the
most common type and is the result of bilateral defects within pars interarticularis. A congenital or dysplastic variant is seen when abnormalities in
facet joint orientation or developmental abnormality of the pars occur.
Pathologic slipping of degenerative spondylolisthesis occurs in the context
of intervertebral disk and facet joint, age-related degeneration and is seen
most often at L4-L5 vertebral level but also can be observed at other lumbar
levels and the cervical spine. The spinal column also can be rendered unstable by a local or systemic disease process, by trauma, or iatrogenically, by an
overzealous surgical decompression. The extent of listhesis is classied by
grades ranging from I to V, with grade I associated with 25% slip, II
50%, III 75%, and IV 100%. Grade V, spondyloptosis, occurs when the
superior vertebra completely falls o the underlying vertebra or sacral
promontory, in the case of L5/S1 pathology.
Patients who have spondylolisthesis can be completely asymptomatic or
present with severe neurologic compromise depending on the severity of slip.
The symptoms range from mild low back pain to, in the case of high-grade

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slips, severe radicular pain, leg weakness, and urogenital decits. On physical examination, a hyperlordotic posture, waddling gait, tight hamstrings,
and a step o lumbar deformity can be observed. Depending on the spinal
segment involved, upper or lower motor ndings, sensory decits, or an
abnormal bulbocavernosus reex can be seen on neurologic examination.
Lateral plain radiographs, CT, and MRI all are sensitive in detecting and
assessing the extent of the spondylolisthetic deformity. Fig. 4 is a radiograph
of L4/L5 degenerative grade II anterolisthesis. There is signicant loss of
intervertebral height with intraforaminal osteophyte formation emanating
from the posterior border of L4 and L5 vertebral bodies. CT scanning is
valuable in providing greater bone detail, and MRI provides information
on the severity of neural element involvement in cases of high-grade central
canal stenosis or neuroforaminal narrowing.

Pregnancy-related low back pain

Fifty percent to 90% of pregnant women experience back pain during
pregnancy [40]; the lower lumbar spine and sacroiliac joints are involved
most commonly. Risk factors for back pain during pregnancy are advanced
maternal age, previous history of back pain, and the number of prior pregnancies. There is no demonstrated relationship between the presence of pain

Fig. 4. X-ray image of L4/L5 degenerative grade II anterolisthesis. There is signicant loss in
the intervertebral disk height with presence of intraforaminal osteophyte formation emanating
from the posterior borders of L4 and L5 vertebral bodies.

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and the size of the baby or amount of weight gained by the mother [41,42].
Engaging in an exercise program before pregnancy reduces the risk of back
pain during pregnancy [43]. The pain radiates only occasionally to the thighs
and rarely has a radicular quality.
The cause of this pain is unclear and probably is multifactorial. Hormonal alterations (increased relaxin levels) produce increased ligamentous
laxity, and biomechanics are altered by the anterior displacement of the center of gravity, producing an anterior pelvic tilt and increased lumbar lordosis. Some of the pain may be the result of the development of spondylolysis
or progression of spondylolisthesis. Women who have had children have
a higher incidence of L4-5 spondylolisthesis than those who have not had
children [44]. Vascular compression by the gravid uterus when supine and
disk herniation also can produce pain. If disk herniation is strongly suspected, a noncontrast MRI can be performed safely during pregnancy.
Treatment of low back pain during pregnancy should include a modied
exercise program to strengthen abdominal and back muscles. A maternity
support binder is helpful to some women. Acetaminophen is the pain medication of choice. Nonsteroidal anti-inammatories are contraindicated because they can cause premature closure of the patent ductus arteriosus in the
fetus. There is no evidence of risk produced by cyclobenzaprine, oxycodone,
and prednisone, so they may be considered if necessary [42]. Case reports
indicate that interlaminar epidural steroid injections and surgery for lumbar
disk herniation can be performed safely in pregnant women if necessary (ie,
surgery when neurologic decits are progressive) [45].
Thirty percent to 45% of women continue to have low back pain in the
postpartum period [46]. Risk factors for persistent pain include more severe
pain during the pregnancy and failure to lose the weight gained during pregnancy. The manner in which the mother carries her infant (front pack, back
pack, and so forth) may alter biomechanics of the spine and pelvis; thus,
evaluation of back pain in women who have an infant should include queries
along these lines. Persistent postpartum back pain should be managed as it
would be in any other individual.

Kissing spines (Baastrups disease)

An abnormality of the spine in which the spinous processes of adjacent
vertebrae are in close proximity or in actual contact producing low back
pain is known as Baastrups disease, named for a Danish radiologist. Hypertrophied spinous processes, severe degenerative disk disease with signicant
loss in disk height, and excessive lordosis are the main contributing factors.
Patients usually complain of axial pain, which is relieved by lumbar exion and exacerbated by standing and extension. Local palpation can elicit
the typical pain, and injection of local anesthetic can relieve it, thus also
serving as a diagnostic tool.

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Plain radiographs or CT with sagittal reconstructions can be used to assess the extent of the spinous process hypertrophy, reactive sclerosis, and the
resultant interspinous process surface attening. Fig. 5 is a lumbar CT
showing the hypertrophic spinous processes of the L4 and L5 vertebral bodies in direct contact with evident subcortical sclerosis. Lumbar MRI can
evaluate further for bone edema and presence of the interspinous bursal
uid [47].

Sacroiliac joint pain

The sacroiliac joints are diarthroidial, encapsulated joints, which provide
an extremely stable articulation between the sacrum and the two ilia. They
are a frequent source of pain, with at least one study showing a 23% prevalence rate within a large group of patients presenting to an outpatient clinic
with symptoms of low back pain [48]. These joints possess extensive, multisegmental L2-S3 sensory innervation and, thus, can present clinically with
a variety of pain referral patterns. Provocation studies by intra-articular injection have produced pain in the groin, thigh, calf, and foot [49]. The idea
that these joints possess a clinically relevant amount of articular translation
remains controversial. Cadaveric studies show movement of 2 to 4 , and
one in vivo study shows a 2 ilium on sacrum translation [5052]. Sacroiliac

Fig. 5. Lumbar CT with sagittal reconstruction. Hypertrophic spinous processes of L4 and L5

vertebral bodies are in direct contact exhibiting signicant subcortical sclerosis. Severe upper
lumbar scoliosis also is evident.

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435

joint pain often is present in individuals suering from inammatory conditions, such as a spondylotic arthropathy, or in a post-traumatic setting,
when a capsular tear or subluxation causing somatic dysfunction occurs.
In older individuals, sacroiliac joint arthropathy can produce pain.
Clinically, patients who have this source of pain complain of dull, aching,
gluteal discomfort, especially with weight bearing and with ipsilateral hip
and lumbosacral exion and extension maneuvers. As discussed previously,
the pain commonly is referred to other distal anatomic regions, especially
the groin, but does not have proximal referral patterns, such as to the upper
lumbar spine. Patients also report ipsilateral hip muscle tightness and
decreased hip range of motion. On physical examination, gait antalgia on
the aected side, pelvic obliquity, and leg-length discrepancy can be
observed. Patients may favor their painful sacroiliac joint while sitting.
Palpatory examination can exhibit sacroiliac joint line and surrounding
soft tissue tenderness. Sacroiliac joint testing with the use of joint specic
tests readily can reproduce a patients usual pain, but these tests are not
specic or reliably diagnostic.
Plain radiography can assess the sacroiliac joint for the presence of
arthritis, but as in the case of facet joint arthropathy, arthritis is a common
age-related nding with a high prevalence in asymptomatic population.
MRI can detect inammatory pathology, sacral insuciency fractures,
and ominous ndings, such as tumor or abscess. Intra-articular sacroiliac
joint injections performed under uoroscopic guidance can be used for
diagnostic and therapeutic purposes.

Sacral stress fracture

Stress fractures can be classied into two distinct categories: fatigue and
insuciency stress fractures. Fatigue stress fractures tend to occur in athletically active populations, when excessive and repetitive physiologic loads are
applied to metabolically normal bone. Sacral insuciency fractures occur
under normal, physiologic stress in a metabolically weakened bone [53].
They are a common cause of nonspecic low back or pelvic pain in postmenopausal, osteoporotic women. Insuciency fractures also can be part of the
clinical presentation known as the female athlete triad, which consists of eating disorders, amenorrhea, and osteoporosis [54]. Some of the other known
risk factors include Pagets disease, prolonged corticosteroid use, osteomalacia, rheumatoid arthritis, and local radiation treatment [55].
Typical symptoms include severe low back and gluteal or groin pain exacerbated by weight-bearing activities, such as walking and sitting. Physical
examination typically reveals sacral tenderness, parasacral muscle spasm,
and lack of neurologic decits.
Plain radiographs may not detect a sacral stress fracture for up to several
months after its initial occurrence and are notorious for missing these

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fractures altogether. MRI and bone scintigraphy are the imaging modalities
of choice in terms of sensitivity and early detection. CT also can provide denitive diagnosis in cases where MRI is contraindicated or inconclusive. Insuciency fractures also can occur in the iliac bone and within the pubic and
supracetabular parts of the pelvis.
Coccygodynia
Coccygeal pain or coccygodynia is a rare disorder, observed more commonly in women and at times producing functionally limiting pain. Direct
trauma to the coccyx, as seen during a fall, is a common cause. Coccygodynia also may develop when the sacrococcygeal synchondrosis is forced out
of alignment during childbirth. Still, in a signicant number of cases, the exact cause of coccygeal pain remains elusive.
Coccygeal pain typically is exacerbated by direct pressure on the coccyx
as seen in sitting or with direct palpation. Passive internal hip rotation or
straining during a bowel movement also may increase the pain.
Plain radiographs typically are ordered to rule out bone injury (such as
possible dislocation) to the coccyx. In some recalcitrant cases, bone scanning
might be considered to look for an ongoing inammatory process.
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Neurol Clin 25 (2007) 439471

Neck and Low Back Pain: Neuroimaging

Manzoor Ahmed, MDa,*, Michael T. Modic, MDb
a

Department of Radiology, Louis Stokes VA Medical Center, 10701 East Boulevard,

Cleveland, OH 44106-1702, USA
b
Department of Radiology, Cleveland Clinic Foundation, 9500 Euclid Avenue,
P34, Radiology, Cleveland, OH 44195, USA

Neck and low back pain are among the most common medical disabilities
in the Western world, with great economic and personal consequences [1].
According to a study by Hansson and Hansson [2], the annual total costs
for back and neck problems can approximate 1% of the gross national
product. Approximately 80% of the population suers from back pain at
some point in their lives [3], 80% get an imaging study, and 80% have nonspecic imaging ndings. A signicant portion of the cost of the morbidity
associated with neck and back disorders is related to diagnostic testing. A
signicant component of this diagnostic testing is related to medical imaging, which is used to provide accurate morphologic information. Although
degenerative changes of the spine are believed to be responsible for the majority of patient symptoms, they are not the only cause, and diagnostic
imaging plays an important role in providing accurate diagnostic considerations. The ability to characterize these alterations better should provide
a means of stratifying patient changes more accurately, thus a more
accurate understanding of etiology. Not only are morphologic changes
depicted in ever-increasing anatomic detail but also additional information
is emerging that may help in understanding more fundamental alterations
at the cellular and biochemical level. The impact of medical imaging on
therapeutic decision making and cost eectiveness, however, other than
as a presurgical tool, remains untested.
What separates individuals who have dramatic morphologic ndings and
who have no symptoms from individuals who have identical alterations and
who do have symptoms? The relationship of etiologic factors, the morphologic alterations that can be characterized by imaging, and the mechanisms
of pain production and their interactions in the production of symptoms all

* Corresponding author.
E-mail address: [email protected] (M. Ahmed).
0733-8619/07/$ - see front matter 2007 Elsevier Inc. All rights reserved.
doi:10.1016/j.ncl.2007.01.007
neurologic.theclinics.com

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are important and interactive factors. What follows is a review of the diagnostic imaging modalities used most commonly and their roles in patient
management.

Imaging modalities
MRI
MRI currently is the test that provides the most information, albeit at
a higher cost than other modalities. Using a variety of pulse sequences
and paramagnetic contrast media, the extradural, intradural, and intramedullary spaces can be targeted. If the pathology is believed most likely in
the extradural space, then a combination of T1, T2, and short tau inversion
recovery (STIR)-weighted sequences is used. T2-weighted images provide
myelographic-like display of epidural impressions by degenerative changes
and sensitivity to intramedullary pathology. T1-weighted images allow a
second type of contrast evaluation of the extradural structures, especially
of the bone marrow and extradural soft tissue structures. STIR as a fatsuppression technique aids in the unmasking bone marrow, soft tissue
edema, and inltrative processes and provides another form of contrast
for the detection of cord pathology. Gradient-echo images provide shorter
scan times and sensitivity to susceptibility eects, as seen with blood byproducts. Paramagnetic contrast agents are important for the detection of
intramedullary disease, to assess the status of the spinal cord blood barrier.
For extradural processes, such as spondylodiskitis and the postoperative
spine, it can be useful in assessing epidural inammation and brosis.
MR myelography generally uses a strong T2*-weighted sequence of 3-D
fast imaging with steady-state precession without intrathecal contrast injection. Although early studies have shown promise for the evaluation of nerve
root compression and spinal stenosis by MR myelography [47], it is not
used commonly in routine practice.
MR neurography uses high-resolution T1 imaging for anatomic detail,
and fat-suppressed T2-weighted or STIR imaging to show abnormal nerve
hyperintensity [810]. A wide variety of pathologies involving the sciatic
nerve, such as compression, trauma, hypertrophy, neuromas, and tumor
inltration, may be seen [11,12]. MR neurography has demonstrated piriformis syndrome (piriformis muscle asymmetry and sciatic nerve hyperintensity) with a high specicity [13].
CT and other modalities
CT is an important modality in spinal imaging, with its greatest strength
producing rapid, isotropic data sets, which can be post processed for evaluation of extradural disease. Without intrathecal contrast, it is insensitive to
intradural and intramedullary disease. It is the most accurate modality for

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the evaluation of bony detail. With multidetector systems, entire regions of

the spine can be examined in seconds with slices as thin as 0.6 mm, providing
highly accurate bony details in the evaluation of degenerative disease and
fractures and for preoperative planning. CT is also highly accurate in anatomic assessment of spinal stenosis and disk herniation [14]. Plain radiography still holds a screening role in dynamic imaging (ie, exion and extension
views to evaluate alignment for instability). Although not yet popular,
dynamic CT and MRI, using exion, extension, axial loading, or standing
in open MRI systems, have been performed with positive results [1517].
Conventional myelography has been replaced almost completely by CT
myelography, particularly with the advent of multidetector scanners [18].
The use of this procedure, which requires the instillation of a contrast medium
intrathecally, currently is limited to preoperative conrmation of MR ndings
in selected cases, inconclusive MRI scans, postoperative instrumented spine
disease, and patients who have MRI contraindications. The focus of the examination is assessment of epidural impressions on the thecal sac and lling of the
nerve root sleeves. Dynamic CT myelography, using exion extension positioning or axial loading to unmask positional stenosis, can be performed
but is not yet accepted widely [16]. Provocative diskography is used for the
evaluation of persistent back pain that is unexplained by other less invasive
tests. It also is used for pre-fusion assessment to determine the status of disk
spaces above and below levels of proposed fusion. The cardinal component
of diskography is disk stimulation, not the morphology of the disk at diskography [19]. The criticism of diskography is related mainly to its invasive
nature, reliability of the patient response, and lack of specicity [2022].
Several radiologic procedures are promoted as techniques that provide
localizing and therapeutic value in patients who have spine disease. Diagnostic nerve root and epidural injections are reported as having a high positive predictive value but low or indeterminate negative predictive value and
specicity [23,24]. Diagnostic facet and sacroiliac joint blocks involve the
instillation of local anesthetic around facet joint nerves (medial branch or
dorsal ramus) and are reported to be reproducible, reasonably accurate,
and safe. Some reports suggest that partial to complete pain relief for
6 months to 1 year may be achieved with facet block (see the article by Levin
elsewhere in this issue) [25,26].
Neck pain, cervical radiculopathy, and myelopathy
The cervical spine is more exible and mobile than the lumbar spine. The
disk spaces are thinner, the canal and foramina are narrower, and there is
less epidural fat in the cervical spine. Disk herniations are less common
than in the lumbar region and associated more often with concomitant
bony degenerative changes. Degenerative bony changes are seen in the vertebral bodies, facet joints, and the uncinate processes, which are designed to
control translational motion of the cervical vertebrae.

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Disk osteophyte complex

Osteophyte formation usually develops in the setting of disk herniation in
cervical spine. The majority of osteophytic spurs contains bulging or frankly
herniated disk material [27]. A disk-dominated complex has a better prognosis and greater tendency to regress spontaneously [28] than an extradural
defect that is predominately bony (Fig. 1A, B).
Radiculopathy
Clinical assessment is critical for tailoring cervical examinations. Cervical
radiculopathy should be distinguished clinically from other causes of neck
and arm pain. Spondylotic radiculopathy is most common at C5-6 and
C6-7. MR or CT with intrathecal contrast (CT myelography) is the most
accurate imaging test. Plain lm oblique views may identify foraminal
encroachment from end-plate or uncovertebral joint and facet joint spurring
but is insensitive to disk disease. CT is more sensitive to bony disease
(Fig. 1C). Unexplained radiculopathy should prompt the search for foraminal or far lateral disk protrusions or osteophytes.
Myelopathy
Spondylotic compressive myelopathy is the most common cause of cord
dysfunction in patients over 50 years of age. Other less common causes have
toxic, metabolic, or neoplastic etiologies. The term, myelitis, which also
results in cervical cord dysfunction, usually is reserved for infectious or

Fig. 1. Cervical degenerative disk disease. (A) Reconstructed sagittal CT myelogramdpatient

who had right C7 radiculopathy, anterior epidural defect dorsal to C6 body (arrows). (B) Axial
CT myelogram, same patientdbetter shows thecal sac compression resulting from disk extrusion (dark arrows). Note intact left lateral recess thecal sac and nerve root (white arrow).
Also, note bony dominant hypertrophic change at C5-6 (A) (arrowhead) with mild impression
on thecal sac. (C) Axial nonmyelographic CTddierent patient who had bilateral uncovertebral joint spurring (arrows) resulting in foraminal stenosis.

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noninfectious inammatory processes. MRI is the test of choice, as it can

show not only cord compression but also intramedullary pathology. Sagittal
T2 imaging supplemented by sagittal proton density, STIR, and axial T2 imaging is essential for diagnosis of intramedullary signal abnormality (Fig. 2).
Pyogenic cervical spondylodiskitis
Pyogenic cervical spondylodiskitis with or with out epidural abscess is
more common than once believed [29]. Intravenous drug abuse is one of
the most important risk factors [30]. Rarely, isolated epidural abscess is
seen. There was a high incidence of multilevel involvement and epidural
abscesses in a study of pyogenic cervical spine infections by Friedmand
and colleagues [31]. MRI with and without contrast is the study of choice.
Given the smaller cervical disk spaces and potential anatomic space in the
prevertebral soft tissues, the dominant ndings in cervical spondylodiskitis
comprise prevertebral edema or abscess with minimal disk space or endplate marrow changes. Sagittal STIR images are the most sensitive sequence
for the detection of subtle prevertebral edema and inammation. True abscess formation usually is manifested by peripheral enhancement of a uid
collection versus conuent epidural soft tissue enhancement, which is
more typical of a phlegmon (Fig. 3).

Fig. 2. Cervical melopathy: sagittal T2 images. (A) Posterior disk bulging or protrusion at C6-7
(arrow), mildly attening the cord; associated focal signal abnormality (arrowhead) representing
spondylotic myelomalacia. (B) Extensive myelomalacia (arrows) as a sequela of spondylosis and
perioperative vascular compromise. Patient status post extensive posterior decompression at
C3-7. (C) AS with collapsed C5 vertebra; note cord swelling and signal abnormality (arrow)
resulting from compression by C5 retropulsion. (D) Ependymoma. Sagittal T2dexpansile
heterogenous mass (arrows) with marked cord edema (arrowheads).

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Fig. 3. Cervical spine infection. (A) Prevertebral abscess. Sagittal STIR with prevertebral T2
hyperintensity (arrows), later proved to be the result of C1-2 infection, not quite apparent on
this examination. (B, C) DO. Lateral plain lm (C)dfocal end-plate erosion (arrows). Sagittal
T2 (C)dC6-7 T2 hyperintensity in the vertebral bodies and disk space (arrows) resulting from
DO. (D) Epidural abscess. Sagittal T1 post contrastddierent patient who had spontaneous
rim-enhancing extensive anterior epidural uid collection (arrows).

Atlantodental and upper cervical spine disease

The atlantodental intervertebral level is unique as it lacks a typical disk
space. It is the level most proximate to skull base. A soft tissue ligamentous
complex supports the atlantodental joint. These structures give rise to the
manifestations of a group of disorders. In rheumatoid arthritis, C1-2 is
aected in approximately 20% to 25% of patients, resulting in neck or
occipital pain, and may cause compressive myelopathy [32,33]. Typical imaging features of subluxation (usually anterior) and odontoid erosion are displayed on conventional radiographs and reformatted sagittal and coronal
CT images [34]. On MRI, intermediate T1 and T2 signal intensity changes
with diuse enhancing pannus are seen, encroaching on the subarachnoid
space and compressing the cord (Fig. 4A) [35,36]. Hypertrophy degeneration
results from advanced osteoarthritis, calcium pyrophosphate deposition, or
the sequela of chronic instability, with pseudopannus or pseudotumor formation mimicking rheumatoid arthritis [37]. Advanced age, hypertrophic bony
changes, and nonenhancement of the retrodental soft tissue suggest degenerative etiology (Fig. 4B). Tuberculous spondylitis preferentially involves the
craniovertebral junction and C1-2, with potential for bone destruction and
large spinal or paraspinal soft tissue uid collections and masses [3840].
Atlantodental involvement in ankylosing spondylitis (AS) is common, with
radiologic ndings, including atlantodental calcication, subluxation, or
ossication [41,42]. Upper cervical spine/C2 fracture in AS, although uncommon, may be seen (Fig. 4C). Spondyloarthropathy in long-term hemodialysis
patients, also termed destructive spondyloarthropathy, commonly aects the

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Fig. 4. Atlantodental and upper cervical spine disease. (A) Rheumatoid arthritis. Sagittal T1 post
contrastpredental enhancing pannus (arrow). (B) Pseudopannus sagittal T1 post contrastd
retrodental degenerative soft tissue hypertrophy with compression of the cord. Dorsal rim
enhancement (arrows) likely related to epidural venous plexus. The soft issue was calcied on
CT (not shown). Patient was asymptomatic. (C) AS. Sagittal T2 dental fracture and compromise of the foramen magnum (arrow).

midcervical spine with erosive end-plate changes and also causes atlantodental
subluxation and pseudopannus. On MRI, there are intermediate T1 and T2
signal intensity changes secondary to amyloid deposition [4345].
Prevertebral edema-related disorders
There are several disorders that cause acute neck pain and manifest as
prevertebral soft tissue thickening and T2 hyperintensity or edema. Spondylodiskitis is discussed previously. Acute ligamentous injury resulting from
exion or extension injury may be seen without fractures. STIR-weighted
sequences are the most sensitive for the detection of prevertebral or posterior paraspinal edema, indicative of ligamentous injury and neck sprain
(Fig. 5A). Retropharyngeal cellulites, with or without true abscess, is a pediatric disorder related to tonsillopharyngeal pathology. It is rare in adults
[46] but should be considered in immunocompromised patients who have
neck pain, fever, and prevertebral edema. Calcic retropharyngeal tendonitis is a rare self-limited entity resulting from inammation of longus colli
muscles, with acute onset of severe pain localized in the back of the neck
and aggravated by head movements and swallowing. Prevertebral edema
with amorphous calcic deposits is characteristic (Fig. 5B, C) [4749].
Back pain and lumbar radiculopathy
Back pain and lumbar radiculopathy are the main reasons for referral for
spine imaging. Unfortunately, abnormalities on spine imaging are common

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Fig. 5. Prevertebral edema. (A) Acute ligamentous injury. Sagittal T2dsevere spinal trauma resulting from exion extension injury with extensive prevertebral edema (long white arrows),
anterior ligamentous disruption (small white arrow), posterior ligamentous disruption and epidural hematoma (small white arrowheads), and diuse cord contusions (dark arrow). CT was
negative for fractures. (B, C) Longus colli calcic tendonitisextensive prevertebral edema on
sagittal T2 (A) (arrows) and prevertebral focal calcication (dark arrow) on reconstructed sagittal CT soft tissue neck image (B). Note prevertebral edema on CT (B) (white arrows).

and nonspecic [5052]. This cloud of nonspecicity superimposed on the

multifactorial nature of the back pain poses a perpetual diagnostic and therapeutic challenge to clinicians and radiologists. The causes of symptoms
related to the lower spine are diverse. Back pain and lumbar radiculopathy
are the most common symptoms. The pain usually is attributed to (1) instability associated with disk degeneration, facet hypertrophic arthopathy; (2) mechanical compression of nerves by bone, ligament, or disk material; and (3)
biochemical mediators of inammation or pain. There is innervation of the
outer layers of the intervertebral disk, which is responsible for the pain generation [53,54]. Superimposed reparative changes alter the anatomy, however,
triggering pathologic nociceptive innervation and increased pain. Compression of the nerve roots, alternatively, lead to venous stasis, edema, and, ultimately, intraneural and perineural brosis [55]. This articles discussion on
thoracolumbar spine imaging focuses on degenerative disease, followed by
a brief review of other common disorders responsible for back pain.
Degenerative lumbar spine disease
Anatomic factors
Each spinal level is a three-joint complex with the anterior column (intervertebral joint between the end plates) and the two facet joints of the
posterior column supported by ligaments and muscle groups. The zygoapophyseal (facet) joints and intervertebral disk joints act as an interactive functional unit, perpetually exposed to mechanical stresses, leading to

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degeneration of the osseomyocartilagenous complex [56], resulting in characteristic imaging manifestations. The dynamism at these joints, termed
microinstability, is hypothesized to result in progressive loss of strength in
the joint capsules, leading to degeneration with reactive osteocartilaginous
hypertrophy and disk changes [57]. The inter-relationship of these elements
is important, as evident from the ongoing transition of surgical procedures
from joint fusion to joint replacement [58].
Etiology of disk degeneration
The disk is metabolically active and the metabolism is dependent on diffusion of uid from the marrow of the vertebral bodies across the subchondral bone and cartilaginous end plate or through the annulus brosus from
the surrounding blood vessels. Disk degeneration is linked primarily to
mechanical loading with mechanical factors producing end-plate changes,
considered a precursor to disk changes [59,60]. Mechanical, traumatic,
and nutritional factors all play roles in the cascade of disk degeneration
to variable degrees in individuals. Genetic factors play a role in disk degeneration [6164]. Whatever the cause, by 50 years of age, more than 80% of
adults show evidence of degenerative disk disease at autopsy [65]. MRI can
track the evolutionary changes in disk degeneration, but the distinction
between aging changes and pathologic changes remains unclear [66].
Terminology
Reports point the tendency for interobserver and intraobserver variations
in spine imaging interpretation [6669]. This is related partly to inconsistency in the terminology. In this review, the terms used follow the recommendations of Milette [68]. Spondylosis deformans refers to the
consequences of normal aging aecting mainly the annulus brosus and
adjacent apophyses with anterior and lateral osteophytosis. Intervertebral
osteochondrosis, or deteriorated disk, represents a pathologic process aecting primarily the nucleus pulposus and end plates, dierent from ssuring of
the annulus brosus and reactive or erosive changes in the end plates [70,71].
A transitional vertebra occurs at the junction between two types of vertebral bodies, such as at the lumbosacral junction. A transitional vertebra
demonstrates characteristics of both types of vertebrae, usually involving
the vertebral arch or transverse process, and usually involves a partial fusion
between the two vertebrae. It has an incidence in the general population
ranging from 5% to 30% [7274]. An association with back pain is reported
[75]. A transitional lumbar (L5) or sacral (S1) vertebra may be fused partially or completely with the sacrum or lumbar spine, respectively. Recognition of a transitional vertebra is crucial to appropriate localization before
invasive procedures.
Degenerative disk-space changes
An intervertebral disk is composed of an inner portion, the nucleus pulposus, and a peripheral portion, the annulus brosus. With degeneration

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and aging, there is loss of the hydrostatic properties of the disk, resulting
primarily from increasing type II collagen and alteration in the proteoglycans [7678]. Although morphologic changes of the disk space readily are
characterized on MRI studies, their relationship with patient symptoms cannot be interpreted. Loss of disk space T2 signal intensity is an early and
common MRI sign of disk degeneration (Fig. 6A). In addition, the demarcation of hypointense outer layers of annulus brosus from the central zone
of inner annular layers and the nucleus pulposus is blurred or lost [79].
Vacuum phenomenon and disk calcication, easily identied on plain radiographs or CT, contribute to disk space T2 signal loss. Disk space narrowing,
identied readily on plain radiographs, develops as a result of progressive
disk dessication.
Annular disk bulging, also described as broad-based disk protrusion, typically is visualized as a concentric bulge, sometimes with lateral or posterior
asymmetry. Disk bulges and protrusions generally are incidental ndings
[51]. Impressions on the thecal sac or cord, however, do contribute to central
canal stenosis, particularly in the presence of posterior element hypertrophy
(PEH). Pseudo disk bulging is seen in the setting of anterolisthesis, as a result
of uncovering of the disk at the posterior margin of the end plates.
Annular disk tear, commonly as a radial tear, is manifested by focal T2
hyperintensity in the setting of posterior disk bulging or protrusion. Such
a disk signal abnormality is a strong predictor of annular tears [80,81].
Although some investigators correlate this abnormality with the presence

Fig. 6. Degenerative disk disease. (A) Sagittal T2dposterior annular disk bulges and protrusions with annular tears as T2 hyperintensities (arrows). Note near complete loss of T2 signal
in L4-5 disk space. Arrowhead pointing to Schmorls node. (B) Axial T2 broad-based disk protrusion with annular tear (arrow). (C, D) Degenerative end-plate bone-marrow changes. Sagittal
T2 (C) and T1 (D) showing type I (arrows) and type II (arrowhead) changes. Note remote L2
benign compression deformity (small arrows).

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of back pain [80,82], it has been shown to occur in up to 60% of asymptomatic patients (see Fig. 6A; Fig. 6B) [81,83].
Degenerative end-plate marrow changes
Type I changes represent granulation tissue and show decreased T1 and
increased T2 end plates signal intensity. Type II changes, more common
than type I changes, represent fatty marrow replacement and show increased
signal on T1- and T2-weighted images. Type III changes correlate with
extensive bony sclerosis on plain radiographs and show decreased signal
intensity on T1- and T2-weighted images (see Fig. 6CD) [8486].
Degenerative facet and ligamentous changes
Disease of facet joints (including sacroiliac joints) is identied in 15% to
40% of patients who have chronic low back pain [23,87,88]. Like all diarthrodial synoviumlined joints, the lumbar facet joints are predisposed to
arthropathy related to damage to articular cartilage. CT is the study of
choice to detect and characterize facet arthropathy using thin axial slices
generating high quality 3-D images. The typical features of arthritis include
joint space narrowing, irregularity or osteophytosis, vacuum phenomenon,
and sclerosis (Fig. 7A). Spondylolysis may be seen along with advanced hypertrophic arthropathy. MRI sagittal T2 images show rostrocaudal subluxation (contributing to foraminal stenosis), and axial T2 images demonstrate
joint eusion and associated ndings, such as synovial cysts and ligamentum
avum hypertrophy (LFH) or laxity. Synovial cysts projecting into the
posterolateral spinal canal may impinge the cord, thecal sac, or nerve roots
signicantly. Synovial cysts demonstrate variable T1 and T2 signal depending on their proteinaceous uid content, identied by their origin from facet
joints and their rounded contours (Fig. 7B, C).
Important ligaments of the spine include the anterior longitudinal ligament, the posterior longitudinal ligament, the paired sets of ligamenta ava
(connecting the laminae of adjacent vertebrae), intertransverse ligaments
(extending between transverse processes), and the unpaired supraspinous
ligament (along the tips of the spinous processes). LFH is a common contributor to morphologic central canal stenosis, especially when coexistent
with facet.

Morphologic and functional sequelae of degenerative changes

Disk herniation
Disk herniation is a broad term encompassing dierent types and degrees of
intervertebral disk displacement. Disk protrusion has many synonyms, such
as disk prolapse or herniated nucleus pulposus. Protrusion is limited more
strictly to a bulge less than or equal to 25% of disk circumference, but the

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Fig. 7. Facet joints. (A) Facet arthropathy. Axial CT. Bilateral hypertrophic facet joint changes
(long arrows) in an asymptomatic patient. Note faintly visualized ligamentum avum thickening
(small arrows). (B, C) Synovial cyst. Sagittal T2 (B)da rounded cystic lesion (arrow), which on
axial CT myelogram (C) shows right-side posterior epidural impression on thecal sac, abutting
the facet joint (arrow).

term generally is used for any degree of focal lateral, foraminal, or posterior
disk bulge with primary focus on abutment, compression, or displacement
of the thecal sac and nerve roots (see Fig. 6B). Protrusion is the displacement
of the nucleus pulposus and inner annular material through the annulus but
not through the outer-most annular bers. Its high prevalence in asymptomatic patients is evidence against its specic role in back pain [89].
A disk extrusion, considered a true herniated disk, extends through all the
annular layers but remains connected with the primary disk material by a small
isthmus or neck as the only attachment. A sequestered disk or free disk fragment is an extruded disk that has lost continuity with the primary disk. The
fragment does not cross the midline because of a midline septum, but otherwise it can migrate anterior or posterior to the longitudinal ligament, lateral
recess, neuroforamen, or thecal sac (intradural disk). Schmorls nodes (herniations of the intervertebral disk through the vertebral end plates) usually are
incidental ndings but can been associated with back pain (see Fig. 6A) [90].
Foraminal and far lateral foraminal protrusions constitute 7% to 12% of
all disk protrusions or extrusions and need more emphasis, as they can be
overlooked clinically and on imaging. This subset of herniations, more

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common at L3-4 and L4-5, can have more severe radicular signs on clinical
examination [91,92]. Look for focal herniations in the foraminal and extraforaminal region on axial images and loss of foraminal fat on sagittal images
(Figs. 8 and 9 show disk herniations).
Spinal instability
Segmental instability usually results from degenerative changes involving
the intervertebral disk, vertebral bodies, or facet joints, causing impairment
of the usual pattern of spinal movement and producing translational or
angular motion that may be irregular, excessive, or restricted. Spondylolisthesis refers to displacement relative to the next most inferior vertebral
body. Isthmic or spondylolytic spondylolisthesis is the most common type,
with up to 50% to 60% of spondylolysis resulting in spondylolisthesis.
Spondylolysis refers to a defect in the pars interarticularis or isthmus and
occurs with an incidence of approximately 3% to10% [93]. The majority of
cases demonstrate bilateral L5 pars interarticularis defects, reecting the
uniform stress exerted by the body [94]. Lower lumbar spine spondylosis
is unique to the human species because of upright posture, as spondylosis
is not seen in individuals who have never walked [95,96]. Most isthmic
defects appear in the rst and second decades, reecting the initial and
more vigorous phases of activity in human life [93].

Fig. 8. Degenerative disk diseasedsagittal imaging. (A) Postpartum 23-year-old patient who
had cauda equina symptomsdsagittal T2 image showing L1-2 disc extrusion (white arrow)
with moderate compression of thecal sac. Note diuse disk degeneration with loss of normal
T2 signal and annular disk bulges (dark arrows) in rest of the lumbar spine. (B) Sagittal
T1dforaminal disk (long arrow) with foraminal stenosis; note L4 nerve root compression (arrowhead) and partial loss of hyperintense foraminal fat (small arrows).

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Fig. 9. Degenerative disk diseasedaxial imaging. (A) Axial T1dsame patient as in Fig. 8A;
disk extrusion compressing thecal sac (arrow head ) with crowding of cauda equine nerve roots
(white arrows). (B) Axial T2da young resident physician who had acute right sciatica; note
large disk extrusion (white arrow), compression of thecal sac and right S1 nerve root; left S1
nerve root is intact (arrow head ). (C) Axial CT myelogramddierent patient, mild thecal sac
compression resulting from posterolateral disk protrusion with vacuum phenomenon (dark
arrows); note decompression laminectomy (white arrow). Part of this epidural soft tissue impression is epidural scarring (see Fig. 19A).

Several studies address the question of the clinical signicance of spondylolysis. Patients who have and who do not have back pain have a similar
incidence of spondylolysis [97,98]. Approximately 25% of patients who
have spondylolysis, however, eventually develop signicant back pain during their lifetime [99]. Spondylolysis causes back pain in younger patients
and predisposes to the development of disk and facet disorders in later
life [100]. Oblique radiographs can detect defects in the pars interarticularis
reliably, but thin-slice CT imaging with multiangled reformatting has improved accuracy, showing more defects compared with radiographs [101].
Single photon emission CT (SPECT) imaging is more eective in distinguishing between symptomatic and asymptomatic spondylolysis, and increased activity can aid in the localization of the source of pain [102,103].
MRI supplemented by fat saturation technique may show reversible signal

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abnormalities in the pars interarticularis in the absence of defects, indicating

a stress reaction associated with activity-related low back pain [104,105].
Detection of spondylolytic defects on MRI is dicult [106] unless there is
associated retraction and anterolisthesis. Detection is aided by assessment
of sagittal and axial images [107]. Spondylolysis may be observed on imaging without associated spondylolisthesis (Fig. 10).
Degenerative spondylolisthesis usually is identied in the presence of an
intact pars interarticularis and is related primarily to degenerative changes
of the apophyseal joints, most commonly at the L4-5 vertebral level. Degenerative disk disease may predispose to or exacerbate this condition because
of narrowing of the disk space, which can lead to malalignment of the articular processes and rostrocaudal subluxation (Fig. 11).
Spinal canal stenosis
Spinal stenosis refers to narrowing of the spinal canal, lateral recesses or
nerve root canals, or intervertebral foramina [108]. Two broad groups include acquired (usually caused by degenerative changes) and congenital or
developmental. Some prefer the term, clinical stenosis, reecting the importance of symptoms in establishing the diagnosis [109]. The imaging changes
in general are more extensive than expected from the clinical ndings [109].
There is no strong relationship between degree of stenosis and patient symptoms. Specic imaging ndings do not predict benet from surgery [110].
Position-dependent (dynamic) stenosis that worsens in extension and improves with exion can be distinguished from static stenosis [109,111113].
Congenital stenosis is explained primarily by shortened stubby pedicles
with attened axial appearance of the bony canal resulting from decreased
anterior-posterior diameter along with narrowing of the lateral recesses
and foramina [114]. Congenital stenosis usually is asymptomatic but reduces
the reserve of the spine to accommodate degenerative hypertrophic changes
during aging (Fig. 12). Acquired central canal stenosis in older patients typically is associated with disk and facet disease, disk bulges, and ligamentous
hypertrophy and laxity. Degenerative spondylolisthesis and scoliosis also
can contribute signicantly to spinal stenosis. CT myelography with axial
and multiplanar reformatted images provides greater detail than routine
studies. Sagittal and axial MR images with T2 weighting allow accurate
assessment of thecal sac compression (Fig. 13).
Acquired lateral recess stenosis is caused by diskend-plate or superior
articular facet hypertrophic changes. Asymptomatic nerve root contact
may be seen with disk bulgings, protrusions, and osteophytosis. Contact
by disk extrusion, however, is a signicant nding [51,115]. Axial MRI or
CT myelography shows a triangular-shaped normal lateral recess [116].
Facet and disk margin hypertrophic changes cause acute angled narrowing,
whereas isolated facet hypertrophic arthropathy or PEH (which alone can
cause radiculopathy) results in trefoil-shaped narrowing (Fig. 14) [117].

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Fig. 10. Spondylolysis. (A) Isthmic spondylolysis.sagittal T1dgrade I anterolisthesis of L5 on

S1 (arrow) resulting from L5 pars interarticularis defect with retraction (dark arrow). (B) Bone
scan. Axial SPECTdintense focal uptake right L5 pars interarticularis (dark arrow). (C, D)
Pathologic spondylolysis. Sagittal T1dfocal marrow replacement resulting from multiple myeloma (C) (arrow), transforming into pars defect on follow-up (D) (arrow); no retraction or
anterolisthesis.

Acquired foraminal stenosis can be caused by lateral extension of disk

bulging when associated with spondylosis, facet joint degenerative hypertrophic changes, or laxity (rostrocaudal subluxation). Loss of disk space height
results in decreased vertical dimension of the foramina, whereas the sagittal
dimensions are related to the sagittal dimensions of the pedicle and central
canal [118]. Therefore, foraminal stenosis commonly is seen in association
with canal stenosis. Sagittal MRI provides reliable assessment of the foramina [119] except in scoliosis. CT (preferably CT myelography) can complement the assessment and provide better demonstration of the bony
foraminal canals.
Epidural lipomatosis is the accentuation of normal epidural fat, usually
seen in the setting of endogenous or exogenous corticosteroid excess, and

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Fig. 11. Degenerative spondylolisthesis: reconstructed panaromic sagittal CT myelogramd

diuse degenerative disk disease of the spine. Note mild retrolisthesis at L2-3 and anterolisthesis
at L4-5 (arrows). Also note moderate degenerative central canal stenosis at L4-5.

is common in obese individuals. This usually is an incidental nding, but lipomatosis in the setting of structural stenosis can add to the compromise of
the central canal. Rarely, epidural lipomatosis alone can lead to radiculopathy and cauda equina (Fig. 15) [120122].
Cauda equina syndrome is related to simultaneous compression of multiple lumbosacral nerve roots below the level of the conus medullaris, resulting in a characteristic pattern of neuromuscular and urogenital symptoms.
There are many potential causes, including epidural tumors, disk herniations, and epidural hematomas. Disk herniations account for approximately
1% of cases [123125]. Acute onset of symptoms is a medical and surgical
emergency [123,125]. MRI and myelography can demonstrate compression
of the thecal sac reliably, whereas MRI also can characterize the cause of
compression (Figs. 8A and 9A).

Signicance of imaging ndings in degenerative disease

The role of spine imaging is to provide accurate morphologic information and aid therapeutic decision making. Further advancements will aid
in the understanding of underlying biochemical and cellular characteristics.
Therapeutic decision making, however, is confounded by the high prevalence of morphologic changes in the asymptomatic population. Up to

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Fig. 12. Spinal stenosis: axial T1dcongenital narrowing of the central canal; note decreased
anteroposterior dimension of the canal (arrows) and stubby posterior elements (arrowheads).

30% of asymptomatic patients demonstrate disk herniations and most of

them also have other degenerative change [51,126,127]. The MR ndings
do not by themselves correlate with the presence or duration of low back
pain [128]. The incidence of disk herniations reaches up to 65% in patients

Fig. 13. Spinal stenosis. (A) Sagittal T2dsevere central canal stenosis a result of mild disk bulging and dominant LFH at L4-L5. Note mild L4-5 anterolisthesis. (B, C) Acquired central canal
stenosis. Sagittal CT myelogram (B)dsevere thecal sac compression resulting from retrolisthesis
and associated hypertrophic changes (arrowhead). Note lumbar spine decompression laminectomies (arrows). Corresponding conventional myelogram posterio-anterior image (C) showing
thecal sac defect (arrows).

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Fig. 14. Lateral recess stenosis: axial CTdleft S1 lateral stenosis (dark arrow) resulting from
facet joint hypertrophy; note the left S1 nerve is pushed medially (white arrow). The patient
was asymptomatic.

who have back pain or radiculopathy [51,127]. Disk herniations can show
dramatic reduction in size in patients undergoing conservative management
[129,130]. There is no strong correlation between imaging and likelihood of
clinical outcome [131]. In patients who have acute low back pain or radiculopathy, MRI does not seem to have measurable value in terms of planning
conservative care [132]. The signicance of bone marrow end-plate changes
associated with degenerative disk disease is not clear. Type I changes, however, are shown to have a higher correlation with active low back symptoms

Fig. 15. Spinal epidural lipomatosis: sagittal (A) and axial (B) T1depidural lipomatosis (dark
arrows) with thecal sac compromise (white arrows) likely accounted for patients symptoms as
there was interval worsening of epidural lipomatosis after radiation therapy compared with previous examination (not shown); no epidural tumor was present. Note diuse replacement of the
normal fatty marrow resulting from prostatic metastatic disease.

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[133135]. Patients who have type I marrow changes and who undergo fusion for low back pain do better than those who do not have end-plate
changes or type II patterns [133]. Furthermore, persistence of type I marrow
changes after fusion is associated with signicantly worse outcome [136].
Alternatively, conversion of type I marrow changes to a normal marrow
signal or type II is correlated with good clinical results, successful fusion,
and stabilization [133].

Diskitis osteomyelitis
Infection of the spine easily can be overlooked on clinical and imaging
examinations during the early stages. Pyogenic and tuberculous spondylodiskitis have characteristic imaging features and can be dierentiated to
a considerable degree [137,138]. MRI is the study of choice.
Ledermann and colleagues [139] divide the imaging features of pyogenic diskitis osteomyelitis (DO) into two groups. First, disk-space
changes including loss of disk space height and loss of central disk space
nuclear cleft, but they are not very useful because of low sensitivity and
specicity [139]. Hyperintense T2 signal in the disk space on MRI is,
however, a sensitive marker of diskitis, but similar appearance in a hydrated degenerated disk is common in the authors experience. Contrast
enhancement in the disk space also is a highly sensitive marker and helpful in equivocal cases after noncontrast MRI; lack of disk space enhancement in DO is rare [137,140,141]. CT features usually are nonspecic
unless there is advanced infection. DO should be suspected in cases of
unusually prominent end-plate sclerosis. Look for end-plate lysis and collapse, better appreciated on sagittal reformations. The second group of
imaging features is related to vertebral body and paraspinous soft tissues.
MRI ndings include hyperintense T2 and hypointense T1 end-plate bone
marrow signal abnormality indicative of bone marrow edema and inammation [139,142]. Partial to complete involvement of both vertebral bodies is common. Degenerative end-plate changes mimic spondylodiskitis by
manifesting disk space hyperintensity and associated end-plate changes.
Features favoring degenerative disease include more lateralized end-plate
bone marrow signal abnormality with associated osteophytosis, lack of
paraspinal soft tissue changes, or enhancement in the disk space. Endplate erosion is shown better on T1 images and may result in collapsed
vertebra [142]. Paraspinal- and epidural-enhancing soft tissue thickening
with or with out uid collections is the most reliable imaging feature
[142]. STIR (or other equivalent fat suppression techniques) can be helpful in unmasking the T2 hyperintensity in fat-rich paraspinal or epidural
spaces and vertebral body marrow (Fig. 16). Tuberculous infection typically shows skip lesions, large paraspinal abscesses, vertebral collapse,
and subligamentous spread [143,144].

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Fig. 16. DO. (A) Sagittal STIRddiuse vertebral body marrow edema (white arrows) and disk
spaces hyperintensity (dark arrows) at T12-L1 and L1-2; note mild compression deformity of
L1. (B) Sagittal T1dcorresponding diuse T1 hypointensity in the vertebral bodies (arrows).
(C) Sagittal post ontrast T1ddiuse rim enhancement of L1 representing osteomyelitis (dark
arrow); note disk spaces enhancement and associated anterior epidural inammatory enhancement/phlegmon (white arrows); no clear epidural abscess formation.

Compression fractures and bone marrow disease

The role of imaging in compression deformities is to determine recent
versus chronic onset, compromise of the spinal canal resulting from retropulsion, and benign versus malignant etiology. Plain lms have low sensitivity in detecting mild compression fracture deformities. Nuclear medicine
bone scan ndings are nonspecic and generally need correlation with morphologic studies. The usefulness of MRI in the evaluation of compression
fractures lies in the detection of marrow edema, inltrative changes, and associated paraspinal or epidural tumor. MRI can characterize and dierentiate malignant from benign fractures in the majority of cases, facilitated by
the ndings of heterogeneous bone marrow signal and multilevel and multifocal marrow inltration. Features highly in favor of malignant fractures
include bulging contours, pedicle involvement, paraspinal soft tissue tumor,
and marrow enhancement [145147]. STIR sequences are helpful in identifying edema or tumor-related T2 hyperintensity (Fig. 17). Benign bone-marrow changes, such as patchy osteoporosis, reactive hematopoiesis,
granulomatosis, or renal osteodystrophy, can mimic malignant inltrative
process (Fig. 18). Multidetector CT with 3-D imaging also can identify malignant fractures by identifying focal cortical or cancellous bone destruction
and outlining the fracture deformities [148]. Percutaneous vertebroplasty
and kyphoplasty are accepted methods of treatment of painful benign or

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Fig. 17. Bone marrow disease: frontal sinus undierentiated carcinoma with metastatic disease.
(A) Sagittal T1dmetastatic involvement of C3, T2, and T4. Note bulging contours at T2 and
T4 and mild cord compression (arrow). (B) Sagittal STIRdcorresponding hyperintense metastatic involvement. (C) Axial T1 postcontrast headdright frontal sinus and calvarial primary
tumor (white arrow) with associated epidural intracranial extension (dark arrows).

pathologic compression fractures [149152]; MRI and multiplanar CT are

helpful in preoperative planning [153].

The postoperative spine

The United States has the highest incidence of spine surgery in the world,
and it has increased over the past 2 decades [154]. There is an incidence of
approximately 15% to 20% of failures, however, termed failed back syndrome [155157]. Neuroimaging is important in this group of patients.
MRI with and without contrast is the study of choice. CT myelography
can be used in cases when MRI studies are inconclusive or degraded by
artifact. Laminectomy is used most commonly for thecal sac decompression
[158]; however, evidence of unilateral laminectomy, fenestration, or undercutting sometimes is dicult to identify on MRI. Look for attenuated ipsilateral ligamentum avum or posterior bulge of the thecal sac into the
defect. After fusion with or without instrumentation, several imaging ndings can be seen. A posterolateral fusion has the appearance of clumps of
corticated bone mimicking facet hypertrophic arthropathy. An interbody
fusion has the appearance of partial to complete ankylosis of the disk space.
Pseudoarthrosis (nonunion of the bony fusion) as assessed by MRI may be
visualized poorly as a result of artifact from the cages. CT can be used to
evaluate for bone formation or nonunion lucency around the cage [159].
Stabilizing xation rods and screws are not a major limitation because of
the current use of MRI-compatible metals, such as titanium. Disk

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Fig. 18. Bone marrow disease. (A) Non-Hodgkins lymphoma. Sagittal T1ddiuse patchy bone
marrow replacement, mainly along the end plates (arrows). (B) Osteopetrosis. Sagittal T1d
end-plates band-like hypointensity resulting from sclerosis (arrows), somewhat mimicking the
appearance in (A). Note the uniform pattern indicating benign process. (C) Sarcoidosis. Sagittal
T1dpatchy to diuse vertebral marrow replacement (arrows) with positive bone scan (not
shown); biopsy showed granulomatous changes. (D) CT sagittal reformatteddband-like irregular
sclerosis along the end plates (rugger jersey appearance) resulting from renal osteodystrophy
(arrows). Note superimposed DO with bone erosion (arrowheads). Destructive spondyloarthropathy may have similar appearance.

replacement devices increasingly are used but with signicant artifact degradation on MRI. Malpositioning and dislodgment of these devices can be observed on imaging (Fig. 19).
Recurrent disk herniation has an incidence of approximately 5% to 10%,
generally dened as disk reherniation at the same level more than 6 months after surgery. Epidural scarring confounds imaging interpretation. In contrast
to the localized bulging of a herniated disk, scarring shows a diuse pattern
with soft tissue replacement of normal epidural fat. A retractile conguration
without mass eect favors epidural scarring [160]. Epidural scar typically
manifests as diuse enhancement, compared with marginal enhancement
around a herniated disk, but dierentiation can be dicult at times. CT myelography may be indicated as a complementary test (Fig. 20A).
A transitional phenomenon can occur as a result of a transitional level
between the lower fused rigid spine and the upper exible spine. This leads
to progressive degeneration, advancing to anterior and posterior column
segmental changes, termed pseudoarthrosis (distinct from nonunion of
bony fusion, also referred to as pseudoarthrosis) (Fig. 20B).
Arachnoiditis is an adhesive brinous process involving the cauda
equina. Multiple causes are described, including prior surgery, infection,
intrathecal injections, and subarachnoid hemorrhage. Two patterns based
on conventional myelography are described by Jorgensen and colleagues

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Fig. 19. Postoperative spine. (A) Malpositioned interpedicular screw. Axial CTdright side
screw encroaching on the lateral recess of spinal canal (dark arrows). Note laminectomy defect
(white arrow). (B) Displaced bone graft cage. Axial CT with intravenous contrastdfocal compression of thecal sac by retropulsed cage (arrow).

[161]: type I, or featureless sac, with absence of nerve root defects, and type
II, with localized or diuse lling defects resulting from nerve roots clumping. On CT myelography or T2-weighted MRI, three patterns are described:
central nerve root clumps or cords, lateral nerve root adhesions with empty

Fig. 20. Postoperative spine. (A) Epidural scar. Sagittal T1 post contrastdsame patient as in
Fig. 9C. Residual or recurrent small disk protrusion (arrowhead) surrounded by mildly enhancing epidural scarring (long arrows). Note more prominent surrounding hyperintensity resulting
from epidural fat and enhancing epidural venous plexus (small arrows). (B) Pseudoarthrosis.
Sagittal CTdL1-2 anterior and posterior column aligned lucency (arrows) resulting from
abnormal motion. Note L2-3 and L3-4 anterior fusion. (C) Arachnoiditis. Conventional posterio-anterior myelogramdtapered lumbar myelographic block (arrows).

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Fig. 21. Spinal dural AVF. (A) Sagittal T2 with distal cord edema (long arrows). Note surrounding prominent ow voids (short arrows). (B) Frontal view of left vertebral artery spinal
angiogram. Note AVF (white arrow) and caudocranial owing midline anterior spinal vein
(long dark arrows) superimposed on anterior spinal artery fed by artery of cervical enlargement
(small dark arrows).

thecal sac sign, and myelographic block with central mass-like appearance
(Fig. 20C) [162].
Spinal arteriovenous malformations
Spinal arteriovenous malformations are rare. Clinical symptoms are
believed related to venous hypertension, hemorrhage, steal phenomenon, or
mass eect by varicosities. Back pain is an uncommon symptom, seen mainly
in younger patients [163]. Classication focuses on the location of nidus or stula (extradural, intradural, or intramedullary), the feeding arteries (single or
multiple feeders), size of the nidus (compact or diuse), and degree of shunting
(low or high ow) [164166]. A classication used commonly denes four
types: type I (most common): dural arteriovenous stula (AVF); type II: intramedullary glomus AVM; type III: juvenile or combined AVM; and type IV:
intradural perimedullary AVF. Typical features on MRI include prominent
intradural or extradural ow voids, cord edema, and perimedullary vascular
and sometimes intramedullary enhancement related to venous hypertension
and ischemia (Fig. 21A) [167,168]. Spinal angiography is used as conrmatory
test and before endovascular treatment (Fig. 21B). Spinal MR angiography
and CT angiography also are useful diagnostic tools [169171].
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Neurol Clin 25 (2007) 473494

The Electrodiagnosis of Cervical

and Lumbosacral Radiculopathy
Bryan Tsao, MD*
Department of Neurology, Loma Linda University, 11175 Campus Street,
Loma Linda, CA 92354, USA

The rst clinical description of lumbosacral and cervical radiculopathy

was made by Mixter and Semmes, yet the role of the electrodiagnostic
(EDX) examination in the diagnosis of suspected radiculopathy was not
used routinely until more than 20 years later [15]. Today, neck and back
pain is one of the most common reasons for all oce visits and for referrals
to EDX laboratories. Despite many patients not having denite radiculopathy or nerve root compression, EDX consultants are faced with performing
a complex test that has a potential impact on treatment.
EDX consultants need to understand the pathophysiology of radiculopathy and conduct the study in a practical manner that optimizes its diagnostic yield. Done correctly, an EDX examination serves to conrm the
presence of radiculopathy, establish the involved nerve root level, determine
if axon loss or conduction block is present, grade the severity of the process,
estimate the age of the radiculopathy, and exclude other peripheral nerve
diseases that mimic radiculopathy.
This topic has been the subject of comprehensive reviews [69]. The purpose of this article is to highlight the anatomy and physiology of nerve root
disease, discuss the pros and cons of the various portions of the EDX examination, and review an EDX approach to the diagnosis of cervical and
lumbosacral radiculopathy.
Anatomy and pathophysiology of radiculopathy
The ventral and dorsal rootlets arise from the substance of the spinal cord
and enter the neural foramen (Fig. 1). Just distal to the dorsal root ganglion

* Loma Linda University, 11175 Campus St., Coleman Pavilion, #11108, Loma Linda,
CA 92354.
E-mail address: [email protected]
0733-8619/07/$ - see front matter 2007 Elsevier Inc. All rights reserved.
doi:10.1016/j.ncl.2007.02.001
neurologic.theclinics.com

474

TSAO

Fig. 1. The nerve root complex. The ventral (anterior) and dorsal (posterior) rootlets combine
within the neural foramen to form mixed spinal nerves. The mixed spinal nerves divide into ventral and dorsal rami, which exit the intervertebral foramen and give rise to the peripheral nerves
that supply the limb and paraspinal muscles, respectively. (Courtesy of the Cleveland Clinic
Foundation, Cleveland, OH; with permission.)

(DRG), these rootlets join to form a mixed spinal nerve. On exiting the
intervertebral foramen, the mixed spinal nerve divides into dorsal and ventral rami. The dorsal ramus innervates the paraspinal muscles and the skin
of the neck and trunk with overlapping segmental innervation, such that the
ultimate site of paraspinal muscle innervation may be anywhere from 3 to 6
segments beyond their level of spinal cord origin [10]. The ventral rami form
the cervical (C2-4), brachial (C5-T1), lumbar (L2-5), and sacral (S1-5) plexi
and nerves that supply the trunk, intercostal, and abdominal wall muscles.
Of the 31 pairs of spinal nerves, only the C4-C8, T1, L2-5, and S1-2 levels
have limb representation that can be assessed by EDX examination. The
numeric designation of nerve roots is such that the C1-C7 roots exit their
neural foramen above the vertebral body of the same number (eg, the C7
root exits the spinal canal via the C6-7 neural foramina), whereas the C8
root exits between the C7 and T1 vertebrae. Below this level, all thoracic,
lumbar, and sacral roots exit caudal to the vertebral body of the same
number.
The spinal cord ends at approximately the L1-2 vertebral body level as
the conus medullaris and continues as a loose collection of spinal nerve
roots, the cauda equina. The lumbosacral nerves within the cauda equina
run downward and laterally before exiting their respective foramina. Because of this arrangement, a large L4-5 disk protrusion that extends far laterally may compress the L4 nerve root at the same level of the disk, whereas
a posterior disk protrusion at the same level may compress the L5 nerve
root, and, if large enough, the L5 and S1 nerve roots [11]. The lumbar

CERVICAL AND LUMBOSACRAL RADICULOPATHY

475

DRGs vary in their location so that approximately 3% of L3-4 DRGs, 11%

to 38% of L5 DRGs, and approximately 71% of S1 DRGs are within the
intraspinal canal [12,13]. Although less common, the DRGs in the cervical
spine also may lie proximal to the intervertebral foramina [14]. The EDX
correlate of lateral disk herniation in the presence of intraspinally located
DRGs is loss of sensory nerve action potential (SNAP) amplitude along
the nerves of the involved segment [15].
The most common cause of compressive nerve root injury is by disk
herniation or other degenerative spine elements (eg, osteophyte, facet joint
hypertrophy, and ligamentous hypertrophy). Noncompressive causes include ischemia, trauma, neoplastic inltration, spinal infections, postradiation injury, immune-mediated diseases, lipoma, and congenital conditions,
such as meningomyelocele and arthrogryposis; these present with EDX
patterns indistinguishable from nerve root compression [16].
Acute compression from eccentric disk herniation results in asymmetric
nerve root distortion and traction, whereas spinal stenosis generally produces bilateral compression and deformity of the DRG [17,18]. The severity
of nerve root injury depends on the amount and duration of compression
resulting in this sequence of events: nerve distortion, intraneural edema,
impaired intraneural microcirculation leading to focal nerve ischemia, localized inammatory intraneural and connective tissue reaction, and, nally,
altered nerve conduction [19]. With sucient root compression, axon loss
ensues. Prolonged vascular congestion may lead to intra- and extraneural
brosis that perpetuates chronic compression.

Nerve conduction studies

Routine nerve conduction studies
Routine nerve conduction studies (NCS) should be performed in all patients who have suspected cervical or lumbar radiculopathy (Tables 1 and 2).
Additional NCS for various levels of radiculopathy should be considered if
routine NCS do not assess the appropriate levels. The technical aspects of conducting NCS are reviewed elsewhere [8,20].
Motor NCS typically are normal in patients who have radiculopathy,
because only a portion of nerve fascicles within a nerve root trunk is injured.
Rarely, if the radiculopathy results in sucient motor axon loss (up to 50%
of motor axons within a nerve trunk), the compound motor action potential
(CMAP) amplitude may be reduced signicantly, as dened by age-related
norms or a 50% or greater reduction in amplitude compared with the contralateral limb. Even in the presence of severe axon loss, however, routine
motor NCS may appear normal unless the CMAP is generated from a muscle that receives innervation from the injured nerve root (eg, for a suspected
C5-6 radiculopathy, routine motor NCS assess only the median innervated
thenar [mainly T1-derived] and ulnar innervated hypothenar [mainly

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TSAO

Table 1
Recommended nerve conduction studies in suspected cervical radiculopathy
Nerve (muscle)

Nerve root assessed

Parameters

General survey
Sensory
Median index
Radial thumb
Ulnar little
Motor
Median (thenar)

C6C7
C6C7
C8

Distal amplitude, peak latency

T1OC8

Distal and proximal amplitude,

distal latency, conduction
velocity

Ulnar (hypothenar)
C8
Additional nerve conduction studies for suspected root level
Sensory
Median thumb
C6
LABC
C6
MABC
T1
Motor
Axillary (deltoid)
C56
MC (biceps)
C56
Ulnar (FDI)
C8
Abbreviations: FDI, rst dorsal interosseous; LABC, lateral antebrachial cutaneous;
MABC, medial antebrachial cutaneous; MC, musculocutaneous.

C8-derived] muscles). In this instance, to detect motor axon loss, if present,

a CMAP would have to be recorded over the biceps or deltoid muscles. In
chronic axon loss radiculopathy, CMAPs may normalize if sucient reinnervation occurs.
Table 2
Recommended nerve conduction studies in suspected lumbosacral radiculopathy
Nerve (muscle)

Nerve root

Parameters

General survey
Sensory
Sural
Motor
Post tibial (AH)

S1

Distal amplitude, peak latency

S1

Distal and proximal amplitude,

distal latency, conduction velocity

Peroneal (EDB)
L5
Late response
Posterior tibial (GM-S)
S1
H-reex, amplitude, and motor amplitude
Additional nerve conduction studies for suspected root level
Sensory
Supercial peroneal
L5
Motor
Femoral (rectus femoris)
L24
Abbreviations: AH, abductor hallucis; EDB, extensor digitorum brevis; GM-S, gastrocnemius-soleus.

CERVICAL AND LUMBOSACRAL RADICULOPATHY

477

The pathophysiology of radiculopathy at the root level infrequently is

a focal, purely demyelinating conduction block. If this occurs, routine motor
NCS remain normal even if weakness is present in corresponding myotomes.
Sensory NCS typically are normal in radiculopathy, because nerve root
compression occurs proximal to the sensory DRG. The presence of a normal
SNAP is useful in dierentiating a radiculopathy (where they usually are
present) from a plexus or peripheral neuropathy lesion (where they usually
are reduced or absent) [6,7,21,22]. An exception to the normal SNAP rule in
radiculopathy occurs at times in the setting of L5 radiculopathy, where the
DRG can have a vulnerable intraspinal canal location in up to 40% of
individuals, leading to an absent supercial peroneal sensory response [15].
Late responses
Late responses have the advantage of assessing the proximal (and intraspinal) segments of the peripheral nerve bers, whereas routine NCS assess
only the more distal portions. The two late responses used most commonly
are the H-reex and the F wave. The technical aspects of performing these
studies are reviewed elsewhere [8,23].
H-reex
The H-reex, named after Homan, who rst described this technique, is
a monosynaptic spinal reex that assesses an aerent 1a sensory nerve and
an eerent a motor nerve. The H-reex is recorded most commonly over the
gastrocnemius-soleus muscle complex, stimulating the tibial nerve, and is
considered the EDX equivalent of the Achilles or ankle stretch reex, although discordance is frequent and the H-reex may be absent in normal
individuals [24]. In the arm, the H-reex can be derived from the median
nerve (recording the exor carpi radialis muscle) but technically is dicult
to perform and the results seldom are useful [25]. The tibial H-amplitude
is a highly sensitive test, when combined with the needle electrode examination (NEE), for detecting a preganglionic S1 nerve root lesion. An abnormal
amplitude is dened in the authors EDX laboratory as 1 mV or less in patients younger than 60 years or a side-to-side amplitude dierence of greater
than 50% on the symptomatic versus asymptomatic side [6]. An absent or
asymmetrically reduced H-amplitude can be found in 80% to 89% of surgically or myelography conrmed cases of S1 radiculopathy [26,27]. The
absolute normal H-reex latency ranges from 34 to 35 milliseconds and is
dependent on patient age, limb length, and height [28]. An H-amplitude
ratio (dened as an abnormal H-amplitude divided by the contralateral
H-amplitude) of less than 0.4 is considered abnormal, although in a study
of 47 healthy adults, 2% had a ratio of 0.33 [29]. Despite its sensitivity in
radiculopathy, a reduced H-reex amplitude is not specic for etiology or
precise localization, as a focal lesion anywhere along the sensory aerent,

478

TSAO

spinal synapse, or motor eerent pathways may diminish the H amplitude.

Diagnosing radiculopathy based on prolonged H latency alone is insensitive,
because focal slowing may be obscured by the long segment of nerve assessed and, even if present, does not localize the lesion along the nerve segment studied. Last, the H-reex technically may be dicult to obtain in
obese patients and may be absent in patients over 60 years of age.
F waves
The F wave, named for the foot muscle over which it was rst recorded, is
a late motor response elicited from the median or ulnar nerve in the upper
extremity (recording from the thenar or hypothenar muscle, respectively)
and the tibial or peroneal nerve in the lower extremity (recording from
the abductor hallucis or extensor digitorum brevis muscle, respectively).
Unlike the H-reex, the F wave assesses only motor nerve bers, rst in
an antidromic, then in an orthodromic, fashion. F waves have a variable
latency and amplitude, are reproducible, and are approximately 5% of the
CMAP size of the muscle over which they are recorded. Most authorities
agree that the minimal F-wave latency, if abnormal in the face of normal
routine NCS, points toward a lesion of the proximal motor nerve bers
[30]. Other F-wave measurements include F-wave duration, F-mean latency
(mean of F-wave minimum and maximum latency), maximum F-wave latency, chronodispersion (maximal minus minimal F-wave response latency),
and F-wave persistence (the number of F waves per number of stimulations). An F estimate, which corrects for limb length, may be performed if
the F-wave latency is abnormal. With the exception of two studies that
found the sensitivity of F-wave analysis comparable to the NEE in L5 or
S1 radiculopathy, most authorities agree that the overall diagnostic yield
(ie, 10%20%) is low for several reasons [31,32]. The theoretic advantage
that F waves evaluate the proximal segment of the motor nerve is oset
by the fact that focal slowing within a short segment is diluted by normal
conduction along the rest of the motor nerve pathway. The F-wave latencies
are limited in that they assess only the fastest conducting bers. Thus, a lesion that produces focal slowing has to aect all bers equally to increase
the minimal F latency, whereas most cases of radiculopathy cause partial
axon loss and only rarely focal demyelination. Consequently, Amino [33]
concludes that F waves often are normal in patients who have suspected
radiculopathy, and even when they are abnormal, their ndings are inconsequential because the (needle electrode examination) ndings are also
abnormal and help to establish the diagnosis more denitively.
Somatosensory evoked responses
Somatosensory evoked potentials (SEPs) are cortical potentials elicited
by stimulating a mixed sensory and motor nerve trunk, individual cutaneous
nerves, or dermatomal distributions [34,35]. Absolute and relative latencies

CERVICAL AND LUMBOSACRAL RADICULOPATHY

479

(ie, the interpeak latency) are obtained and adjusted to patient height and
limb length. Again, although SEPs oer the theoretic advantage of assessing
proximal portions of sensory nerves, their routine use is limited by a variety
of factors. As with the H-reex and F wave, SEPs record responses only
from the fastest conducting nerve bers, so that focal or partial conduction
block or slowing is not apparent, masked by normally conducting aerent
bers and diluted by the long nerve segment over which the SEP travels.
Furthermore, because of the normal interside and intersubject variation in
amplitude of SEPs, only an absent or unelicitable response may indicate underlying pathology. Lastly, abnormal SEPs may localize a lesion to the
plexus region but cannot discriminate further between plexus and root localization. The consensus of recent reviews is that SEPs by nerve trunk stimulation are unhelpful in the diagnosis of suspected radiculopathy, whereas
cutaneous and dermatomal SEPs are insensitive and only support, at best,
the presence of radiculopathy when the diagnosis is dened more clearly
clinically or by EDX [35,36].
Thermography
Studies comparing thermography to NEE in patients who have clinical
evidence of radiculopathy nd that thermography may have comparable
sensitivity but has no segmental localizing value and is considered of little
practical use [3739].
Motor evoked potentials
Motor evoked potentials (MEPs) are elicited by electrical or magnetic
stimulation. Electrical stimulation is performed by inserting a monopolar
needle electrode into the paraspinal muscles and recording from a distal
limb muscle in a corresponding myotome. Normal motor amplitudes and latencies are dened by interside comparison. Using this method in 34 patients
who had clinical signs of cervical radiculopathy, 40% had NEE abnormalities versus 61% by cervical root stimulation alone [40]. Thus, although cervical root stimulation had a slightly higher sensitivity for diagnosing
radiculopathy, it did not add additional information to what the clinical history and NEE already provided. In 45 patients who had L5/S1 radiculopathy, the MEP latency was prolonged on the symptomatic side in 66% to
72% [41]. The downside of electrically stimulated MEPs is that they assess
only motor bers, are useful only in unilateral radiculopathy, and are tolerated poorly. Magnetic stimulation studies, reportedly less painful, demonstrate mixed results. MEP latencies were delayed and amplitudes reduced
in cervical and lumbosacral radiculopathy but this has not been reproduced
in subsequent studies [4245]. Because this technique also depends on interside comparison, it is unhelpful in patients who have bilateral disease. Moreover, there is debate on the precise anatomic site of stimulation. As a result,

480

TSAO

MEPs have no role in the routine diagnosis of radiculopathy and should be

considered investigational.

Needle electrode examination

General principles
NEE is a sensitive technique to detect motor axon loss and is the single
most useful diagnostic tool in radiculopathy [6,46]. The diagnosis of radiculopathy by NEE requires the identication of neurogenic abnormalities in two
or more muscles that share the same nerve root innervation but dier in their
peripheral nerve supply. Not all muscles within a myotome need to be affected but those innervated by adjacent root segments must be normal [6].
The timing of an EDX examination and NEE is of importance. The study
generally should not be performed less than 3 weeks from the onset of symptoms, the time period necessary for most limb muscles to develop brillation
potentials.
The diagnosis of radiculopathy by needle electrode examination
Based on clinical and EDX criteria, radiculopathy can be acute or
chronic. The EDX hallmark of acute axon loss radiculopathy is the identication of brillation potentials in denervated muscle with normal motor
unit action potentials (MUAPs). Fibrillation potentials tend to appear rst
in more proximal muscles, namely the paraspinals, and later in the limb
muscles. Reinnervation takes place in a proximal to distal fashion so that
brillations begin to disappear in the same sequence in which they occurred.
Fibrillation potentials usually are most abundant within 6 months of symptom onset and may disappear completely in the paraspinal muscles after
6 weeks, whereas those in the distal limbs may persist for up to 1 to 2 years.
Infrequently, the pathophysiology of radiculopathy is focal, pure demyelinating conduction block manifested on a NEE with normal MUAPs ring in a reduced neurogenic recruitment rate. If this pattern is identied in
sucient muscles within a myotome, radiculopathy can be diagnosed.
The NEE denition of chronic radiculopathy largely is dependent on the
identication of neurogenic recruitment and MUAP conguration changes
in involved muscles with or without brillation potentials. These neurogenic
abnormalities include MUAPs with increased duration and phases that represent reinnervation resulting from collateral sprouting. In early stages of
reinnervation, these MUAPs show a moment-to-moment variation in conguration as immature motor unit junctions are established; with time,
this instability is replaced with broad, large, and polyphasic MUAPs. These
chronic neurogenic changes usually persist indenitely after radiculopathy,
and it is common to nd such abnormalities on a NEE years after patients
had their initial symptoms.

481

CERVICAL AND LUMBOSACRAL RADICULOPATHY

Diagnosing radiculopathy based on polyphasic MUAPs alone has several

drawbacks, as up to 10% to 20% of normal limb muscles may have increased polyphasia [6,7]. Table 3 summarizes the evolution of NEE abnormalities in radiculopathy, from spontaneous activity to MUAP
conguration and recruitment changes [9].
Root localization by needle electrode examination
The selection of particular muscles in myotomes examined on NEE can
be based on myotomal charts derived from anatomic, clinical, electrophysiologic, or neuroimaging correlations. Each of these has its merits and limitations [27,4760].
A general screening NEE survey should be performed in all patients who
have suspected radiculopathy. In the upper limb, this should cover at least
one muscle innervated by the C5, C6, C7, C8, T1 spinal roots and an appropriate cervical paraspinal muscle (Tables 4 and 5). In the lower limb, the
general survey consists of at least one muscle innervated by the L2-4, L5,
S1 spinal roots and an appropriate lumbosacral paraspinal muscle. Thus,
the minimal NEE in any limb requires the sampling of at least ve to seven
muscles, including the paraspinals [6,61].
Radiculopathies often cause partial motor axon loss within a given root
distribution. Thus, abnormal NEE ndings within a single myotome may be
variable and patchy, aecting one muscle in the myotome but not an adjacent muscle from the same myotome. Moreover, segmental nerve supply
from uninvolved roots may dilute the identication of axon loss (eg, a C7
radiculopathy) further and may be associated with substantial denervation
of the triceps but only partial denervation of the pronator teres. When clinical suspicion of radiculopathy is high, therefore, additional muscles within
Table 3
Findings in the needle electrode examination in aected muscles at progressive stages of axon
loss radiculopathy

!3 weeks
36 weeks
626 weeks
Chronic/active
Chronic/active

Recruit

Insertion

PSP

Fib

Poly/var

Neur

MTP/CRD

d
d



d

d
d

d
d
d

d
d
d
d

Abbreviations: Fib, brillations; Insertion, abnormal insertional activity; MTP/CRD, myotonic discharge/complex repetitive discharges; Neur, neurogenic motor unit potential changes
(increased duration and amplitude); Poly/var, polyphasic motor unit potential changes/motor
unit potential variation; PSP, paraspinal brillation; Recruit, reduced neurogenic motor unit
potential recruitment; , mild amount; , moderate amount; , greatest amount;
, equivocal amount.
Data from Levin KH. Cervical radiculopathies. In: Katirji B, Kaminski HJ, Preston DC, et al,
editors. Neuromuscular disorders in clinical practice. Boston: Butterworth-Heinemann; 2002.
p. 848.

482

TSAO

Table 4
Needle electrode examination in suspected cervical radiculopathy

Muscle

Nerve root
(primary)

General screen
Deltoid
Biceps
Pronator teres
Triceps
First dorsal interosseous
Flexor pollicis longus
Extensor indicis proprius
Cervical paraspinal
Additional high yield muscles
Infraspinatus
Brachioradialis
Anconeus
Flexor carpi radialis
Brachioradialis
Flexor carpi radialis
Anconeus
Abductor digiti minimi

C56
Axillary
C56
Musculocutaneous
C67
Median
C67
Radial
C8
Ulnar
C8
Median
C8
Radial
Overlap
for given level of cervical radiculopathy
C5
Suprascapular
C5
Radial
C6
Radial
C6
Median
C6
Radial
C7
Median
C7
Radial
C8
Ulnar

Terminal nerve

Approximate yield
in radiculopathy at
specied levela
86% (C5);
71% (C5);
78% (C6);
56% (C6);
100%
67%
100%
47%

38% (C6)
44% (C6)
61% (C7)
100% (C7)

83%
83%
100%
80%
71%
93%
78%
83%

a
Derived from 50 patients who had surgically conrmed single-level cervical radiculopathy
(dened on NEE with either active motor axon loss [brillation potentials] or reduced MUP
recruitment).
Data from Levin KH, Maggiano HJ, Wilbourn AJ. Cervical radiculopathies: comparison of
surgical and EMG localization of single-root lesion. Neurology 1996;46:1023.

the suspect myotomes should be examined. Tables 4 and 5 list additional

high-yield muscles that should be added to a NEE for a suspected radiculopathy level. It always is appropriate to make a comparison study on the
opposite side, to exclude bilateral disease and to conrm the normal electrophysiologic appearance of asymptomatic muscles.
Even though NEE of the paraspinal muscles should be considered in all
patients referred for radiculopathy, there are a few exceptions and several
caveats. First, brillation potentials may be seen in the cervical and lumbosacral paraspinals in up to 12% and 14.5% to 42% of normal individuals,
respectively [6264]. Second, paraspinal brillation potentials are nonspecic for etiology (ie, present in myositis and motor neuronopathies) and
yield uninterpretable results in patients who have undergone posterior
cervical surgery or recent local trauma. Third, the presence of paraspinal
brillation potentials alone (without similar evidence in the limbs) is insufcient to make a diagnosis of radiculopathy. In contrast, paraspinal brillation potentials may be absent in radiculopathy because they are spared,
there is sampling error, or they have undergone reinnervation, at times
with 6 weeks of symptom onset [54]. Finally, the extensive overlapping innervation of the paraspinal muscles prevents accurate localization of the

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Table 5
Needle electrode examination in suspected lumbosacral radiculopathy
Muscle

Nerve root
(primary)

Terminal
nerve

Approximate yield in
radiculopathy at specied levela

General screen
Rectus femoris or
L34
Femoral
75% (L3-4)
Vastus lateralis
L34
Femoral
67% (L3-4)
Tibialis anterior
L45
Peroneal
77% (L5)
Tibialis posterior
L5
Posterior tibial
92% (L5); 18% (S1)
Extensor digitorum brevis L5
Peroneal
38 % (L5)
Gluteus medius or
L5
Superior gluteal 50% (L5); 33% (S1)
Gluteus maximus
S1
Inferior gluteal 64% (S1); 13% (L5)
Medial gastrocnemius
S1
Posterior tibial
83% (S1)
Paraspinal
Overlap
86% (L2-4); 16% (L5); 25% (S1)
Additional high yield muscles for given level of lumbosacral radiculopathy
Iliacus
L23
N. to iliacus
71%
Adductor longus
L24
Obdurator
100%
Vastus medialis
L24
Femoral
66%
Peroneus longus
L5
Peroneal
100%
Tensor fascia lata
L5
Superior gluteal 100%
Extensor hallucis longus
L5S1
Peroneal
73% (L5); 25% (S1)
Lateral gastrocnemius
L5S1
Tibial
13% (L5); 91% (S1)
Biceps femorisdSH
S1
Sciatic
89%
Biceps femorisdLH
S1
Sciatic
100%
Abbreviations: LH, long head; SH, short head.
a
Derived from 45 patients who had surgically conrmed single-level lumbosacral radiculopathy (dened on NEE with either active motor axon loss [brillation potentials] or reduced
MUP recruitment).
Data from Tsao BE, Levin KH, Bodnar RA. Comparison of surgical and electrodiagnostic
ndings in single root lumbosacral radiculopathies. Muscle Nerve 2003;27:61.

precise nerve root level involved. In patients who have chronic symptoms of
radiculopathy and absence of active motor axon loss changes in muscles of
the extremity, the diagnostic yield from examination of paraspinal muscles
is low.
In summary, the presence of paraspinal brillation potentials supports
the diagnosis of radiculopathy when corresponding abnormalities are present in the limb muscles, but the absence of such changes does not exclude
a radiculopathy.
Comparative diagnostic methods
How valuable is NEE in diagnosing radiculopathy? In a consensus statement, the American Association of Neuromuscular and Electrodiagnostic
Medicine conducted a critical review of the scientic literature addressing
the value of EDX ndings in patients who have cervical radiculopathy.
The report found no gold standard against which the EDX examination
could be directly compared with but concluded that NEE seems to have
moderate sensitivity (50%71%) and high specicity (65%85%, dened

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as having good correlation with radiologic ndings) in diagnosing cervical

radiculopathy [65,66].
Several reports have compared EDX examination with imaging studies.
Compared with myelography, EDX examination had a higher yield in
four of ve studies and was positive in 72% to 94% of cases versus myelography, which was positive in 75% to 84% [67]. Similar results were found
comparing EDX examination and CT [68,69]. The correlation between
MRI ndings and EDX examination is uncertain, as abnormal structural
MRI changes may be present in up to 19% of patients who do not have
neck pain and 28% to 64% in those who do not have back pain [7072].

Electrodiagnostic correlations
Cervical radiculopathies
Cervical radiculopathy constitutes approximately 5% to 10% of all
radiculopathies and is second only to lumbosacral radiculopathy [49]. In
general, C7 radiculopathy accounts for the majority of all cervical radiculopathies (up to 70%) followed by C6 (19%25%), C8 (4%10%), and C5
(2%) radiculopathies [5,60]. Fig. 2 shows NEE distribution of axon loss in
patients who have active single-level cervical radiculopathy conrmed at
surgery [60].
C5 radiculopathy
Commonly aected muscles include the deltoid, biceps, infra- and supraspinatus, brachioradialis, brachialis, and rhomboids. The rhomboid is supplied by a direct branch from the C5 nerve root; thus, involvement of this
muscle conrms a C5 radiculopathy. The deltoid and biceps receive their
primary innervation from the C5 root with secondary innervation from
the C6 root. They are aected most often in C5 radiculopathies (86% and
71%, respectively) but may be involved, to a lesser degree, in C6 radiculopathies (38% and 44%, respectively) [60]. The brachioradialis, however,
receives nearly equal innervation from the C5 and C6 nerve roots so that
its involvement does not dierentiate between an isolated C5 or C6 radiculopathy. The trapezius (innervated via the spinal accessory nerve with twigs
from the C4 root) and pronator teres are spared in C5 radiculopathy. There
is no sensory NCS that assesses the C5 nerve root reliably, but if the radiculopathy is severe enough, additional motor NCS recording the deltoid or
biceps muscles may be considered.
C6 radiculopathy
Compared with other single-level cervical radiculopathies, C6 radiculopathies do not present in a stereotypic fashion but, instead, have two distinct
EDX patterns; one is similar to C5 radiculopathy with additional involvement of the triceps and pronator teres, the other resembles a C7 radiculopathy.

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485

Most myotomal charts state the triceps as supplied by the C6 through C8

roots, but it is heavily C7 weighted. The triceps is aected in approximately
half the cases of C6 radiculopathy and is only rarely, if ever, abnormal in
C8 radiculopathy. Sensory NCS recording the median-innervated thumb
and lateral antebrachial cutaneous should be performed in suspected C6 radiculopathy. There is no reliable motor NCS method to assess the C6 nerve in
isolation. If indicated, the deltoid and biceps can serve as a rough correlate of
motor axon loss in the C5 and 6 nerve distributions.
C7 radiculopathy
C7 radiculopathy typically aects the triceps, anconeus, exor carpi radialis, and pronator teres. The exor carpi radialis is supplied equally by the
C6 and C7 nerve roots, whereas the pronator teres tends to receive more innervation from the C6 than C7 nerve root (eg, the pronator teres is aected
in 78% of C6 and 61% of C7 radiculopathies). The H-reex derived from
the exor carpi radialis can be considered for further assessment of C7 in
nerve root lesions but generally adds little useful information and does
not separate between C6 and C7 nerve root lesions [73]. There is no reliable
motor NCS to assess the C7 myotomes.
C8 radiculopathy
These produce a stereotypic pattern involving the rst dorsal interosseous, abductor digiti minimi, exor pollicis longus (rarely the abductor pollicis brevis), extensor pollicis brevis, and extensor indicis proprius. The
abductor pollicis brevis is aected less in C8 radiculopathies (approximately
50% of cases) because it receives its predominant innervation from the T1
nerve root [60]. Despite the fact that routine NCS assess the C8 myotome,
they usually are normal (reasons discussed previously). If the radiculopathy
is severe enough, additional motor NCS, recording from the rst dorsal interosseous, can be considered but generally adds little to the diagnostic
impression.
T1 radiculopathy
Thoracic radiculopathies account for less than 2% of all radiculopathies
and EDX assessment of the thoracic paraspinal, intercostal, and abdominal
muscles is limited by inadequate relaxation, patient size, and the fear of entering the pleural or peritoneal cavity [6,8]. The rst thoracic level has limb representation via the medial antebrachial cutaneous sensory NCS (usually
normal in radiculopathy) and motor NCS recording from the abductor
pollicis brevis. The diagnosis of a T1 radiculopathy relies on NEE of the
abductor pollicis brevis and opponens pollicis. The routine assessment of multiple-level thoracic paraspinals, particularly in patients who have suspected
diabetic polyradiculopathy or diabetic thoracic radiculopathy, may be considered but is limited by the aforementioned factors and the fact that
abnormalities in these paraspinals, similar to those in the cervical and

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487

lumbosacral segments, cannot dierentiate between compressive, metabolic,

or ischemic root lesions [6].
Lumbosacral radiculopathy
Because of the anatomic arrangement of the cauda equina, the higher
incidence of bilateral and multilevel disease, and the fact that lower limb
SNAPs may be absent in patients over 60 years old, the diagnosis of lumbosacral radiculopathy by NEE is less reliable compared with cervical radiculopathy. Fig. 3 shows the NEE distribution of axon loss in patients who have
active single-level lumbosacral radiculopathy conrmed at surgery [27].
L2, L3, and L4 radiculopathy
Radiculopathy at the upper lumbar levels is uncommon and, even when
present, it often is impossible to distinguish between those aecting individual L2, L3, or L4 nerve roots. The rectus femoris, vastus lateralis, vastus
medialis, adductor longus, and iliacus are, for the most part, aected equally
in L2-4 radiculopathy. Of these, the adductor longus is the only muscle
innervated by the obdurator, not the femoral, nerve and its evaluation is
critical for dierentiation between an L2-4 radiculopathy and femoral
mononeuropathy. Femoral nerve motor NCS can be considered in cases
of severe radiculopathy, but a low femoral CMAP does not localize between
a lesion at the lumbar root or plexus level. Likewise, NCS recording the sensory branches of the femoral nerve and lumbar plexus (the saphenous and
lateral femoral cutaneous, respectively), technically are unreliable, so
EDX consultants cannot rely on lower limb sensory SNAPS to distinguish
between an L2-4 nerve root from an upper lumbar plexus lesion. NEE
abnormalities in the paraspinal muscles may clinch the diagnosis, but such
abnormalities are found more often at the lowest lumbar and sacral levels
(or at least 1 to 2 levels below the aected lumbar level).

L5 radiculopathy
This is the most common single-level radiculopathy encountered in EDX
laboratories. Muscles aected include the tibialis anterior, peroneus longus,
tibialis posterior, tensor fascia lata, and extensor digitorum brevis. Less
often, the semitendinosus, semimembranosus, and gluteus medius show

Fig. 2. Distribution of needle electrode ndings in single-level cervical radiculopathy. Closed

circle, positive waves or brillation potentials, with or without neurogenic recruitment and motor unit changes; half-closed circle, neurogenic recruitment changes only; open circle, normal
examination. ADM, abductor digiti minimi; ANC, anconeus; APB, abductor pollicis brevis;
BIC, biceps; BRAC, brachioradialis; DEL, deltoid; EDC, extensor digitorum communis;
EIP, extensor indicis proprius; FDI, rst dorsal interosseous; FPL, exor pollicis longus;
INF, infraspinatus; FCR, exor carpi radialis; PSP, paraspinal muscle; PT, pronator teres;
SUP, supraspinatus; TRIC, triceps. (Data from Levin, KH, Maggiano HJ, Wilbourn AJ. Cervical radiculopathies: comparison of surgical and EMG localization of single-root lesions. Neurology 1996;46:1023; with permission.)

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489

abnormalities. It is important that all, or nearly all, these muscles be examined when L5 radiculopathy is suspected, because the dierential diagnosis
includes a common or deep peroneal neuropathy, peroneal-predominant
sciatic neuropathy, or a lumbosacral trunk (the furcal nerve) lesion that
involves the L5 (and to a much lesser extent the L4) contribution to the
sacral plexus.
The supercial peroneal sensory NCS should be performed in all cases of
suspected L5 radiculopathy and, if present, indicates a preganglionic L5
root lesion. If absent, this could result from a lesion that lies anywhere between the root level to peripheral nerve but does not exclude an L5 radiculopathy with intraforaminal DRG compression [15]. One advantage of the
supercial peroneal sensory response is that tends to be spared in mild to
distal polyneuropathies where the sural or medial plantar NCS generally
are unelicitable.
S1 radiculopathy
S1 nerve root lesions typically aect the biceps femoris short and long
head, the medial and lateral gastrocnemius, abductor digiti quinti pedis, abductor hallucis, and the gluteus maximus. The S1 root distribution also
includes muscles situated in proximal and distal regions of the limb; thus,
examination of multiple muscles at distal, mid, and proximal levels is necessary to provide insight into the severity and activity of radiculopathy.
Despite dierent opinions on the primary nerve root innervation of muscles, such as biceps femoris long and short head, the author and colleagues
have found the biceps femoris short head nearly always involved in S1 radiculopathy and never in L5 radiculopathy [27]. NEE of the upper sacral paraspinal muscles is of limited use, because only lower sacral paraspinal
muscles may demonstrate denervation. The H-reex is a sensitive (but less
specic) marker of S1 radiculopathy, especially when the abnormality is unilateral [26,27].

S2, S3, and S4 radiculopathy

Unfortunately, there are few muscles accessible to the NEE within the
lower sacral myotomes. These are limited mainly to intrinsic foot muscles
Fig. 3. Distribution of needle electrode ndings in single-level lumbosacral radiculopathy.
Closed circle, positive waves or brillation potentials, with or without neurogenic recruitment
and motor unit changes; half-closed circle, neurogenic recruitment changes only; open circle,
normal examination. AD, abductor digiti quinti; AH, abductor hallucis; AL, adductor longus;
BFLH, biceps femoris long head; BFSH, biceps femoris short head; EDB, extensor digitorum
brevis; EHL, extensor hallucis longus; GM, gluteus maximus; GMED, gluteus medius; IL, iliacus; LG, lateral gastrocnemius; MG, medial gastrocnemius; PL, peroneus longus; PSP, paraspinal; PT, posterior tibialis; RF, rectus femoris; ST, semitendinosus; TA, tibialis anterior; TFL,
tensor fascia lata; VL, vastus lateralis; VM, vastus medialis. (From Tsao BE, Levin KH, Bodner
RA. Comparison of surgical and electrodiagnostic ndings in single root lumbosacral radiculopathies. Muscle Nerve 2003;27:61; with permission.)

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(abductor hallucis and abductor digiti quinti pedis), the soleus, and anal
sphincter muscles.
Multiple-level lumbosacral radiculopathies and lumbar canal stenosis
Multilevel lumbosacral radiculopathies are more common than singlelevel radiculopathies, which reects the frequent coexistence of multifocal
spondylosis and neural foraminal stenosis. The clinical presentation of multilevel lumbosacral radiculopathy and lumbar canal stenosis (LCS) often
overlap, with single- or multiple-level nerve root involvement and chronic
progressive leg weakness. The patient who has classic LCS can present
with exertionally related aching, numbness, or weakness in the legs that
resolves with rest (neurogenic claudication). EDX ndings in LCS vary
widely, from essentially normal to active multilevel bilateral lumbosacral
polyradiculopathies. With chronic LCS, prominent neurogenic MUAP
changes typically are seen in a distal to proximal gradient (ie, in the distal
foreleg and foot muscles), with more normal MUAPs in proximal muscles
and, on occasion, persistent brillation potentials in the distal muscles. In
elderly patients who have physiologically absent sural and supercial peroneal SNAPs, this constellation of ndings, similar to those seen in chronic
L5-S1 radiculopathy, is indistinguishable from an axon loss sensorimotor
polyneuropathy.
Polyradiculoneuropathies
A wide spectrum of etiologies (immune mediated, infectious, degenerative, inltrative, and so forth) may involve multiple root segments, unilaterally or bilaterally, and extend from the cervical, thoracic, and lumbosacral
levels. Aside from the typical demyelinating polyradiculoneuropathies (such
as Guillain-Barre syndrome or chronic inammatory polyradiculoneuropathy), most of these systemic diseases result in multiple nerve root lesions,
superimposed peripheral polyneuropathies and, at times, involvement of the
anterior horn cells. The EDX picture in these cases, then, is dependent on
the specic cause and the distribution of peripheral nerve bers thus affected and can conform to acquired demyelinating, axon loss, or mixed
disorders [74].

Summary
An EDX examination provides an important correlate to the clinical diagnosis of cervical and lumbosacral radiculopathy. EDX consultants should
perform routine NCS and NEE and seek to maximize the diagnostic yield by
structuring the test as guided by patients clinical history. In this way, EDX
examination can conrm the presence and severity of axon loss radiculopathy, localize which nerve root is aected, and rule out other neuromuscular

CERVICAL AND LUMBOSACRAL RADICULOPATHY

491

disorders that may be present. Thermography, SEPs, and MEPs are not useful routinely and add little to a comprehensive EDX examination.

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[69] Schoedinger GR. Correlation of standard diagnostic studies with surgically proven lumbar
disk rupture. South Med J 1987;80:446.
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spine in asymptomatic subjects. J Bone Joint Surg Am 1990;72:4038.
[71] Boden SA, McCowin PR, Davis DO, et al. Abnormal magnetic-resonance scans of the
cervical spine in asymptomatic subjects. A prospective investigation. J Bone Joint Surg
Am 1990;72:117884.
[72] Jensen MC, Brant-Zawadski MN, Obuchowski N, et al. Magnetic resonance imaging of the
lumbar spine in people without back pain. N Engl J Med 1994;331:6973.
[73] Partanen J, Partanen K, Oikarinen H, et al. Preoperative electroneuromyography and myelography in cervical root compression. Electromyogr Clin Neurolophysiol 1991;31:216.
[74] Levin KH, et al. Cervical radiculopathies. In: Katirji B, Kaminski HJ, Preston DC, editors.
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p. 8556.

Neurol Clin 25 (2007) 495505

Nonsurgical Interventions for Spine Pain

Kerry H. Levin, MD
Department of Neurology, Desk S-91, Cleveland Clinic, 9500 Euclid Avenue,
Cleveland, OH 44195, USA

Acute spine pain has a good prognosis for spontaneous recovery when it
is not associated with marked neurologic decits and when it does not develop in the setting of severe spine trauma. Sometimes spine pain with or
without radiculopathy continues for more than 1 to 2 months, however, entering a subacute or chronic phase. Physical therapy and graded rehabilitation
are the keys to recovery. Occasionally there are indications for surgical intervention. In addition, several nonsurgical interventions have been developed to
try to alleviate pain and improve function. A summary of these interventions
and available reports studying their eectiveness are reviewed in this article.

Lumbar spine disease

Subacute spine pain without radiculopathy
The precise mechanisms of subacute nonspecic spine pain are not clearly
understood. Theories have been promoted to explain lumbar pain, and therapeutic strategies have been developed to try to deal with specic proposed
causes. The proposed causes include nonspecic (musculoskeletal) back
pain, facet joint arthritis, and internal disc disruption (discogenic back pain).
Nonspecic lumbar spine pain
In this patient group, physical therapy should be the rst modality of
treatment. Self-motivated individuals may consider self-taught yoga exercises and Pilates to promote stretching and exibility. Chiropractic maneuvers, such as spinal manipulation techniques (thrust, muscle energy,
counterstrain, articulation, and myofascial release), have also been used.
A study by Andersson and colleagues [1] compared chiropractic spinal
manipulation techniques with a medical program (analgesics,

E-mail address: [email protected]

0733-8619/07/$ - see front matter 2007 Elsevier Inc. All rights reserved.
doi:10.1016/j.ncl.2007.01.010
neurologic.theclinics.com

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anti-inammatory drugs, active physical therapy, an educational video, and

therapies, such as ultrasound, hot/cold packs, and transcutaneous electrical
nerve stimulation [TENS]) in a population of patients who had nonradicular
lumbar spine pain of 3 to 26 weeks duration. At 12 weeks, there was no signicant dierence in the degree of improvement between the two groups, although the group receiving manipulation required signicantly less
analgesia, anti-inammatories, and muscle relaxants, and used less physical
therapy. More than 90% of the patients in both groups were satised with
their care.
TENS has been used in patients who have subacute and chronic spine
pain, with variable results. Several factors seem to inuence success, including chronicity of the pain, electrode pad placement, and prior treatments [2].
A Cochrane Database of Systematic Reviews meta-analysis published in
2004 found no scientic evidence to support the use of TENS in the treatment of chronic low back pain [3].
Epidural steroid injections are not benecial in patients who have nonspecic low back pain without features of radiculopathy [47]. Factors
predicting poor outcome from epidural steroid injection include absence
of straight leg raising sign, pain that is not medication responsive, large
number of prior treatments, high-dose medication intake, pain unaected
by cough or increased activity, pain-related unemployment, and pain that
does not interfere with normal activities [8].
Facet joint arthritis
Arthritis of lumbar facet joints has been proposed as a cause of subacute/
chronic low back pain. The precise diagnosis of this condition is hampered
by the lack of specic symptoms and signs [9,10]. A provocative test that is
said to support the diagnosis involves the injection of hypertonic saline or
pressurized contrast. Positive results of this test include local pain and
pain referred into the proximal leg, with some reports indicating extension
of pain in a sciatic pattern below the knee [1113].
Steroid injections have been used to treat facet joint disease. A Cochrane
Database of Systematic Reviews report published in 2000 evaluated existing
studies of facet injection (anesthetic or corticosteroid) therapy and found
three studies meeting their criteria for review [1417]. Based on their review,
evidence for the eectiveness of this procedure was still lacking.
Radiofrequency neurotomy has also been used to treat facet joint disease.
Denervation of the facet joint has been proposed as an eective treatment of
facet jointrelated spine pain. Controlled diagnostic blocks with anesthetic
have been reported to predict those individuals who are likely to respond
to radiofrequency neurotomy of the medial branch of the dorsal ramus,
which supplies innervation to the facet joint surface [18]. One study compared 15 patients who underwent radiofrequency neurotomy with 16 who
received sham treatment [19]. Ten of 15 treated patients and 6 of 16
sham-treated patients improved. The study claimed superior pain control

NONSURGICAL INTERVENTIONS FOR SPINE PAIN

497

in the treated group at 3, 6, and 12 months posttreatment. A subsequent

study with 70 patients in a double blind randomized controlled study identied no treatment eect at 4 or 12 weeks [20,21]. A Cochrane Database of
Systematic Reviews report published in 2004 stated that there is insucient
information to draw conclusions on the short-term benet of radiofrequency neurotomy in the treatment of lumbar facet disease [22].
Internal disc disruption
This condition is theorized as a discogenic cause of back pain, and is described as a degeneration of the nucleus pulposus without disruption of the
annulus brosus or disc extrusion. There are no distinguishing clinical features of this condition aside from chronic low back pain. The anatomic ndings are not clearly dened by MRI but are reported to be apparent with use
of a controversial technique called discography [23,24]. Pressurized saline or
contrast is instilled in the disc to reproduce the patients pain symptoms.
Intradiscal electrothermal therapy has been proposed for the treatment of
internal disc disruption. The technique involves a exible catheter that is inserted circumferentially around the periphery of the disc space internal to
the annulus brosus. The catheter is heated with the intention of coagulating
nociceptive nerve bers in the annulus. One placebo-controlled study
suggested that patients responded to electrothermal therapy and a sham
procedure similarly. About 50% of the study group did not benet, but benet is likely in patients who are carefully selected [25]. Two other recent
studies did not nd favorable results from the procedure [26,27]. Several
reports have described cauda equina syndrome and permanent neurologic
sequelae resulting from the procedure [28,29].
Subacute radiculopathy
In general, lumbar radiculopathy has a monophasic course with eventual
improvement. Patients who have at least moderate neurologic decits may
have longstanding residual decits.
Patients who have continued spinal nerve root compression or spinal nerve
root infarction are likely to have some degree of persistent pain. Drugs with
particular eectiveness against neuropathic pain should be considered, including gabapentin and tricyclic antidepressants. Continuing narcotic medications should be avoided, but in individual cases may be eective at a
specic dosage. Patients respond to mobilization and other physical therapy
techniques, but may be limited by their neurologic decits. Physical therapy
should address issues of mobility and strengthening of weak muscles.
In postoperative patients who have continuing radicular pain, compressive root disease from residual disc fragments, hematoma, and arachnoiditis
must be excluded. Neuroimaging is required to investigate treatable causes
of pain. In nonoperated patients who have continued radicular pain, several
nonsurgical treatment modalities can be considered.

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Epidural corticosteroid injection

Few placebo-controlled, prospective studies are available to assess the
value of epidural corticosteroid injections, and those that have been done
have been criticized for design aws [30]. Most of the previous studies
have used a traditional interlaminar injection approach, often without uoroscopic guidance, whereby a needle is advanced between the laminae of two
adjacent vertebrae into the dorsal epidural space. One meta-analysis found
no trend favoring epidural steroids [6]. Another study included patients who
had radiculopathy from disc herniation and claudication from lumbar canal
stenosis. It observed some eect on pain or radiculopathic ndings within
days to 12 weeks after treatment, but no dierence in pain or decits compared with placebo at 12 weeks [31]. A randomized double blind trial studied 158 patients who had lumbar radiculopathy of 4 to 52 weeks duration,
with evidence of radicular decits on clinical examination and CT evidence
of disc herniation [32]. Six weeks after three epidural injections of either corticosteroid or saline, patients having received corticosteroid had somewhat
more improvement in leg pain, but at 3 months there was no signicant difference between the two groups. In both groups 25% of patients eventually
went on to lumbar spine surgery. With the interlaminar approach without
uoroscopic guidance, one study showed only about 70% of cases had
successful epidural delivery of steroid [8].
Transforaminal epidural injections have been promoted as a more selective and therefore more eective treatment technique. The likelihood of steroid delivery at the root level is believed to be higher, because the needle is
placed under uoroscopic guidance in the epiradicular space just above the
dorsal root ganglion in the neural foramen. One placebo-controlled study of
55 patients assessed the need for surgery for pain or neurologic decits after
treatment [33]. Of 28 treated patients, 8 ultimately underwent surgery,
whereas 18 of 27 placebo-treated patients received surgery. Concerns raised
with this study included a nonhomogeneous patient population (disc herniation and foraminal stenosis), atypical pain scale assessment tools, and multiple surgeons making operative decisions [34]. One prospective, randomized
but non-blinded study compared transforaminal epidural steroid injection
with saline trigger-point injection in 48 patients. Based on pre- and posttreatment questionnaires, 84% of epidural patients and 48% of trigger-point
patients improved [35]. Diculties with this study included lack of blinding
of the single physician who performed all procedures and presumably obtained consent from and randomized all patients, lack of clear data regarding duration of symptoms before study, reliability of the clinical diagnosis of
radiculopathy by inclusion criteria, and potential negative inuence on the
outcome among patients known to have received the nonactive treatment
modality.
DePalma and colleagues [36] reviewed all studies of transforaminal epidural steroid injections and selective nerve root blocks through 2003.
They identied ve publications that were in the English language,

NONSURGICAL INTERVENTIONS FOR SPINE PAIN

499

prospective, and randomized [33,3740]. These studies were judged to provide level III, or moderate, evidence to support the use of transforaminal
epidural steroid injections, based on the Agency for Health Care and Policy
Research (AHCPR) criteria for which level III evidence reects evidence
from well-designed trials without randomization, single group pre/post cohort, time series, or matched case-controlled studies.
All the studies reviewed by DePalma and colleagues [36] had similar limitations that diminished the conclusions of their authors. No study had
a true placebo group, but rather used another intervention that could
have provided therapeutic value. End points of the studies usually involved
whether or not patients required surgery, bringing into question the true
value of the procedure, or whether by other criteria than going on to surgery
(such as pain freedom, ability to work, ability to carry out leisure activities)
the procedure may not have been considered successful. These studies did
not comment on the relapse rate from the procedure, and provided only
limited information about outcomes beyond 1 year postprocedure.
The eect of this procedure on the natural history of lumbar radiculopathy remains unclear. The usefulness of this procedure may actually lie in its
ability to lessen lumbosacral radicular pain earlier than would be the case
spontaneously, without changing the overall time to complete resolution
[41]. Because there is moderate evidence of the eectiveness of this procedure in the treatment of painful radicular symptoms, it seems reasonable
to consider it after failure of spontaneous recovery and conservative maneuvers in the acute phase of radiculopathy [36].
Potential complications of epidural steroid injections include spinal headache, epidural or intrathecal hematoma, transient worsening of radiculopathy, and steroid eects. Bacterial discitis following this procedure has been
reported [42].
Lumbar canal stenosis
With lumbar spinal stenosis (LCS), a condition characterized by narrowing of the intraspinal (central) canal, the primary symptoms include discomfort, sensory loss, and weakness in the legs, reecting dysfunction of
multiple spinal nerve roots within the lumbar spinal canal. Neurogenic claudication is the hallmark of the condition: the tendency for exacerbation of
symptoms with walking, standing, and maintaining certain postures. Neurogenic claudication can be described as discomfort in the buttocks, thighs, or
legs on standing or walking, which is relieved by sitting or lying.
Interventions
Physical therapy has not been proven to be eective in LCS; however, it is
a mainstay of management of patients. Maneuvers, such as stretching,
strengthening, and aerobic tness, are usually recommended [43]. Techniques
to reduce lumbar lordosis (and thereby decrease extension of the lumbar

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spine) include strengthening of abdominal muscles, using an abdominal

corset, using a short cane, and losing weight.
Drug therapy for pain has included aspirin, nonsteroidal anti-inammatory drugs, and opiates. No studies have clearly identied the superiority of
one class of drugs over another, but the complication prole of each plays
a role in the ultimate choice for the individual patient.
The ecacy of epidural steroid injections for LCS has not been rigorously investigated. In one study that combined patients who had lumbar
radicular pain and neurogenic claudication, without uoroscopic guidance,
no statistical improvement was seen over that obtained from injection with
anesthetic alone [31]. Others have demonstrated no evidence that epidural
steroid injections are benecial for nonradicular back pain [4,6]. Fukusaki
and colleagues [5] identied no functional benet over local anesthetic in
patients who had LCS treated with epidural steroid injection subsequently
evaluated by a treadmill exercise test. A recent retrospective review of 140
patients included patients who had central, lateral, and foraminal stenosis
in whom the symptoms were either consistent with radiculopathy or neurogenic claudication [44]. Patients received uoroscopically guided transforaminal or caudal injections. About 30% of patients described 2 months or
more of pain relief, about 40% of patients described less than 2 months
of pain relief, about 50% reported improvement in functional ability, and
75% were at least somewhat satised with their result. This study did not
separately report the results for central, lateral, and foraminal sites of
stenosis, however.
Chronic lumbar spine disease
A few patients who have bony disease of the lumbar spine develop
chronic pain. This group of patients is dicult to treat, often because the
underlying cause of pain and disability is multifactorial.
Postoperative patients who have chronic pain may have underlying structural causes for pain. These include arachnoiditis and failed back syndrome,
a nonspecic condition usually associated with multiple prior lumbar surgeries.
Other patients who have chronic lumbar spine pain have never had surgery;
their condition may overlap with the broader disorder of chronic pain syndrome. Patients who have chronic spine pain are unlikely to respond to invasive
interventions. The goal in such patients is to improve the ability to perform
activities of daily living, and refocus attention away from pain perception.
Several nonmedical factors play a role in the triggering and perpetuation of
pain behavior. These include psychosocial issues, such as job dissatisfaction,
family stresses, and underlying psychiatric disorders. In other cases patients
develop and ingrain a behavior of pain avoidance and fear of pain. Patients
who have chronic pain are best treated in dedicated centers for the rehabilitation of patients who have multifactorial pain syndromes. Pain programs
concentrate on the re-education of the patient to diminish fear of activities

NONSURGICAL INTERVENTIONS FOR SPINE PAIN

501

of daily living through graded exercise programs, the exploration of

psychosocial stressors, and the nonnarcotic treatment of pain.
The therapeutic approach for patients who have chronic spine pain is
most successful in multidisciplinary programs in which behavior modication, psychotherapy, biofeedback, relaxation techniques, physical therapy
modalities, and education are used together. In one study the success rates
of these programs for reduction of pain were 15% to 60%, reduction of
opioid use was 70%, and increase in employment was 40% [45].

Cervical spine pain

Subacute cervical radiculopathy and chronic neck pain
When symptoms of radiculopathy extend beyond 4 weeks, in the presence
of neurologic decits that are xed or worsening, it is necessary to re-evaluate for structural causes that could respond to surgical intervention. In the
absence of surgical indications, several nonsurgical therapeutic options are
available, although their ecacy has not been proven. Physical therapy evaluation and the use of exercises to promote ideal posture, the use of TENS
units, and cervical traction all have their advocates, and some patients
seem to respond to one or more of these maneuvers.
Epidural injections
Epidural corticosteroid injections at the cervical levels have been performed for several decades, but not to the extent of epidural injections at
the lumbar levels. Epidural injection of a combination of corticosteroid
and anesthetic can lead to temporary reduction of pain in some patients.
The few trials that have been performed have not been well controlled
and have lacked homogeneous study populations. One study involving
injections performed at the C5-6 and C6-7 interspaces produced pain relief
for one month or longer in 38% of patients [46].
One retrospective study of 100 patients attempted to identify a patient
prole that predicted response to cervical epidural injection of a combination
of corticosteroid and anesthetic [47]. Based on clinical outcomes determined
by subjective reports of pain relief and return to activities of daily living,
only the presence of radicular pain predicted a better outcome from epidural
injection. Other measured predictors, including age, abnormal sensory
examination, change in muscle stretch reexes, motor changes on examination, and abnormal electromyographic ndings, were not found to be significant. Predictors of a poor outcome included normal radiologic examination
ndings and the presence of a herniated disc. In those whose pain relief
amounted to 50% or more, the response occurred irrespective of the cervical
level involved. In patients who had symptoms and neurologic signs of true
radiculopathy, whether or not a structural abnormality was seen radiographically, the probability of at least 50% improvement was 62%, whereas

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the probability was only 35% for patients who had only radicular pain
symptoms and radiologic structural changes. The poorest probability was
seen in patients who had radicular pain symptoms without structural
changes, and in patients who had nonspecic axial pain symptoms. Another
study described a 76% success rate for paravertebral transforaminal epidural steroid injections [48].
Although reported complications of cervical injections are rare, they can
be severe, including myelopathy from spinal cord penetration and brainstem
infarction [4951].
These procedures were performed through an interlaminar injection approach, and it is likely that more recently advanced transforaminal selective
nerve root injections are somewhat less likely to result in these injuries.
Facet joint treatment
Short-term benets have been reported for steroid injections into facet
joints in the setting of chronic neck pain believed to arise from those structures. Systematic review of facet joint injection at the cervical level is lacking.
For the lumbosacral level, a Cochrane Database of Systematic Reviews report
published in 2000 found insucient evidence to support its eectiveness [17].
Facet coagulation has been in use as a permanent method of denervating facet
joints at the lumbar level [52].
A small subset of patients who have chronic pain from whiplash injury is
believed to have the condition based on facet joint injury [53]. This chronic
pain disorder does not seem to have specic clinical or radiologic hallmarks,
but it responds to local anesthetic block to the nerves supplying the painful
joint. Although a controlled trial showed that intra-articular injections of
corticosteroids oered no particular benet, percutaneous radiofrequency
neurotomy of the medial branch of the cervical dorsal ramus that innervates
the joint provided pain relief for up to 263 days, compared with 8 days in the
placebo group [54]. Patient selection was based on double blind controlled
trials of local anesthetic to the medial branches of the cervical dorsal rami
at the levels of clinical involvement. Return of pain after a successful radiofrequency procedure was believed to represent regeneration of nerve
branches to the joint and was treated with repeat neurotomy, with variable
results.
Remaining treatment options
A small number of patients fail to respond to all the above-mentioned
therapeutic interventions. Some of these patients have chronic spine pain
without evidence of structural intraspinal pathology, others have had previously treated structural lesions, and some have had multiple previous surgical interventions, a condition described as the failed spine syndrome. The
goal in such patients is to improve the ability to perform activities of daily
living and refocus attention away from pain perception.

NONSURGICAL INTERVENTIONS FOR SPINE PAIN

503

Several nonmedical factors play a role in the triggering and perpetuation

of pain behavior. These include psychosocial issues, such as job dissatisfaction, family stresses, and underlying psychiatric disorders. In other cases
patients develop and ingrain a behavior of pain avoidance and fear of
pain. Patients who have chronic pain are best treated in dedicated centers
for the rehabilitation of patients who have multifactorial pain syndromes.
Pain programs concentrate on the re-education of the patient to diminish
fear of activities of daily living through graded exercise programs, the exploration of psychosocial stressors, and the nonnarcotic treatment of pain.

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[52] Jerosch J, Castro WH, Liljenqist U. Percutaneous facet coagulationdindication, technique,
results, and complications. In: Fessler RG, editor. Neurosurgery clinics of North America.
Philadelphia: WB Saunders Co; 1996. p. 11934.
[53] Lord SM, Barnsley L, Wallis BJ, et al. Chronic cervical zygapophysial joint pain after
whiplash: a placebo-controlled prevalence study. Spine 1996;21:173745.
[54] Lord SM, Barnsley L, Wallis BJ, et al. Percutaneous radio-frequency neurotomy for chronic
cervical zygapophyseal-joint pain. N Engl J Med 1996;335:17216.

Neurol Clin 25 (2007) 507522

Surgical Management of Neck

and Low Back Pain
Ajit A. Krishnaney, MD, John Park, MD,
Edward C. Benzel, MD*
Cleveland Clinic Center for Spine Health and Department of Neurosurgery,
Cleveland Clinic Neurological Institute, Cleveland Clinic, 9500 Euclid Ave.,
S-80, Cleveland, OH 44195-001, USA

Neck and low back pain can have a variety of causes. In the majority of
cases, neck or back pain is amenable to nonoperative therapy. In select
cases, when there is a clearly identiable structural pathology (eg, fracture
or tumor), a neurologic dysfunction resulting from spinal cord or nerve
root compression, or nonoperative therapy has failed, surgical intervention
should be considered. The choice to proceed with surgery is complex and involves several factors, including patient history and pain pattern, a thorough
physical examination, and an evaluation of radiologic and neurophysiologic
studies. Paramount to the success of any operation is the ability of a surgeon
to identify an anatomic structure that likely is the cause of a patients pain.
In the cases of fracture or spinal tumor, the pathologic anatomic structure
often is obvious. In the more common scenario associated with advanced
degenerative changes, it often is impossible to identify a single oending
pathologic structure. This often is associated with a suboptimal success rate.
Neck pain
Preoperative evaluation
Degenerative changes in the cervical spine can be described as anatomic
adaptations of the involved structures to the continued wear and tear of
the spine. Structural changes, including thickening and calcication of
ligaments, the formation of appositional bone, and facet hypertrophy, can
occur. This process may be associated with pain. Pain associated with the

* Corresponding author.
E-mail address: [email protected] (E.C. Benzel).
0733-8619/07/$ - see front matter 2007 Elsevier Inc. All rights reserved.
doi:10.1016/j.ncl.2007.01.005
neurologic.theclinics.com

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degenerated cervical spine may result from compression of neurologic

structures (myelopathy or radiculopathy), mechanical pain, or myofascial
elements secondary to cervical deformity. An understanding of the location,
quality, and mitigating and exacerbating factors often can help identify the
oending structure. When a patients symptoms are attributable to a specic
anatomic structure, surgical intervention may be considered.
In patients who do not have neurologic decits, it is important to determine if the pain predominately is radicular or axial in nature. Often a patient
complains of neck and upper extremity pain. In these cases, a clinician must
treat the symptom of greatest clinical signicance. In general, it is reasonable to treat patients conservatively and defer imaging for a period of 6
to 8 weeks. Certain symptoms, however, should raise red ags. These
include unrelenting pain, night pain, weight loss, night sweats, fevers, and
chills. The presence of any of these red ags should trigger a more urgent
imaging evaluation and referral to a spine surgeon. Such ndings are
suggestive of the presence of an infectious or neoplastic process. Moreover,
patients who have neck pain and a recent history of trauma are at risk for
occult pathology, such as subluxation or fracture, and should be imaged
immediately.
For patients who have radicular pain and no neurologic decit and who
have failed a trial of conservative therapy, plain radiographs and MRI are
indicated. Patients who have only axial neck pain and no neurologic decit
are evaluated best with plain radiographs only. MRI may be helpful,
however, in the early identication of infection.
Patients who have a neurologic decit at the time of initial evaluation
should be imaged with MRI or CT myelography. The presence of myelopathy or radiculopathy with motor weakness or sensory loss constitutes
reason to refer to a spine surgeon.
Surgical intervention
Most cervical spine surgical procedures involve neural decompression,
stabilization (fusion), or deformity correction. Decompression is indicated
in cases in which degenerative changes cause direct compression of neural
structures, resulting in neurologic decits (eg, radiculopathy or myelopathy). Bony compression can result from osteophyte formation ventrally or
uncovertebral and facet joints dorsolaterally. Soft tissue compression may
result from extruded disk material, ligamentous buckling, or facet joint capsule hypertrophy.
Fusion is indicated in the setting of spinal instability. Instability may
result from the degenerative process or may be iatrogenic (ie, post decompression). Some suggest that fusion alone may improve radicular symptoms
by eliminating mechanical irritation in cases of foraminal stenosis. In addition, if the normal anatomic height and alignment of the spine are restored,
the foramina may be decompressed indirectly.

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Deformity correction may improve neck pain by restoring the normal

mechanical advantage that lordosis aords the cervical musculature.
Kyphosis is the most common cervical deformity. This may result in
postural neck pain that is related to reex compensatory mechanisms. The
combination of decompression, traction, and fusion may be used to restore
anatomic alignment in cases of severe kyphosis or to prevent progression in
milder cases.
Radiculopathy
The goal of surgical intervention for radiculopathy is decompression of
the aected nerve root. Eective decompression may be achieved through
a dorsal or ventral approach. Ventral decompression usually involves
complete diskectomy and osteophytectomy, followed by interbody fusion.
Dorsally, the nerve root may be decompressed via a laminotomy and foraminotomy. Although either approach is ecacious, both have advantages
and drawbacks. The ventral approach provides excellent exposure with little
blood loss. Ventral surgery usually is achieved, however, via a complete
diskectomy and fusion (Fig. 1). Dorsal decompression does not necessitate
fusion. It requires, however, more extensive muscle dissection.
Myelopathy
The goal of surgery in myelopathic patients is decompression of the
spinal cord. As with radiculopathy, this may be accomplished vial a dorsal
or ventral approach. Laminoplasty also may be considered for multilevel
compression in patients who have preserved lordosis. With laminoplasty,

Fig. 1. A 59-year-old man presented with a 1-year history of mechanical neck pain and bilateral
shoulder pain. Preoperative imaging revealed cervical spondylosis with eacent of the thecal sac
at C4-5 and C5-6 (A). Lateral radiographs exhibited local kyphosis at C4-5 and C5-6 with
moderate spondylosis (B, C). C4-5 and C5-6 anterior cervical discectomies and fusion with
structural allograft bone grafts and anterior cervical plate xation was performed with improvement in the patients neck pain and resolution of his shoulder pain.

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the lamina is unhinged via a variety of techniques, thereby expanding the

diameter of the central canal. Laminoplasty facilitates decompression over
multiple segments while obviating fusion.
Suboccipital pain
Osteoarthritis of the atlantoaxial and atlanto-occipital joints has a prevalence of 4.8% [1]. Degenerative changes in this region present most commonly as unilateral suboccipital pain. The pain usually responds to
external immobilization. In patients who have failed conservative therapy,
surgical immobilization can provide relief in selected cases.
Surgical immobilization of the atlantoaxial segment can be achieved via
a variety of fusion techniques. All of these techniques use a dorsal midline
approach to the upper cervical spine and achieve immobilization via fusion.
Currently available xation strategies include segmental xation with C2
pars or translaminar screws and C1 lateral mass screws, transarticular screw
xation, or a variety of wire or cable xation techniques.
The literature regarding osteoarthritis of the C0-C1 facet joints is sparse.
If degeneration of the atlanto-occipital facet joint or atlanto-occipital instability is believed the source of a patients pain, however, atlanto-occipital
xation may be indicated. Stabilization and fusion of the atlanto-occipital
segment is achieved via a midline dorsal approach. In this case, the suboccipital bone and the dorsal arch of C1 are exposed. Rods may be axed
to the skull via a plate screwed into the occipital keel or via wires threaded
through burr holes. The caudal end of the construct then is axed to the
upper cervical spine via screws or wires (Fig. 2).
Subaxial cervical spine pain
In patients who have neck pain refractory to conservative therapy,
including neck strengthening and exibility exercises, epidural steroid and
facet injections, and anti-inammatory medications, surgical intervention
may be indicated. In cases in which surgical intervention is considered,
a focal single level cause of the pain should be identied.
Precise localization of the painful level often is dicult. Surgery, therefore,
should be considered carefully. The mainstay of evaluation is the history and
physical examination. Radiologic evaluation consists of plain radiographs,
CT, and MRI. Often these studies reveal degenerative changes, including
disk desiccation, loss of disk space height, and osteophyte formation at multiple levels. Moreover, as many as 85% of asymptomatic individuals over
60 years of age exhibit degenerative changes in their cervical disks on MRI
[2,3]. This further diminishes the indication for surgical intervention.
Treatment of acute axial neck pain includes rest, anti-inammatory
agents, muscle relaxants, analgesics, and physical therapy. Therapy of
neck pain in the chronic phase includes physical therapy with muscle

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Fig. 2. A 73-year-old woman who had a history of rheumatoid arthritis complained of suboccipital and upper cervical pain with movement. Preoperative MRI (A) and CT (B) revealed
autofusion of occiput to C3 with a chronic fracture of the dens. Occiput to C3 fusion with instrumentation was performed with resolution of suboccipital and cervical pain. Intraoperative
photograph (C) and postoperative lateral radiograph (D) show the construct consisting of an
occipital plate and C3 lateral mass screw xation.

strengthening, exibility, and range-of-motion exercises. Epidural steroid

injections also may be helpful in the chronic phase, although the risk associated with such injections precludes their routine use. Surgical intervention
for neck pain in the absence of radicular pain should be considered only
after all conservative measures are exhausted. When considering fusion
for neck pain, selection of the levels to be included in the fusion is crucial.
This decision is based on the available clinical and radiographic data,
including subluxation or spinal instability that is manifested by excessive
segmental motion.
Neck pain is treated surgically most eectively with cervical fusion.
Cervical fusion may be accomplished via a dorsal or ventral approach.

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The choice of approach is a complex one and depends on several factors, including the number of levels to be fused, cervical sagittal alignment, history
of prior surgery, patient comorbidities and body habitus. The ventral approach is preferred for correction of kyphotic segments and in cases where
a degenerative disk is the suspected cause of the pain. Dorsal fusion may be
considered when multiple levels are involved and sagittal alignment is acceptable. Combined ventral and dorsal fusion may be required when correcting severe kyphosis or in cases where anatomic considerations prevent
adequate xation from either approach alone.
Ventral approach
The ventral cervical spine is approached via a corridor medial to the ventral border of the steroncleidomastoid muscle and medial to the carotid
sheath. Once the appropriate level is identied, a diskectomy is performed.
If further decompression or deformity correction is required, a corpectomy
may be performed. Once decompression is complete, a graft is placed in the
evacuated space. A variety of graft materials currently is available, including
iliac crest autograft, cadaveric allograft, and synthetic spacers. A plate then
may be axed across the fused segments with screws (Fig. 1).
Dorsal fusion
The dorsal cervical spine is exposed via a midline incision. Dissection proceeds deep to the posterior cervical fascia via the midline rafe to minimize
muscle bleeding. Subperiostial dissection is used to expose the cervical lamina
and lateral masses. Once the appropriate levels are identied, decompression
may be performed via a laminotomy for radiculopathy or laminectomy for
spinal cord compression at the aected level. If indicated, bony fusion may
be achieved by placing a bone graft across the exposed facet joints. Internal
xation can be achieved through a variety of wiring and cabling techniques
or with any of several commercially available screw-hook-rod systems.
Low back pain
Seventy percent to 85% of people have back pain at some point in their
life. In the United States, back pain is the second most common reason for
a visit to a physician, the fth most common cause of admission to a hospital, and the third most common indication for surgery [4]. Back pain can be
characterized by its duration: acute back pain typically lasts 0 to 4 weeks,
subacute back pain lasts 4 to 12 weeks, and chronic back pain is greater
than 12 weeks in duration [5]. For the most part, back pain is a benign
and self-limited entity, with 60% to 70% of patients recovering by 6 weeks
and 80% to 90% recovering by 12 weeks. Recovery after this period, however, often is slow and uncertain, and such patients are a major source of
disability and lost workdays. Many nonsurgical therapies exist for

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nonspecic low back pain, including exercise therapy, cognitive behavioral

therapy, manipulation, and medications. A combination program involving
exercise and cognitive therapy may be particularly ecacious for those who
have chronic low back pain [5]. Patients who have back pain refractory
to such measures, however, may be candidates for surgical intervention,
provided a thorough assessment to establish candidacy for surgery is
performed.
Preoperative evaluation
Various terms are used to characterize back pain and its associated
symptoms. Radiculopathy arises from compression of an exiting nerve
root. This may be caused by a bulging or herniated disk, degenerative stenosis of the intervertebral foramen, a synovial cyst, or other pathologic entities. Pain often is shock-like, radiating along a dermatomal distribution,
and occasionally may be accompanied by motor weakness and a decreased
muscle stretch reex, corresponding to the aected nerve root. Radiculopathy pain can be elicited by tests, such as a straight leg raise, where a positive
test consists of leg pain or parasthesia in the distribution of the aected
nerve after less than 60 of leg elevation [6].
Neurogenic claudication secondary to lumbar canal stenosis consists of
numbness, fatigue, weakness, or cramping leg pain (occasionally without
back pain) that is aggravated by walking and lumbar extension and relieved
by sitting. Patients tend to stoop when walking, often bending over carts
while shopping. They tolerate bicycling better than walking, because of
the exed posture assumed during cycling [7]. Lumbar exion opens the neuroforamina and provides greater room for exiting nerve roots. This, in turn,
decreases exiting nerve root compression and associated symptoms.
Diskogenic pain, a somewhat controversial diagnosis, is axial spine pain
without sciatica secondary to a degenerative disk [8]. Degenerative tears of
the annulus brosus stimulate sinuvertebral nerve endings that innervate the
annulus brosus and posterior longitudinal ligament [9]. Diskogenic pain
also is believed to correlate with the increased nociceptive innervation that
develops within symptomatic degenerative disks [10]. Nevertheless,
diskogenic pain is dened poorly and should be considered suspect as an indication, in and of itself, for surgery.
The facet syndrome refers to back pain generated within the facet joints.
Lumbar extension generally is believed to worsen this pain. The existence of
the facet syndrome as a denitive clinical entity is questioned [11].
Mechanical back pain is a deep, dull, agonizing pain worsened when load
is placed on the spine. It is exacerbated by an upright posture and by activity
in general. Bed rest and inactivity diminish the pain by removing load from
the spine. Muscle pain may be present in the same patient but is not a component of mechanical pain. Unlike mechanical pain, muscle pain tends to be
sharp, to be associated with palpable tenderness, and to respond poorly to

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rest. Mechanical back pain often is associated with degenerative disease of

the spine, which can give rise to dysfunctional motion within the spine [12].
An initial assessment should seek neurologic symptoms that may require
urgent attention, such as weakness and signs of cauda equina syndrome
(saddle anesthesia, urinary incontinence, or motor decit). The initial examination also should screen for other potentially serious conditions, such as
fracture, infection, or cancer [6]. Physical examination ndings also may
point to other pathologies unlikely to benet from spinal surgery, such as
hip or sacroiliac joint pain syndromes.
Before considering surgical options, it is prudent to evaluate patients for
psychosocial factors that may complicate the outcome of spinal surgery.
Because pain is a subjective experience, a patients personality and emotional character may aect the perception of pain and the pain response
to surgery. Higher levels of hysteria, hypochondriasis, and depression, as
measured by the Minnesota Multiphasic Personality Inventory, and poor
pain coping skills are predictive of suboptimal outcomes after spine surgery
[13]. Physical examination may uncover nonphysiologic ndings (Waddell
[14] signs,, such as supercial tenderness, lumbar pain with axial loading
or simulated rotation, and diminished pain when distracting patients during
straight leg raising). The presence of several of these signs suggests a pain
behavior pattern that is predictive of a poor surgical outcome. Social factors
also could aect the probability of satisfactory outcome from spinal surgery
negatively, including involvement in disability pension claims and workers
compensation claims, long preoperative sick leave, litigation, and the reinforcement of pain behavior by family members [15]. Patients who have
such negative predictors of satisfactory surgical outcome may be served
best by chronic pain programs and rigorous physical and cognitive therapy
before surgery is undertaken. Cessation of smoking is another behavioral
modication strategy that should be pursued before surgery, particularly
if patients are considered for spinal fusion [16]. Smoking is associated
with a markedly decreased fusion rate and a suboptimal response to surgery.
Diagnostic studies
Several imaging studies can be used to evaluate patients considered surgical candidates. If patients present with back pain for the rst time, plain
radiography is not recommended unless they present with symptoms suggestive of systemic disease or trauma. Such symptoms include fever, weight
loss, a history of cancer, neurologic decit, alcohol or intravenous drug
abuse, age greater than 50, and trauma [17]. Plain radiographs are appropriate initial imaging studies in patients not improving after a 1-month course
of conservative therapy [18]. Plain radiographs can reveal gross bony abnormalities, such as fractures and osteopenia. They also can be used to diagnose
spinal imbalance, spondylolisthesis (displacement of one vertebra over the
one beneath it), or scoliosis. Anteroposterior and lateral views may be

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supplemented by exion and extension views aimed at detecting abnormal

motion and instability. Such ndings may provide sucient indication for
a fusion. Plain radiographs also are useful for detecting anatomic variations
that could confuse a surgeon intraoperatively, such as the presence of six
lumbar vertebrae or a sacralized fth lumbar vertebra.
More advanced studies include CT and MRI. MRI provides better soft
tissue resolution and a superior ability to detect malignant or vascular
abnormalities. It facilitates the detection of stenosis of the spinal canal or
foramina caused by ligamentous hypertrophy and inammatory changes
within disks, vertebral bodies, and facet joints. With gadolinium enhancement, it is for detecting paravertebral soft tissue abnormalities, osteomyelitis, and intradural pathology [18]. Noncontrast CT facilitates delineation of
bony anatomy and bone abnormalities. It is suitable if MRI is contraindicated, as may be the case in patients who have cardiac pacemakers and
claustrophobia. CT myelography could delineate central canal stenosis
and nerve root compression further, especially in those unable to undergo
MRI or in postsurgical patients in whom instrumentation may result in
excessive MRI artifacts. The use of imaging studies should be judicious
because of the high incidence of imaging abnormalities in asymptomatic individuals [18]. Degenerative disk changes and stenosis of the lumbar spine
canal and foramen are found in a high percentage of asymptomatic
individuals [19,20]. Hence, radiographic ndings should be correlated with
a patients symptoms before deciding to treat the patient through surgery.
More invasive studies to evaluate surgical candidates are available.
Diskography involves injection of contrast into the disk interspace of a radiographically abnormal disk. Pain that is concordant with a patients usual
back pain, combined with lack of pain or pain that is not concordant at adjacent disks, is believed to implicate the abnormal disk as a source of diskogenic pain. Radiographically normal disks are not considered candidates for
surgical intervention, even if diskography is positive [21]. Diskography can
be used to evaluate the extent of disk abnormality, to correlate the abnormal
disk with clinical symptoms, and to investigate an abnormal disk when other
tests fail to provide clear proof that the disk is the source of pain [22]. The
test carries a risk of infection, however, albeit low, and remains controversial with respect to reliability. Production of pain in asymptomatic postdiskectomy patients is not signicantly dierent from postdiskectomy patients
suering from pain, and patients who have abnormal psychologic proles
have signicantly higher pain responses overall to diskography [23]. In
addition, chronic cervical pain suerers who do not have back pain and
patients who have somatization disorders but do not have back pain also
are highly likely to develop pain with lumbar diskography, again showing
the confounding inuence of psychologic background in evaluating
diskogenic pain via diskography [24].
In patients who have radicular pain in whom the source of the pain is
unclear because of multiple radiographic abnormalities, a selective nerve

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root block can be useful in determining the cause of the pain [25]. This test is
helpful primarily as a negative predictor for the presence of nerve compression if the result of the block is negative, because it has great sensitivity in
demonstrating symptomatic nerve root compression but only moderate
specicity [26]. Similarly, a facet block can be used to evaluate a facet joint
as a source of pain.
Surgical options
Surgery should be tailored to a patients symptoms and diagnostic study
ndings. Radicular pain from disk herniation that fails to respond to a trial
of conservative therapy can be treated with a unilateral diskectomy (Fig. 3).
The approach depends on the side of the patients symptoms and the laterality of the disk herniation on imaging [27,28]. Fusion typically is not necessary for such cases. Newer techniques using minimally invasive access
techniques facilitate the performance of the procedure using tube dilators
or expandable retractors. These techniques allow for a smaller incision
and decrease stripping of muscle o its bony attachment [29].
The ecacy of lumbar diskectomy over nonoperative treatment of radicular pain remains somewhat controversial. A recent randomized control
trial by the Spine Patient Outcomes Research Trial (SPORT) group compared lumbar diskectomy versus nonoperative care over a period of 2 years
for patients who had radicular pain [30]. It found that surgical and nonsurgical patients experienced signicant improvements in primary and secondary outcome measures. Examination of primary outcome measures did
show that surgical patients had slightly better outcomes in every stage of follow-up than did nonsurgical patients, but this dierence was not statistically
signicant. Conclusions about the superiority of operative therapy or

Fig. 3. A 28-year-old man who had a 6-week history of left L5 radicular pain who had failed
conservative management. MRI (A, B) revealed a large left sided L4-5 extruded disc fragment.
He underwent a left L4-5 microdiscectomy with immediate relief of his symptoms.

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conservative management could not be made because of the large number of

patients crossing over between the two groups [30]. The SPORT group also
ran a concurrent observational cohort study looking at patients eligible for
the randomized study who declined randomization [31]. In this study, surgical patients demonstrated a signicant improvement in primary outcome
measures compared with nonsurgical patients. This study looked at subjective results among an unmasked, nonrandomized pool of patients, however,
making it vulnerable to confounding factors, such as expectations of treatment success and dierences in perception of care.
Severe neurogenic claudication secondary to degenerative spinal canal
stenosis may require decompression of the thecal sac and nerve roots. Anatomic factors contributing to stenosis include short pedicles, osteophytes,
hypertrophy of the facet joints, thickening of the ligamentum avum, and
bulging degenerated disks. Laminectomy involves partial removal of the
lamina and removal of the spinous processes and ligamentum avum,
thus removing dorsal compression. It may be accompanied by partial resection of the medial portions of the facet joints, foraminotomies to enlarge the
intervertebral foramen and decompress exiting nerve roots, and diskectomies to relieve ventral compression. Care must be taken to avoid dural tears
and nerve root injuries. Overly aggressive decompression also may destabilize the spine if too much of the facet is removed or if an excessive lateral
removal of the lamina results in fracture of the pars interarticularis (which
would result in the disconnection of the superior and inferior articular processes of the aected vertebrae). In the absence of spinal instability, surgical
fusion or instrumentation generally is unnecessary [32].
Preoperative radiographic evaluation may reveal anatomic factors that
could predispose the spine to instability after dorsal decompression. Dorsal
decompression in the presence of signicant degenerative scoliosis could
lead to progressively worsening deformity after surgery as a result of loss
of stabilization provided by the dorsal spinal arch complex. Surgeons may
wish to consider a less extensive hemilaminectomy or laminotomy, with limited bony removal, followed by undercutting and removal of compressive
pathology via the smaller exposure. Preoperative exion-extension lms
also may demonstrate instability, with slippage of 3 mm or more of one vertebral body over the next or the development of 10 or more of angulation
[32]. In cases of radiologic instability or in cases where the risk of iatrogenic
destabilization is signicant, surgeons may wish to consider fusion while
remaining mindful of its risks, which include increased operative time and
increased operative blood loss. The decision for fusion usually requires
smoking cessation (typically for several weeks before the surgery) and the
avoidance of steroids and nonsteroidal anti-inammatory medications to
decrease the risk of fusion failure.
Fusion, either instrumented or noninstrumented, involves the laying of
bone graft or bone graft substitute between adjacent vertebral structures
(such as along the pars interarticularis or transverse processes or within

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the facet joints), with the goal of creating a motion-limiting bony mass over
time. Instrumentation can involve dorsal placement of pedicle screws, which
serve as an internal xator while the fusion mass solidies, thereby decreasing the risk of fusion failure. Pedicle screws are shown to lead to a higher
radiographic fusion rate, although there was no long-term clinical advantage over noninstrumented fusion with respect to back or leg pain [33].
Surgeons also may choose to perform interbody fusion, which involves
placement of a bony graft or a synthetic cage (lled with bone or bone substitute, such as recombinant human bone morphogenic protein) [34] between
the vertebral bodies after a diskectomy. Lumbar lordosis can be maintained
or improved by placing an appropriately fashioned interbody graft. In addition, the distraction between the vertebral bodies provided by an interbody
graft can open up the intervertebral foramen, decreasing pressure on exiting
nerve roots. Performing an interbody fusion can be accomplished through
a ventral or dorsal approach. The dorsal approach can be performed via
a direct dorsal route into the gap left by the diskectomy (posterior lumbar
interbody fusion) (Fig. 4). Alternatively, the diskectomy and the insertion
of the graft can be performed slightly more laterally in the area of the spinal
foramen (transforaminal lumbar interbody fusion). Anterior lumbar interbody fusion (ALIF), which can be performed via a retroperitoneal or transperitoneal approach, allows surgeons to avoid the neural elements and is
believed by some investigators to be biomechanically superior to a dorsally
placed graft [27]. Performing an ALIF, however, does not permit direct
decompression of the neural elements and carries with it risks, such as bowel
or vascular injury, thrombosis caused by retraction of major vessels, and
retrograde ejaculation in males. Convincing evidence that any method of

Fig. 4. A 47-year-old woman who had mechanical low back pain and right L4 radiculopathy
who had failed 3 months of conservative therapy. Preoperative MRI and plain radiographs
(A, B) reveal an L4-5 degenrerative disc with a grade 1 spondylolisthesis and narrowing of
the L4-5 foramen. An L4-5 decompression and interbody fusion with instrumentation was
performed, resulting in restored intervertebral height and resolution of radicular and low
back pain (C).

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interbody fusion technique is superior with regards to radiographic fusion

and clinical outcome is lacking [35]. The decision for instrumentation or interbody fusion requires evaluation of the patients overall health status
because of the additional operative time and blood loss. Other mitigating
factors include osteoporosis, the risk to neural and adjacent structures
during instrumentation, and the additional cost of instrumentation. In addition, the preservation of lumbar lordosis with any fusion procedure should
be a primary objective. The loss of lordosis can result in a attened back
that makes proper posture dicult, leading to tightness and pain in the
low back and hamstrings [12].
Lumbar fusion often is performed to treat intractable back pain secondary
to degenerative disk disease without stenosis or spondylolisthesis. This indication is controversial, however, and concern is raised about the appropriateness
of the rapid rise in the number of spinal fusion operations, especially considering the risks and expense of spinal fusion [8]. A large multicenter randomized
control trial evaluated whether or not lumbar fusion could reduce pain and
disability in 289 patients using multiple outcome measures and found signicant improvement in the fusion group compared with those treated with
standard conservative measures [36]. Alternatively, a later and smaller
randomized trial compared instrumented fusion versus an intensive course
of cognitive therapy and exercise and found equal improvement in both
groups along with an 18% early complication rate in the surgical group [37].
Lumbar fusion has, henceforth, been recommended for carefully selected
patients who have disabling pain as a result of one- or two-level degenerative
disease without stenosis or spondylolisthesis, whereas intensive physical and
cognitive therapy is recommended as a treatment option for patients with
multi-level degenerative changes [38].
Postoperatively, patients are encouraged to mobilize, and standing lms
can be taken to evaluate instrumentation. The use of a brace postoperatively
after fusion is of unknown benet [39] and often a matter of surgeon
preference.
A possible long-term complication of spinal fusion is the development of
degenerative changes in levels adjacent to the fused vertebrae [40]. These
problems include spondylolisthesis, worsening spinal canal stenosis, and
scoliosis. The theory that preserving motion in the disk space decreases
the risk of so-called adjacent segment disease has led to interest in total
disk replacement to treat pain resulting from degenerative disk disease.
Disk arthroplasty is performed via a ventral approach. Two-year followup demonstrates clinical improvement comparable to that of lumbar fusion
[41]. Long-term data examining clinical outcome, preservation of motion,
and prevention of adjacent segment degeneration, however, are scant [42]
and at times contradictory. Some investigators report good clinical outcomes comparable to results for lumbar fusion [43], whereas others suggest
a high rate of spontaneous ankylosis and motion impairment at long-term
follow-up [44].

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Other surgical procedures are of limited application in the treatment of

back pain. Spinal cord stimulation can be used for treatment of failed back
syndrome, a persistent or recurrent pain that aects predominantly the lower
back and legs despite anatomically successful spinal surgery. Spinal cord
stimulation produces a sustained 50% or more reduction in pain in a large
portion of patients who have failed back syndrome, especially when used
early in the course of treatment [45]. An implantable drug delivery system
to administer intrathecal narcotic medication also can be used for patients
who have failed back syndrome or back pain resistant to other types of therapy [46]. Intradiskal electrothermal therapy uses controlled thermal energy
delivered via an intradiskal catheter to treat diskogenic back pain, theoretically by coagulating nociceptors in the disk annulus and by causing collagen
contraction. Although it is considered safe, its ecacy has not been demonstrated in several studies [47,48]. Patients suspected of having facet syndrome
can undergo facet blocks; those who have a positive response to the block can
undergo radiofrequency facet joint denervation (facet ablation). Evidence regarding facet ablation is conicting, with prospective double-blind randomized trials supporting [49] and refuting [50] the ecacy of this procedure.

Summary
The surgical management of neck and low back pain can be challenging
and often is met with mixed results. It should be considered a last resort. In
patients who have failed nonsurgical therapy with a discrete anatomic lesion
that correlates with the level of the pain, surgical intervention should be
considered. Currently, the mainstay of surgical therapy is fusion through
a ventral or dorsal approach. Recently introduced procedures, such as
disk arthroplasty, hold great promise, but as yet have not shown improved
outcomes over spinal fusion.

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[45] Van Buyten JP. Neurostimulation for chronic neuropathic back pain in failed back surgery
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intradiscal electrothermal therapy versus placebo for the treatment of chronic discogenic
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Neurol Clin 25 (2007) 523537

Physical Medicine and Complementary

Approaches
Deborah A. Venesy, MD
Department of Physical Medicine and Rehabilitation, Cleveland Clinic, 9500 Euclid Avenue,
C21, Cleveland, OH 44195, USA

Pain is real when you get other people to believe in it. If no one believes in it
but you, your pain is madness or hysteria.
Naomi Wolf

Back pain is the second most common reason that patients come to a
doctor, with lifetime prevalence for the general population between 60%
and 80%. This back pain epidemic, as noted by Waddell and others, is
the most common reason for ling for workers compensation claims and
is the number one disability for people under 45 years of age [14].
As health care costs continue to increase, although the variety of treatment options for back and neck pain remains extensive, the eectiveness
of many therapeutic options never has been proved. A major challenge
for researchers in the neuromuscular and spine eld is to provide evidence
of which treatment, if any, is the most optimal for (subgroups of) patients
with low back pain [5]. This article reviews current complementary and
noninterventional treatment options for back and neck pain. Acute pain
is dened as 6 weeks or less and chronic pain as 12 weeks or more. In addition, the referenced evidence rating system is the one used by the Agency for
Health Care Policy and Research (AHCPR) in its guidelines for acute low
back problems in adults: clinical practice guideline no.14 (Box 1) [2]. The literature review is based mainly on systematic reviews, such as Cochrane reviews, when available, and other relevant studies. vanTulder and colleagues
are quoted and referenced frequently, as they have contributed the preponderance of systematic reviews on this topic and established a standard of
care. Divergent opinions abound in clinical practice and research and highlight the diculty in managing this complex patient population. The research has generated what seem to be equivocal and conicting

E-mail address: [email protected]

0733-8619/07/$ - see front matter 2007 Elsevier Inc. All rights reserved.
doi:10.1016/j.ncl.2007.02.004
neurologic.theclinics.com

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Box 1. Panel ratings of available evidence supporting guideline

statements
A = Strong research-based evidence (multiple relevant and
high-quality scientific studies)
B = Moderate research-based evidence (one relevant, highquality scientific study or multiple adequate scientific studies)
C = Limited research-based evidence (at least one adequate
scientific study of patients who have low back pain [LBP])
D = Panel interpretation of information that did not meet
inclusion criteria as research-based evidence
From Bigos S, Bowyer O, Braen G, et al. Acute low back problems in adults.
Clinical practice guideline no. 14. Rockville (MD): Agency for Health Care Policy
and Research, Public Health Service; December 1994. US Department of Health
and Human Services, AHCPR Publication no. 95-0642. 1160.

conclusions in some situations. Further clarication through large randomized trials may clarify some of this ambiguity.
Management of back pain is complicated by several factors. Many patients present with symptoms but without physical ndings on examination
or imaging studies. Other patients demonstrate structural abnormalities
without clear clinical correlates. One study, for instance, demonstrated lumbar MRI scan structural changes (disc bulge, protrusion, and extrusion) in
more than 50% of asymptomatic individuals [3]. There has been a proliferation of surgical and nonsurgical treatments without national or international standards of treatment. Factors, such as income, educational level,
and job type, exert inuences on the expression of symptoms and response
to treatment.
In chronic LBP, where symptoms are present for more than 3 months,
factors beyond imaging results and physical examination become important
in the evaluation of the clinical picture and the selection of therapy. This is
because illness behavior and subjective symptomatology contribute to the
perpetuation of disability [6]. In addition to standard history and physical
examination, other tools are used by specialists to assess spine impairment
and disability fully. Pain diagrams or drawings are helpful in identifying radicular patterns, diuse pain in soft tissue (such as bromyalgia), or somatosensory patterns that can extend outside the lines of the body. Physiatrists
also assess patients functional impairments at home and work. Tools,
such as the Oswestry Disability Index and the Roland-Morris Low Back
Pain and Disability Questionnaire, facilitate assessment of functional impairments at home and work [7,8].
The physiatric approach to back pain assessment pays particular attention to psychosocial components of the history. In addition to looking for

PHYSICAL MEDICINE AND COMPLEMENTARY APPROACHES

525

clinically signicant physical ndings, there is an assessment of personal beliefs that may have an impact on patients manifestation of pain, their willingness to be compliant in treatment, or both. Several factors are associated
with resistance to standard physical treatments of spine pain (Box 2) [9]. Box 3
lists specic illness behaviors identied by Waddell and coworkers [10].
The AHCPR has developed guidelines on acute low back problems in
adults [2]. The acute LBP guidelines were federally mandated and developed
in 1994 by a panel of 23 national experts and seven consultants and remain
clinically instructive [1]. A summary of the panels ndings and recommendations is found in Table 1.
Complementary medicine treatment approaches
In a 1997 study, gures indicated $25 billion per year was spent on medical care for back pain and an additional $50 billion spent on disability and
lost productivity [5,11]. Despite the prevalence of back pain, few treatments
have proved eective in controlled trials [2,5,11]. Patients often consult with
practioners of complementary and alterative medicine (CAM) in search of
treatments, such as spinal manipulation, massage therapy, and acupuncture.
A description of these treatments follows.
Spinal manipulation
Spinal manipulation is practiced by osteopathic physicians, chiropractors, and physical therapists. Spinal manipulation is described as the use
of hands applied to patients incorporating instructions and maneuvers to
achieve maximal painless movement [12]. Manipulation is promoted as
a technique to restore joint movement by releasing entrapped synovial folds

Box 2. Factors that complicate management of back pain

1. Many patients who have back pain have no physical findings.
2. Many patients who have physical findings have no symptoms.
For example, more than 50% of asymptomatic adults have
structural changes noted on lumbar MRI.
3. There is an abundance of treatment options from which
clinicians and patients can choose.
4. Approaches to back pain vary from country to country.
5. Income or education level.
6. Inappropriate illness behaviors (see Box 2).
Adapted from Waddell G, Newton M, Henderson I, et al. A fear-avoidance beliefs questionnaire (FABQ) and the role of fear-avoidance beliefs in chronic low
back pain and disability. Pain 1993;52:15768.

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Box 3. Nonorganic physical signs (Waddell signs)

1. Tenderness
Superficial
Nonanatomic
2. Simulation
Axial loading
Rotation
3. Distraction (straight leg raising)
4. Regional
Weakness
Sensory
5. Over-reaction
3 out of 5 positive
Adapted from Waddell G, McCulloch JA, Kummel E, et al. Nonorganic physical
signs in low-back pain. Spine 1980;5(2):11725.

or plica, relaxing hypertonic muscles, and disrupting articular or periarticular adhesions that develop as a result of trauma and inammation, immobilization, and degenerative joint disease [13].
A Cochrane Database of Systematic Reviews report in 2006 assessed 33
randomized controlled trials (RCTs) and semirandomized controlled trials
studying manipulation or mobilization treatment of cervical pain. The evidence did not favor manipulation or mobilization done alone or in combination with various other physical medicine agents; when compared with
one another, neither was superior. There was insucient evidence available
to draw conclusions for neck disorders with radicular ndings [12,14].
A Cochrane review in 2003 assessed manipulation for lumbar spine pain
in 39 RCTs and found that spinal manipulation was superior only to sham
therapy for patients who had acute LBP. They discovered that there is no
evidence that spinal manipulation is better than other treatments of acute
or chronic LBP [12,15,16]. Although this evidence suggests no scientic basis for the use of manipulation, debate continues because of claims of practitioners and patients as to the eectiveness of this type of therapy.
A recent study by Childs and colleagues assessed the predictive value of
the eectiveness of lumbar manipulation based on a set of clinical criteria,
which included (1) LBP fewer than 16 days (ie, acute LBP), (2) no pain or
symptoms below the level of the knee, (3) low score (!19 points) on the
Fear-Avoidance Beliefs Questionnaire, (4) at least one hypermobile segment
in the lumbar spine, and (5) at least one hip joint with more than 35 of internal range of motion [9,17]. Patients were assigned randomly to have

Table 1
Review of the 1994 recommendations from the Agency for Health Care Policy and Research clinical guidelines regarding acute low back pain treatment in
adults with associated levels of scientic evidence, levels A through D
Recommendation for treatment or
nding

Patient education (14 studies)

Medications (23 studies)
Physical Treatment (42 studies)

X-ray of lumbar spine (18 studies)

 History (B)
 History of cancer or infection
(B)
 History of trauma (C)
 Cauda equina (C)
 Straight leg raise (B)
 Neurologic examination (B)
 Low back pain education (B)
 Back schools in work setting (C)
 NSAIDs (B)
 Acetaminophen (C)
Spinal manipulation during rst
month of acute LBP (B)

Red ag present for fracture or

symptoms of cancer or infection
(C)

Recommendation against
treatment or inging

 Pain scale (D)

 Pain drawing (D)

 Back schools in non-work

environment (C)
 Muscle relaxants (C)
 Opioids (C)
 Spinal manipulation for LBP
over 1 month (C)
 Manipulation for radicular pain
(C)
 Moist heat or cold (C)
 Corset for back pain prevention
at work (C)








Options for over 2 weeks (C)

Antidepressants (C)
TENS (C)
Traction (B)
Biofeedback (C)
Corset for treatment of back
pain (D)
 Prolonged spinal manipulation
(D)
Routine use in acute LBP without
red ags (B)

PHYSICAL MEDICINE AND COMPLEMENTARY APPROACHES

History and physical examination

(34 studies)

Option for treatment or nding

From Bigos S. Lower back pain: perils, pitfalls, and accomplishments of guidelines for treatment of back problems. Neurol Clin 1999;17(1):17992; with
permission.
527

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VENESY

either ve sessions of spinal manipulation and exercise or exercise alone. Patients who met the criteria maintained their level of functional improvement
after manipulation for at least 6 months [17,18]. Childs and colleagues predictive model may improve future spinal manipulation study designs and
classication systems [18].
Massage therapy
Massage is the second most common CAM therapy [19]. Cherkin and
colleagues [11] performed a systematic review of RCTs published between
1995 and 2002 assessing manipulation, massage, and acupuncture for nonspecic back pain. They found three RCTs investigating therapeutic massage for back pain. All three studies noted that there was improvement in
the subjects level of function with therapeutic massage as a treatment of
subacute and chronic back pain. One of the studies [20] randomly assigned
262 patients who had chronic LBP to therapeutic massage, traditional Chinese acupuncture, or self-care educational materials. These investigators
noted reduced pain and improved function from massage (10-week study period; approximately eight massage visits) that continued for 1 year after the
study [20]. Furthermore, Furlan and coworkers [21] recent report in the
Cochrane Database of Systematic Reviews suggests that acupressure or pressure point massage is more eective than classic or Swedish massage, but
more research is required.
Acupuncture
The eectiveness of acupuncture remains unclear and controversial.
Cherkin and colleagues [11] conclude that acupuncture is more eective
than no treatment or sham treatment. In their 2003 review of 20 RCTs of
acupuncture treatment of LBP, they found the study quality poor. Manheimer and colleagues [22] 2005 meta-analysis of acupuncture and LBP
concludes that acupuncture is an eective treatment of chronic LBP. The
range for the number of acupuncture sessions and times per week for
chronic LBP in their meta-analysis was 1 to 16 sessions and 1 to 2 times
per week. They conclude that there was not enough data to recommend acupuncture for acute LBP. Acupuncture is less eective than manipulation,
and there is no evidence that acupuncture is superior to other therapies.
Comparisons among the various studies were hampered by lack of uniformity regarding patient selection, control selection, and selection of
outcomes.

Other noninterventional treatment approaches

Exercise is one of the few eective treatments of back pain, although the
scientic evidence in most studies suggests only modest improvements.

PHYSICAL MEDICINE AND COMPLEMENTARY APPROACHES

529

A brief description of several other noninterventional treatment options,

including exercise therapy, follows.
Exercise therapy
In 2000, vanTulder and colleagues published a Cochrane review investigating the eectiveness of exercise for LBP [23]. They reviewed 39 RCTs of
all types of exercise for patients experiencing acute and chronic LBP. They
looked at how exercise had an impact on pain intensity, functional status,
overall improvement, and return to work. vanTulder and colleagues concluded that there was no scientic evidence to support the eectiveness of
exercise for acute LBP, yet exercise may be benecial for chronic LBP [23].
Hayden and colleagues [23,24] updated the 2000 Cochrane review and
published their critique of 61 RCTs (6390 subjects) evaluating exercise therapy. Many of the studies did not supply adequate clinical information. For
example, 90% of the published studies described their population suciently, yet only 54% described their exercise intervention adequately. The
majority, 43 of 61 studies, focused on exercise treatment of chronic LBP.
Hayden and coworkers [23,24] conclude that exercise is slightly eective
at lowering pain levels and improving overall function, especially those exercise programs that were designed individually. The exercise programs usually included strengthening or trunk/spine stabilization exercises.
Hayden and colleagues [23,24] also reviewed exercise therapy for subacute (612 weeks duration) and acute LBP. They found moderate proof
that a graded-activity exercise program improves work absentee outcomes
for patients who have subacute LBP. Yet, there is no evidence that exercise
is any more eective than any other treatment, including no treatment, of
acute LBP.
If there is only moderate evidence that exercise is eective for chronic
LBP, why are physical therapy and therapeutic exercise prescribed? Guidelines endorsed by the American Academy of Physical Medicine and Rehabilitation and the North American Spine Society recommend therapeutic
exercise and education, and medication management, for patients who
have subacute and chronic back pain. Goals of intervention for patients
who have subacute back pain, between 6 weeks and 3 months, are to prevent
progressive deconditioning and the materialization of psychosocial barriers,
such as work absenteeism and impaired function at home [25]. Clinical experience shows that patients respond favorably to an individualized exercise
program and feel that this type of program involves themselves in their own
recovery.
Thus, goals of physical rehabilitation for patients who have persistent
back pain include developing a plan for pain control, developing a home exercise program, establishing independence and self-care, and returning to
regular or normal activities of daily living. Issues that conspire to delay or
prevent success with a rehabilitation program include fear of reinjury and

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over-reliance on passive treatments, such as bed rest, local application of

heat or cold, ultrasound, magnets, massage, corsets, and collars.
Historically, back pain disorders commonly were treated with aggressive
and specic progressive resistance exercises (PRE) in the early twentieth century [26]. DeLorme and Watkins [26] introduced their theory of PRE in the
1940s. They were the rst to quantify muscle strength objectively by controlling the intensity (repetition maximum), the number of sets and repetitions,
and the frequency. DeLorme and Watkins [26] were careful that the spine
extensor muscles were isolated during the PRE program. They prevented
hip extension during the exercises. They discovered a gradual lessening of
back pain as spinal strength improved [27].
Today, there are two popular exercise treatment approaches: the McKenzie Method and spinal stabilization. Unfortunately, there is no agreement as
to which exercise protocol is more eective [28].
The McKenzie approach is one of the types of physical therapy for back
and neck disorders used most frequently [29]. The McKenzie Method was
developed by physical therapist, Robin McKenzie. He suggested a classication-based treatment approach for patients who have LBP: mechanical diagnoses and therapy, or the McKenzie Method. This classication is
based on pain patterns noted during the evaluation. Centralization, moving
pain from a leg or arm to the central back, is the most important and most
studied pain pattern. McKenzie-trained therapists assess patients using
a well-dened algorithm, which then leads to the spinal classication system.
McKenzie identied three mechanical syndromes: postural, dysfunction
(shortened segments related to scar or brosis), and derangement (disruption of a motion segment) [30]. McKenzie exercises not only are extension
exercises but also dictate the direction of the exercise by directional preference, or when the back/neck pain moves centrally and lessens when certain
movements are performed [28]. The McKenzie Method uses self-generated
movement and positioning strategies for the control of acute and chronic
spine pain [31].
A typical McKenzie-based exercise program in one study consisted of
performing six specic exercises, 5 times per day, with 5 to 10 repetitions
of each exercise for an average of 15 days. The authors of that study found
improved spine exibility and less pain with their McKenzie therapeutic
exercise protocol [32].
Another large trial of patients who had subacute and chronic back pain,
260 subjects, found that the McKenzie exercise approach, compared with
dynamic strengthening exercises, was slightly more successful at improving
patients level of function at 2-months follow-up, but the dierence was not
maintained at the longer follow-up evaluation [29].
Lumbar spinal stabilization exercises, including Pilates, also are popular
[29]. The goal of dynamic spinal stabilization exercises is to re-educate and
strengthen the deep postural spinal muscles, such as the multidi and transverse abdominis, thereby decreasing pain and centralizing symptoms.

PHYSICAL MEDICINE AND COMPLEMENTARY APPROACHES

531

Theoretically, back injuries and back pain may be caused by the gradual degeneration of joints and other supporting spinal structures from repetitive
microtrauma. Thus, if one strengthens and stabilizes, dynamically and statistically via stabilization exercises, the spinal muscles, one would note less
back pain and improved spine function and strength [33].
Review of the literature found one small RCT of patients who had
chronic back pain that demonstrated that stabilization exercises improved
back pain and level of function [34].
Despite the popular prescription of exercise, there is limited research
proving the ecacy of specic stabilization exercise and strengthening exercise. Theoretically, they make sense, and they are prescribed widely, but
more outcome studies are needed.
Back schools
There are several systematic reviews regarding back schools. Linton and
vanTulder [4] note that back and neck schools assume that patients are at
higher risk for injury and complain more of pain because they do not
know about proper posture and body mechanics. Thus, back schools are
geared at lowering the risk for back injuries by increasing patients or employees fund of knowledge, such as how to lift properly [4]. Back and
neck schools are attractive interventions, because they combine education
with instruction, exercise, lifting techniques, and so forth, and they are inexpensive. Linton and vanTulder [4] identied nine RCTs and ve non-RCTs
regarding prevention and back school programs. There is strong evidence
that back schools are not eective in preventing neck and back pain. Yet,
in an occupational setting, there is moderate evidence that back schools
reduce pain and improve return to work status and function [35].
Medications
Nonsteroidal anti-inammatory drugs
Nonsteroidal anti-inammatory drugs (NSAIDs) are an important pharmacologic class in the treatment of LBP. Relief of back pain from NSAIDs
is not complete, but it is lasting and there is no drug tolerance eect demonstrated. The use of NSAIDs is limited by adverse side eects, such as gastrointestinal and cardiovascular complications. vanTulder and colleagues 1997
systematic review of medications in the treatment of back pain found 19
RCTs, 10 of which were of high quality, related to the use of NSAIDs for
LBP. vanTulder and colleagues [5] discovered the following strong (level 1)
scientic evidence.
1. NSAIDs are more eective that placebo in patients who have acute LBP.
2. NSAIDs are not better or more eective than acetaminophen.
3. A variety of NSAIDs are equally as eective for the treatment of acute
LBP.

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vanTulder and colleagues [5] Cochrane review also reviewed the literature regarding chronic LBP and NSAID use. They opined that there is moderate evidence (level 2), that NSAIDs are eective treatment of chronic LBP.
Again, they concluded that dierent NSAIDs are equally eective for the
treatment of chronic LBP.
Muscle relaxants
Approximately one third of patients complaining of LBP are prescribed
muscle relaxants by a primary care provider. Prescription of muscle relaxants for nonspecic back pain is controversial, mainly because of their
side eects. In addition to sedation, headaches, nausea, and vomiting, a
potential for abuse and dependence is reported. There is strong scientic
evidence that nonbenzodiazepine muscle relaxants are eective for acute
LBP, but there is no proof that they are eective for chronic LBP [5,36].
vanTulder and colleagues [5,36,37] reviewed 30 trials going back to the
1960s: 8 trials used benzodiazepines, 23 antispasmodics, 3 benzodiazepines
and antispasmodics, and 2 antispasticity medications. Twenty-three of the
30 RCTs were considered high-quality trials. Twenty-four studies were for
acute LBP. The investigators concluded that there is strong support that
nonbenzodiazepine muscle relaxants are eective for acute LBP. They found
strong evidence that any muscle relaxantdbenzodiazepine, nonbenzodiazepine, or antispasticitydwas more eective than placebo for acute LBP.
There is limited evidence for the eectiveness of muscle relaxants for chronic
LBP. vanTulder and colleagues [37] recommended RCTs to study the eectiveness of muscle relaxants versus analgesic or NSAIDs.
Antidepressants
A new commissioned Cochrane review group will reinvestigate antidepressants treatment of LBP and compare them with placebo, analgesics, tricyclic antidepressants versus SSRIs, other medications, and physical therapy
[38]. Currently, there are no systematic review conclusions on the eectiveness of antidepressants for LBP.
Lumbar supports
Linton and vanTulder [4] published a 2001 study reviewing back pain
prevention, including lumbar supports. They found no scientic evidence
that lumbar supports prevent back pain; however, the lumbar supports
seemed to reduce the number of lost workdays when compared with no
treatment. Moreover, they concluded that there is strong consistent evidence
(level A) that lumbar supports are not eective in preventing back pain or
back injury [4].
Transcutaneous electrical nerve stimulation
Transcutaneous electrical nerve stimulation (TENS) is a therapy that uses
low-voltage electrical current for pain relief. TENS was developed in the

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533

1970s as a technique to screen patients who have chronic pain to see who
might respond to implanted stimulators [39]. TENS unit ecacy in the management of acute and chronic pain has been investigated and reviewed in
more than 600 publications.
There are at least two good reviews of the literature published in the
past 10 years, by Fishbain and colleagues and vanTulder and colleagues.
Fishbain and colleagues [39] reviewed the literature on TENS unit ecacy
in chronic pain. They found that nearly all of the TENS studies showed
initial ecacy in 58% to 72% of patients who had intractable, chronic
pain. The benet of TENS seemed to decrease with time. They found 20
studies that reported the benets of TENS in more than 7600 patients
who had chronic pain. Only one of those 20 studies used a control group
(sham TENS unit). Fishbain and colleagues [39] found six other studies
that looked at other outcome measurements aside from decreased level
of pain. Five of those studies demonstrated that long-term TENS unit
use decreased the amount of medication patients took. One study showed
improved socialization and another study showed improved sleep. Based
on their literature review, Fishbain and colleagues and the Clinical Research Department at Empi, a TENS unit manufacturer, conducted a telephone outcome survey. They studied 506 randomly chosen TENS unit
purchasers, most of whom had used the unit for more than 6 months.
Empi contracted with an independent research rm to create a scientic
survey and to conduct the study. The participants were questioned about
how their functional status changed since using the TENS unit. The study
participants reported statistically signicant improvement in interference
with work, home, and social activities and in activity level and pain management; decreased use of other therapies (ie, physical, occupational, and
chiropractic); and decreased use of narcotics, muscle relaxants, NSAIDs,
and steroids. Fishbain and colleagues study showed that there is a group
of patients who have chronic pain that benets from long-term use (R6
months) of TENS.
The meta-analysis of vanTulder and colleagues [5] did not support
TENS unit ecacy. vanTulder and colleagues 1997 review of RCTs found
two studies, varying in quality, which looked at the eectiveness of TENS
in acute LBP. They concluded that TENS is not eective for acute LBP.
vanTulder and colleagues also studied the eectiveness of TENS in
chronic LBP. They found three RCTs and stated that there is no evidence
that TENS is eective for chronic LBP because of contradictory test
results [5].
The cervical overview group for the Cochrane Library recently stated,
We cannot make any denitive statements on the eects of electrotherapy
for people with acute or chronic mechanical neck disorders (MND). Based
on the review of 11 trials and 525 people with MND, the current evidence on
Galvanic current (direct or pulsed), iontophoresis, TENS, EMS, PTMF and
permanent magnets is either lacking, limited, or conicting [40].

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Interventional treatments
Spinal injections may be a useful tool in the evaluation and management
of patients who have spinal disorders and increasingly are within the realm
of physiatrists. Injections may be tried in several dierent structures, possible pain-generating structures, to decrease pain and improve overall level of
function and patients rehabilitation program. Injections should not be used
alone, rather as an adjunct to rehabilitation exercise program. The benets
of epidural, facet, and sacroiliac joint injections in controlled prospective
studies are variable and controversial.
Education
Time is a great healer. The majority of patients who have mechanical
back pain improve(ie, they experience less pain and impairment within
a few weeks). LBP does not equal pathology. Not every patient needs treatment, yet most patients benet from education. Physiatrists approach to the
management of LBP is educating patients about the pain, the cause of their
symptoms (if it can be determined), and the importance of staying as active
as possible. Patients are afraid to hurt themselves because they have back
pain and often stop exercising because they are not sure what to do and if
their exercise contributes directly or indirectly to the pain itself. The physiatric approach involves stressing the importance of motion as lotion.
Physiatrists spend time counseling patients and families about appropriate
exercise for back pain. Deconditioning increases their level of pain. Remaining active leads to more rapid recovery and less chronic back pain [41].
A primary focus should be to educate patients that approximately 90%
of patients who have back pain improve within 4 to 6 weeks without treatment or intervention. They also should be informed that approximately two
thirds experience another episode of back pain within the next yeardthis is
the natural history. Improvement also is expected from each episode or
are-up of back pain. Bed rest is not recommended [2,5,41].
There is a variety of approaches to diagnosis and treatment of back pain.
Physiatarists medical vocabulary diers from chiropractors, therapists,
and physicians, and this may confuse patients further.
This author provides written and verbal educational material to patients
and also considers providing patient education brochures that emphasize decreasing fear and promoting self-management. The Internet also is a source of
information for patients (eg, hospital Web sites, WebMD, and so forth).
Summary
There still is no gold standard for treatment or classication of back pain.
Current evidence supports a few common interventions for the treatment of
LBP: NSAIDs, muscle relaxants, active therapy, and exercise. Our job is to

PHYSICAL MEDICINE AND COMPLEMENTARY APPROACHES

535

provide safe, reliable help to patients who have LBP. NSAIDs and muscle
relaxants are ecacious for acute pain, and NSAIDs provide analgesia as
the back pain becomes chronic. Therapeutic exercise is eective treatment
of chronic LBP and for prevention of LBP [42]. Back schools and lumbar
support do not prevent back injuries or pain. The evidence regarding
TENS is equivocal, yet there is a group of patients who have chronic pain
who do benet from TENS. Therapeutic massage is more eective than acupuncture for subacute and chronic back pain. Spinal manipulation is eective for acute LBP, but it is no more eective than analgesics, physical
therapy, exercise, or back school. Acupuncture seems eective for chronic
pain but is less eective than manipulation.
Most systematic reviews suggest more research is needed. Researchers are
developing clinical prediction rules for spinal manipulation and stabilization
exercise programs. Hopefully, these clinical prediction rules will lead to the
improvement in the designed quality outcome studies investigating all forms
of treatment options. Deyo and Childs report bewilderment as to why
large trials are scarce in musculoskeletal medicine. Delayed recovery from
LBP is associated with enormous disability and health care costs. Patient education, activity, and exercise are pivotal to decreasing pain and disability
associated with back pain, and additional research is needed to decrease
the controversy associated with the many treatment options.
To know is one thing, and to think one knows is another. To know is science.
To think one knows is ignorance.
Hippocrates

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Neurol Clin 25 (2007) 539566

Chronic Pain Management in Spine

Disorders
Edward Covington, MD
Section of Pain Medicine, Neurological Institute, Desk C-21, Cleveland Clinic,
9500 Euclid Avenue, Cleveland, OH 44195, USA

In chronic spine-related pain, as in most other chronic noncancer pain

conditions, a basic premise is that nonstructural factors are responsible
for the predominance of pain and dysfunction and that structural corrections therefore are unlikely to be the most eective intervention. This premise also implies that at some point interminable searching for peripheral
pathology that can explain the patients status becomes futile and possibly
even harmful. These ideas y in the face of a health care system that is predicated on eliminating symptoms by identifying and correcting underlying tissue pathology, yet they are well supported by experimental ndings and the
results of treatment.

The source of pain

Causes of chronic spine-related pain are commonly believed to include
such factors as strains and sprains, anulus tears, internal disc disruption,
facet arthropathy, and bone pathology. Yet this condition, which causes
more disability than any other pain problem in industrialized societies, is
usually unexplained by examination or imaging. To further complicate
matters, abnormal imaging is frequently found in asymptomatic subjects
[13].
Some of the mystery is likely attributable to the inappropriate reliance on
old concepts of nociceptive pain. In essence, they imply a more or less linear
relationship between pain perception and peripheral stimulation: a nociceptor is activated, the signal is transmitted to the dorsal horn (DH), and from
there by way of the thalamus to the cortex, where pain is appreciated. Pain is
seen as an analog representation of some event (eg, a child stepping on ones

E-mail address: [email protected]

0733-8619/07/$ - see front matter 2007 Elsevier Inc. All rights reserved.
doi:10.1016/j.ncl.2007.01.009
neurologic.theclinics.com

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toe produces minimal pain, whereas an adult or an automobile would produce correspondingly greater pains). As a result, when a patient complains
of severe pain and no appropriate pathology is located the validity of the
complaints or the diagnosis is challenged.
Current evidence shows that pain is a creation of the nervous system and
not just a gauge of nociceptor activation. Nociceptive aerent signals are
subject to marked attenuation and amplication by descending facilitatory
and inhibitory tracts that have their action at the DH [4]. Further, the presence of prolonged nociceptive stimulation, inammation, or nerve injury
can lead to sensitization of the neurons that relay pain, death of inhibitory
cells [5,6], loss of tonic inhibition, and structural neuroplastic changes. Activation of immune cells, including glia [7] that were previously thought of as
having only structural roles, produces exaggerated, widespread, and mirrorimage pains [810].
Cells in the rostroventral medulla that function to amplify incoming pain
signals at the level of the DH have been shown to re in response to pain
vigilance, among other things. Animal models suggest that the simple facts
of anticipating a pain and expecting it to be important are sucient to activate these on cells, in essence activating the ampliers before the pain
stimulus has begun [11].
Increasing evidence points to genetic dierences in pain appreciation and
responses to endogenous and exogenous opioids [1214]. Furthermore,
there is compelling evidence that individuals reporting high/low pain in response to a standard stimulus demonstrate correspondingly high or low activation of somatosensory cortex, anterior cingulate gyrus (a likely index of
aective components of pain), and frontal cortex [15]. The conclusion is that
those who report unusual pain actually experience unusual pain in the absence of incentives for misrepresentation.
It has been found that patients who have idiopathic chronic low back
pain (CLBP) who are subjected to quantied thumb pressure report more
pain and show more functional MRI (fMRI) activation in brain areas likely
to reect pain perception than controls, suggesting that at least some
portion of CLBP is related to central sensitization [16]. Evidence also implicates central sensitization as a signicant factor in whiplash-associated pain
[17]. Spine pain can thus result from local tissue pathology or central
sensitization.
For many reasons it is therefore unrealistic to expect that reports of
chronic spine-related pain necessarily correlate with the presence or severity
of spine pathology.
Psychosocial issues
Factors unrelated to spine pathology play a major role in the onset of
spine pain, in the transition of acute into chronic spine-related disability,
and in recovery from organic spine conditions.

PAIN MANAGEMENT IN SPINE DISORDERS

541

Environmental factors
In a 4-year prospective study of 3020 aircraft workers, job dissatisfaction
and poor performance appraisals predicted reports of acute back pain at
work [18]. Although the strongest predictor was a history of back problems,
other factors were mostly psychosocial. Subjects who hardly ever enjoyed
their job tasks were 2.5 times more likely to report a back injury than subjects who almost always enjoyed them.
Papageorgiou and colleagues [19] followed 1412 pain-free employees
for 12 months. Primary care records were monitored to determine which
patients sought care for low back pain (LBP), and questionnaires
assessed which subjects had LBP without seeking care. The odds of reporting LBP were doubled in those dissatised with their work. Perceived
inadequacy of income (odds ratio 3.6) and partly skilled/unskilled laborers
(odds ratio 4.8) were strongly associated with consulting for a new episode
of LBP.
Numerous subsequent investigations have conrmed this rst report that
a back injury at work is independently predicted by prior LBP, physical
work stress, and psychologic intolerance of the job, whether because of factors in the workplace, the individual, or their interaction.
Investigators have sought predictors of chronicity in LBP in hopes that
preventive eorts could be targeted. Typically, biomedical clinicians seek
predictors in tissue pathology, behaviorists seek reinforcers that perpetuate
pain behavior, and cognitive theorists posit that erroneous belief systems
perpetuate disability and depression. Conclusions are impeded by the large
number of cross-sectional studies in which changes induced by chronicity
may be misinterpreted as causal.
In a review of prospective studies, Valat and colleagues [20] found that
progression to chronic pain was more dependent on demographic, psychosocial, and occupational factors than on medical pathology. Chronicity was associated with multiple functional symptoms, evidence of nonorganic disease,
pain in the legs, signicant self-rated disability at onset, a protracted initial
episode, multiple recurrences, and a history of low back pain or hospitalization. Occupational factors with major impact included blue-collar jobs,
heavy labor, requirements beyond subjects capabilities, job dissatisfaction,
and poor working conditions. Those who were new at the job or not well
rated by their superiors were more likely to develop chronic pain. Prior compensation for a spinal condition, receipt of work-related sickness payments,
and litigation about compensation were associated with chronicity. Social
and economic predictors included lack of schooling, language problems,
low income, and unfavorable family status. Numerous studies found that
elevation of Minnesota multiphasic personality inventory (MMPI) scale 3
early in the illness predicted chronicity, as did coping strategies. These and
other studies show that chronicity is predicted by somatization, depression,
catastrophizing, stress, and compensation. Job satisfaction and orthopedic
impairment seem to independently predict outcome.

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Dionne and colleagues [21] followed 569 HMO enrollees with acute (4-6
weeks) LBP for 2 years. Strongest predictors of chronic disability were somatization, depression, and the extent of disability at 1 month. Continuing
disability was strongly predicted by catastrophizing, family stress, number/
intensity of pain complaints, nancial compensation, and frequency of medical contact in the preceding year. Medical factors (eg, sciatica, spondylolisthesis, osteoarthritis, degenerative disc disease) were largely nonpredictive,
with the exception of prior back-related disability.
Even in patients who had such objective pathology as acute radicular
pain and disc prolapse or protrusion, the only somatic factor found to predict outcome was the extent of disc displacementdthe less the displacement,
the worse the outcome [22]. Persistent pain was predicted by depression and
four pain coping strategies. Application for retirement at 6 months was best
predicted by depression and daily hassles at work.
The system. Ironically, much disability may be attributed to the systems designed to help. Workers compensation systems may be especially toxic, with
long delays in diagnosis and treatment, during which time workers must
continually prove how sick they are to obtain care they believe they need.
Physicians and attorneys for each side may take polarized and improbable
positions [23]. The result is that patients receiving and applying for workers
compensation benets seem to fare worse with virtually all interventions
than those not so encumbered.
In 274 patients seen 1 to 5 years following posttraumatic LBP, Greenough and Fraser [24] found receipt of compensation to be associated with
greater pain, disability, and nonphysiologic signs on examination and
pain drawings. In a later study, Greenough and colleagues [25] found that
compensation and nonphysiologic signs adversely aected outcome of anterior lumbar fusion at 2-year follow-up. When these patients were studied 10
to 12 years following surgery, the eects of compensation on outcome had
dissipated, whereas those of nonphysiologic signs persisted [26]. Signicantly, 41% of compensable patients were receiving social security benets
at this review, versus 17% of the noncompensable ones.
Rainville and colleagues [27] studied 85 CLBP patients who completed
a spine rehabilitation program. At baseline, those receiving compensation
reported more pain, depression, and disability than those without and at
follow-up they had less improvement in depression and disability. After
12 months, pain scores improved only for those not receiving compensation.
Litigation may adversely aect recovery from trauma, perhaps especially
when the pathology is ambiguous. This theory is indirectly supported by the
rarity of whiplash in situations in which litigation is uncommon, compared
with the United States where whiplash neck-sprain claims make up two
thirds of all bodily injury claims [28]. It may be signicant that the rate of
compensated whiplash in Saskatchewan, which has a tort system, is 10 times
that of Quebec, which has a no-fault system [29].

PAIN MANAGEMENT IN SPINE DISORDERS

543

In a study of more than 2000 LBP patients who had one or no previous
operations, Long [23] found that all those working at intake returned to
work with the exception of those in litigation, of whom not one returned
to work. Vocational failure occurred despite success on other outcome variables as good as in those not litigating.
Blake and Garrett [30] found that litigating patients improved as much as
others in a pain rehabilitation program with the exception of the quality of
life score, in which they showed no signicant improvement.
Psychologic issues
Chronic pain syndrome (CPS) is a term (not a diagnosis) that has fallen
into disfavor but is still often used. It characterizes a condition of severe intractable pain with marked functional impairment and other behavioral
changes, yet no clear relationship to organic disorder. Typically these patients have inordinate use of medications and health care services, which
are largely nonproductive. CPS is thus a nonspecic term for patients most
typied by abnormal illness behaviors, primarily those of somatic preoccupation and regression into the sick role. The term is useful in that it properly
directs therapy toward the reversal of regression and away from an exclusive
focus on nociception. It does not, however, substitute for a careful diagnosis
of the physiologic, psychologic, and environmental factors that produce the
syndrome.
Long [23] studied more than 4000 patients who had LBP and sciatica and
more than 2000 who had CPS and concluded that the primary determinant
of vocational disability was the psychiatric status of the patient before the
onset of the symptoms.
Carragee and colleagues [31] followed 100 patients who had mild CLBP
and no prior spine-related disability for 5 years. Moderate or severe Modic
change of the vertebral end plate was the only structural variable that
weakly predicted adverse outcome. Provocative discography and baseline
MR predicted no outcome variables, but were weakly associated with
pain episodes. Psychosocial variables strongly predicted long- and shortterm disability and health care visits for LBP. A model with normal
DRAM (normal scores on Modied Zung Depression Test and Modied
Somatic Pain Questionnaire), a score below the 25th percentile on the
Fear Avoidance Beliefs Questionnaire (physical activity subscale), and nonsmoker status identied 100% of long-term disability subjects, 88% of all
disability subjects, and 75% of subjects having a remission.
It is reasonable to posit a stress-diathesis model in which the degree of
disability from a given degree of organic pathology varies with the psychologic strengths of the individual, the stresses of the workplace, and incentives and disincentives for recovery. Clearly these variables overlap; the
person with poor coping skills and limited education is unlikely to obtain
the most desirable work situation.

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Cognitive factors in chronic pain

Because we react less to events than to our understanding of them, cognition plays a major role in pain. Its aversive quality is modied by its interpretation. The cancer patient who is convinced the surgeon got it all is
more content than the healthy person who fears occult pathology. The patient who fears that his back pain presages neurologic impairment likely experiences more pain and dysfunction than a patient with a more benign
understanding. Pain tolerance is reduced by negative thoughts, such as those
emphasizing the aversiveness of the situation, the persons inability to tolerate it, or the physical harm that could occur.
Cognitive inuences include not only beliefs about pain but also beliefs
about the self. A persons sense of power and competence strongly modies
coping. The learned helplessness model of depression suggests that those
who feel unable to control events in their life eventually stop trying. In patients who have chronic pain, those who perceive themselves as helpless are
likely to be depressed and passive, which increases disability and pain.
Conversely, beliefs in self-ecacy are associated with higher function in
painful conditions [32,33], and increases in such beliefs predict recovery
[34].
Locus of control refers to the perception that events are determined by
ones own behavior (internal control) or by such outside forces as other people or fate (external control). Those whose locus of control is internal recognize their role in determining their future. They feel and function better than
those who have external locus of control. Chronic pain patients with
a chance external locus of control reported more depression and anxiety,
felt helpless to deal with their pain, and relied on maladaptive coping strategies [35]. The sense of having no control may explain much of the relationship between pain and depression.
Acceptance has recently been recognized as playing a major role in rehabilitation from chronic pain. Although chronic pain patients often persevere
in trying to control a fundamentally uncontrollable experience [36], acceptance is a disengagement from the struggle and an engagement in positive
everyday activities. In 230 pain centertype patients, acceptance correlated
with less pain, depression, anxiety, and downtime and with less physical, social, and work disability [37].
Pain as behavior
Major advances in pain management resulted from the behavioral conceptualization of pain [38], which attributed many behaviors associated
with chronic pain to environmental reinforcers. Pain behaviorsdcomplaining, moaning, holding body parts, and other activities that communicate
pain to othersdusually begin as involuntary reexes or respondents, but increase in response to reinforcement and become less contingent on sensations than on rewards. Through this process of operant conditioning
behaviors may increase over time unrelated to nociception.

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Reinforcers, commonly referred to as secondary gains, include such perquisites of the sick role as caretaking, drugs, and nancial compensation.
Perhaps more importantly, they include escape from noxious inuences,
such as a hazardous job, odious work environments, or critical or demanding supervisors. Conditioning of this sort usually occurs without the knowledge of the subject and does not constitute faking. The impact of
reinforcement on the sick role is demonstrated by behaviorally oriented
pain units, where severely disabled patients rapidly regain function in response to changed reinforcement contingencies.
Motivation to preserve or recover function may depend on the balance
between the gains of the sick role and those of wellness. Those who derive
substantial gratication and remuneration at work are less easily disabled
than those with little to lose. Conversely, in a declining economy with insecure employment, the dependability of even modest disability income (and
health insurance) may be preferable to the uncertainty of competitive employment, especially for those who are marginally qualied and who have
back pain. It is likely that disability is less a function of health than of incentives and disincentives for vocational recovery.
Although it has long been known that reinforcement of pain behavior led
to an increase in that behavior, recent studies suggest that such reinforcement increases actual pain perception. In patients who have LBP who are
known to have a solicitous spouse, the presence of the spouse led to an increased report of pain from noxious electrical stimulation of the back and
more than doubled cingulate activation [39]. Holzl and colleagues [40] found
that negative reinforcement altered pain sensitization processes in healthy
subjects.
Fear and deconditioning
The profound impairment that results from prolonged inactivity is often
attributable to fear of injury. As patients lose strength and range of motion
they increase their susceptibility to strains and sprains. Kori and colleagues
[41] suggested that pain behavior often has more to do with phobic processes than neurologic ones. Fear of injury is compounded by a persons beliefs that he or she is ill and in some fashion fragile. Unwarranted fear of
personal injury is one of the more easily treatable causes of regression
and dysfunction.
Psychiatric illness in chronic pain
The most frequent nonsomatoform psychiatric illnesses in pain center patients are anxiety disorders, depression, and substance abuse. In 200 patients
who had CLBP entering a functional restoration program, Polatin and colleagues [42] found that 77% of patients met lifetime diagnostic criteria and
59% demonstrated current symptoms for at least one psychiatric diagnosis
(excluding somatoform disorders). The most common were those listed.

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Fifty-one percent met criteria for personality disorder. Substance abuse and
anxiety disorders seemed to precede CLBP, whereas major depression could
either precede or follow it. Studies vary as to the prevalence of psychiatric
disorder; however, they tend to agree about those that are most common.
Depression, anxiety, and anger
Estimates of the prevalence of depression in chronic pain patients range
from 10% to 83%. This extreme variance reects variable settings, populations, and diagnostic criteria. In a Canadian general population survey of
118,533 people, CLBP was present in 9%. Major depression was present
in 5.9% of those who did not have pain and in 19.8% of those who had
CLBP. The rate of major depression increased in a linear fashion with
pain severity [43]. It is likely that the arrow of causality can point in either
direction; there is evidence that pain predicts depression and depression predicts pain, and to similar degrees [44].
In a probability sample of 5692 United States adults, 35% of those who
had CLBP had comorbid mental disorders. Major depression was present in
12.6%, dysthymia in 5.6%, any anxiety disorder in 26.5%, and any substance use disorder in 4.8%. There was no increased prevalence of (nonalcohol) drug abuse [45].
Major aective disorder can present with pain, in which case treatment of
the mood disorder often provides relief. More commonly, however, depression appears as a consequence of pain, although not necessarily a direct result of it. Rudy and colleagues [46] showed that the link between pain and
depression could be mediated by perceived life interference (loss of gratifying activities) and loss of self-control.
There seems to be a vicious cycle in which pain behavior, loneliness, inactivity, helplessness, depression, withdrawal, loss of reinforcers and distractions, inactivity, and pain are mutually reinforcing. Improving one element
in this series often benets the others. These issues, of course, are not resolved by pharmacotherapy, but do respond to successful rehabilitation.
Anxiety can amplify pain and provide disincentives for recovery (ie, illness may permit escape from feared or stressful situations). Chronic tension
can lead to muscle contractions and other physiologic responses that worsen
pain. Nociceptors that are normally unaected by norepinephrine become
sensitive to it following injury, so that neuropathic pains are often exacerbated by anxiety, fear, anger, or excitement.
Although less studied, anger also plays an important role in chronic pain.
It may relate to issues of blame attribution, an important modifying factor
in recovery from injury. DeGood and Kiernan [47] found that patients
who blamed others for their pain reported greater mood distress and behavioral disturbance, poorer response to past treatments, and lower expectations of future benets than those who attributed their pain to their own
actions or to chance.

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Addictive disorders
Chemical dependence, including alcoholism, is an important contributor
to pain-related dysfunction [4850]. Drug craving provides an incentive for
pain behavior, whereas withdrawal produces hyperalgesia. Addiction impairs coping and fosters regression. Although evidence suggests that the
prevalence of addiction (excluding nicotine [51]) is not signicantly higher
in those who have chronic pain than in normal subjects, those who have addictive disorder are overrepresented in physicians oces and hospitals, and
perhaps especially in pain clinics. Kouyanou and colleagues [52], using strict
diagnostic criteria in a population of 125 South London pain clinic patients,
found that 12% met Diagnostic and Statistical Manual of Mental Disorders,
Third Edition criteria for active abuse/dependence and an additional 10%
met criteria for a substance use disorder in remission. Homan and colleagues [53] administered a structured diagnostic interview to 414 chronic
pain patients at the Are Hospital in Sweden and found that 23.4% met Diagnostic and Statistical Manual of Mental Disorders, Revised Third Edition criteria for active misuse or dependency, and an additional 9.4% met criteria for
remission. Experience suggests that comorbid addiction renders most treatments for chronic pain ineective unless the addiction is controlled rst. It
leads to obvious diculties and hazards associated with opioid prescribing.
Somatoform disorders
Psychogenic pain (not a current diagnostic term) is a concept whose existence is disputed, yet pains of various sorts are clearly prominent features
in somatization disorder. The terminology has changed multiple times and
the current term for what was called psychogenic pain is pain disorder associated with psychologic factors. The criteria require that pain cause signicant distress or impairment in functioning; that psychologic factors be
judged to have an important role in the onset, severity, exacerbation, or
maintenance of the pain; and that the symptom or decit not be intentionally produced or feigned [54]. The method for determining that psychologic
factors are causative is unspecied.
Psychogenic pain is akin to conversion disorders, such as blindness and
paralysis, and is similarly typied by nonphysiologic ndings on examination and behavioral inconsistencies. Patients may demonstrate behaviors
that are incompatible with the degree of impairment they describe, and
a plethora of complaints and marked functional impairment may coexist
with well-preserved muscle denition. It may be that the term is used for several unrelated conditions, given that some diagnosed with psychogenic pain
seem euthymic and animated and sleep well, whereas others seem to suer
severely, cannot sleep, and even attempt suicide.
One clue to the presence of somatization is apparent reluctance to discuss
nonsomatic issues. If asked about family, work, or politics, the response
inevitably and rapidly diverges to talk about doctors, symptoms, and

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treatments. This behavior is not typically seen even in severe physical illness.
Another clue is the sense of immediacy in the recounting of the traumatic
event; a minor remote event is described as though it occurred yesterday.
There is evidence of a continuum between symptoms of posttraumatic
stress disorder, dissociation, somatization, and aect dysregulation. These
interrelated symptoms commonly follow major trauma and there seems to
be a hierarchy of traumas, such that natural disasters lead to fewer symptoms than do adult interpersonal traumas, with childhood trauma causing
the most severe symptoms [55]. Rome and Rome [56] hypothesized that
a process akin to kindling follows psychic trauma, leading to symptom amplication, spontaneous symptoms, anatomic spreading, and cross-sensitization. These are processes that also characterize pain following neurologic
trauma. They noted a melding of sensory and aective symptoms and a polymodal allodynia that rendered these people sensitized to physical and
emotional stressors.
Other psychiatric conditions that may present with pain include hypochondriasis, dementia, psychosis, and factitious disorder. Experience suggests that new onset of conversion or somatization in the elderly is rare,
and when present it may herald dementia. Malingering is by denition
not a psychiatric illness. Although believed to be uncommon in chronic
pain (based on no data), it does occur.
Treatment
One great conundrum in chronic spine pain is that a myriad of treatments
help temporarily; however, the condition persists for decades, begging the
question of the value of transient relief in intransigent conditions. This is
a question of judgment, economics, and personal preference. We must challenge the value of, for example, a month of good relief for a condition that
lasts many years. And we must ask whether the answer varies depending on
whether we are the payer, the clinician, or the parent of the person suering.
In no case is the answer unconicted.
A second conundrum in these conditions is that immediate eects may be
in a direction opposite to those of long-term outcomes. Most patients who
have back pain feel denite symptom relief with an opioid, a benzodiazepine,
and a bed, yet the eects of these over time may well be adverse.
A third issue in assessing treatments is the question of what should be
measured. The obvious answer, that pain reduction is the primary outcome
variable, may be wrong. For example, a treatment that enabled a person isolated in bed with a pain level of 7 on a scale of 10 to begin playing golf with
the same pain level would clearly be benecial, perhaps more so than one
that only improved the level of pain in bed. Not only pain, but also function
must be assessed. In fact, given that most chronic pain is not associated with
neurologic or anatomic decits, it can be argued that essentially all of the
functional impairments seen result from pain itself, and that it is only in

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functional change that one can assess analgesia. Certainly documentation of

improved function is more persuasive than a report that a drug took the
edge o.
Because a multiplicity of inuences combine to create spine painrelated
disability, an intervention that addresses only one of them is likely to be low
yield except in the case in which one cause is very predominant. This situation may be a reason for the often disappointing long-term outcomes of
spine surgery whose goal is pain reduction. This outcome is often puzzling
to clinicians in situations in which, for example, there is excellent evidence of
facet arthropathy, but its denervation leads only to transient benet. The
procedure, of course, does not remediate central sensitization that may
have occurred, nor does it correct the deconditioning and psychosocial components of the pain syndrome.
The outcome of many treatments for chronic spine pain may be unsatisfactory when used individually. It also follows that the most successful treatment may be a shotgun approach. Such strategies have the ability to
address multiple components of the pain syndrome; however, they suer
from diculties in scientic validationdwhen multiple treatments are combined, it is dicult to demonstrate the ecacy of any one of them.
Pharmacotherapy
Opioids
Decades of controversy regarding the appropriate role of opioids in
chronic noncancer pain have led to important research and insights but
have left important questions unanswered, mostly because the duration of
studies is typically short in comparison with the duration of the problem being addressed. The issues, as with all treatments, concern risks and benets.
Traditionally the risk for chronic opioid therapy (chiey addiction) was believed to be high and the benet low because of the inevitable development
of analgesic tolerance. Both beliefs have been challenged.
Risks. Respiratory depression, which must always be considered in aggressive acute opioid therapy, is one of the opioid eects to which tolerance develops most rapidly. Patients are regularly seen taking thousands of
milligrams of morphine equivalents daily with no respiratory impairment
whatsoever and no sedation, for that matter. Organ toxicity is another nonissue with opioids. Patients using methadone for upward of 40 years for addiction management have shown no adverse renal, hepatic, or neurologic
eects. There are hormone changes, most notably decreased testosterone,
leading to loss of libido and often requiring replacement [57].
Cognitive changes are unclear. Cancer patients show slowed performance, but not necessarily with more errors, after an increase in opioid dosing; however, this tends to normalize after a few weeks as tolerance
develops. A confounding factor is that cognitive performance is markedly

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impaired by unrelieved pain, so that at times morphine can seem to improve

cognition in patients who have LBP [58]. Most studies detect little or no cognitive decrement from stable doses of opioids and there is no increase in vehicle accidents [59]. Yet clinical experience with patients who have failed
aggressive opioid treatment and therefore require weaning is that many describe a sense of coming out of a fog as opioids are eliminated and that
their families perceive them as having recovered their previous personalities.
A reasonable conclusion would be that most patients on moderate dose opioids can perform complex tasks eectively and safely; however, there are
some adverse eects that remain poorly dened.
Addiction was once believed to be an almost inevitable consequence of
long-term opioid exposure. It is now often thought of as something like an
allergy (ie, an idiosyncratic reaction to a substance that occurs in a minority
of people on exposure). The change in understanding results from two factors. The rst is a recognition that physical dependence, most manifestations
of which seem to arise in the locus ceruleus, is distinct from addiction, which
seems related more to changes in the nucleus accumbens reward centers. In
fact, addiction occurs without physical dependence (eg, hallucinogens) and
the converse is equally true (eg, phenytoin). Sudden, severe relapses in addicts
or alcoholics who have been abstinent for years often occur on re-exposure to
minimal amounts of their drug of choice, which further demonstrates that
addictive behaviors may be unrelated to physical dependence.
The second reason for reduced concern about iatrogenic addiction from
therapeutic opioid use is that data from short-term studies demonstrate that
this is actually rare, probably occurring in less than 0.3% of patients exposed. Addiction is a disease that is inuenced by biology, environment,
and psychology. It seems clear that the risk for addiction in those using substances recreationally is far higher than in those using them therapeutically.
It is not clear whether it is also inuenced by chronology (ie, whether the
risk from taking high-dose opioids for a month diers from the risk from
doing so for 5 years).
Porter and Jick [60], as part of the Boston Collaborative Drug Surveillance Program, examined les of 39,946 hospitalized monitored medical patients. Among 11,882 who received one or more narcotic doses there were
four cases of apparently new addiction, considered major in only one.
Perry and Heidrich [61] sent questionnaires to burn facilities in an investigation of analgesia for debridement. The authors noted that of 181 respondents, representing the knowledge of at least 10,000 hospitalized burn
patients, no cases of iatrogenic addiction were reported, and state that, the
22 patients reported to abuse drugs after discharge all had a prior history
of drug abuse.
Both of these studies suer from serious deciencies in the way addiction
was dened and assessed, and neither followed patients after hospitalization
to determine whether evidence of addiction surfaced following discharge. In
addition, they have been widely cited as evidence for the safety of chronic

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opioid therapy, which they do not address. They so suggest that acute
opioid therapy has only a remote chance of inducing obvious addiction.
In a retrospective study of 48 patients hospitalized for addiction to OxyContin, Potter and colleagues [62] found that 31% began OxyContin by use
of a legitimate prescription; however, 77.1% reported prior nonopioid substance use problems (including alcohol) and 48% had prior problems with
other opioids. Similarly, among a sample of 200 patients who had CLBP,
substance abuse was found to have preceded pain in 94% of patients who
had substance abuse [42].
Benets. The major lingering concern regarding the usefulness of chronic
opioid analgesia is that it is unclear to what extent there is sustained analgesia, or expressed negatively, to what extent do analgesic tolerance and opioid-induced hyperalgesia mitigate the pain reduction otherwise anticipated
from these agents.
Brown and colleagues [63] reviewed the literature on opioid maintenance
for CLBP in 1996, at which time they found no controlled studies. Case series reports on a total of 566 patients were positive overall. Most studies of
opioid therapy are short term [64], however, and those that extend beyond
18 months typically show dropout rates of 50% or higher [6568] and pain
reductions of less than 30% of baseline [65], even when used intrathecally
[69]. It is apparent that even when opioids are necessary, they are rarely sufcient for the treatment of chronic pain patients in general, and this is even
more the case in those who have comorbid addiction. Fitness, psychologic
counseling, and use of adjuvant analgesics are essential for most patients.
There have been particular fears concerning the use of chronic opioids in
those who have addictive disorders; however, there are reports of success
with this method (see Refs. [70,71]). Dunbar and Katz [72] studied 20 patients who had chronic nonmalignant pain and a history of substance abuse
in an eort to identify predictors of successful opioid maintenance. Patients
were treated for more than a year, and those who abused the treatment did
so early. Nonabusers were more likely to be active in Alcoholics Anonymous, to have stable support systems, and to be free of recent polysubstance
abuse.
Enthusiasm for use of chronic opioids is tempered by studies that show
pain reduction following opioid elimination [73,74]. In behaviorally oriented
chronic pain rehabilitation programs, patients who are severely dysfunctional and in severe pain despite substantial quantities of opioids often
are more comfortable and functional after opioid weaning.
When Moulin and colleagues [75] treated myofascial, musculoskeletal,
and rheumatic pain with morphine (%20 mg/d) versus placebo (benztropine), there was substantial pain reduction after dose titration. At end of
the evaluation phase, however, there was only small pain reduction and
no improvement in function. At least in some, chronic use of opioids does
lead to loss of ecacy.

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In a tertiary care multidisciplinary pain program, Harden and colleagues

[76] compared a random sample of 100 patients taking daily opioids with an
equal number taking no opioids. The groups were similar regarding pain
type, duration, location, and surgical history, but those on opioids were
more often taking anxiolytics and muscle relaxants, reported more current
pain, and more frequently reported current or past clinical depression or
anxiety. No signicant dierences were noted in pain, psychologic status,
or functioning. It was concluded that daily opioids lack ecacy in chronic
pain with regard to analgesia, decreased adjunctive medication use, or functional recovery.
Eriksen and colleagues [77] identied 1906 chronic nonmalignant pain
patients from a survey of 12,684 random adult Danes. In this group, opioid
use (versus nonopioid use) was associated with moderate to very severe pain,
poor self-rated health, vocational disability, health care use, and lower quality of life on all items in the SF-36(r) health survey.
Anti-inammatory agents
The nonsteroidal anti-inammatory drugs (NSAIDs) are most often used
for acute pains, especially musculoskeletal pains and headaches; however,
they also play a role in several chronic noncancer pains, including those related to the spine (see review by Airaksinen and colleagues [78]). In addition,
human disc substance has been shown to contain proinammatory substances
(eg, phospholipase A2, cytokines) that may produce perineural inammation,
explaining why some neuropathic pains respond to NSAIDs [79,80]. They
also have an opioid-sparing eect in severe pain. The doses used for analgesia
are commonly substantially less than those required to reduce inammation in
inammatory disorders, and this may result from their central action, given
that NSAIDs given intrathecally are 200 to 500 times as potent as those given
systemically [81], and processes of central sensitization depend in part on
synthesis and diusion of prostanoids through the spinal cord [82].
The tendency to select NSAIDs over opioids because of safety concerns
must be tempered by the fact that gastrointestinal complications of NSAID
therapy are the most prevalent category of adverse drug reactions in the
United States; they are responsible for 16,500 deaths [83] and 103,000 hospitalizations annually [84]. Serious adverse events occur predominantly in
high-dose and prolonged use but can occur in briefer and lower-dose use,
especially in the elderly [85].
Antiepileptic drugs
Antiepileptic drugs are widely used for treatment of neuropathic pain and
migraine [8688]. Some reduce aberrant ring by blocking fast-acting voltagegated Na channels (eg, carbamazepine), others increase inhibition through
GABAergic mechanisms (eg, valproic acid, tiagabine), others interfere with
excitatory amino acids (topiramate), and still others aect the a2d subunit
of the calcium channels on DH neurons (gabapentin, pregabalin).

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These agents have not been shown to be useful for CLBP, although they
may have ecacy in spine-related neuropathic pains, such as radiculitis,
arachnoiditis, and postlaminectomy syndrome. Much of the evidence of efcacy has been in rodents with spinal root ligations.
Low-dose (1200 mg/d) gabapentin was not found to relieve LBP in a randomized controlled trial (RCT) [89]. Pregabalin was also found to be ineffective in two independent RCTs of 661 patients who had CLBP [90]. A
RCT found that topiramate %300 mg/d reduced pain, functional impairment, and weight in patients who had CLBP. Leg pain was not an exclusion
factor, but neurologic decits were [91]. Khoromi and colleagues [92] treated
lumbar radicular pain with topiramate up to 400 mg/d (mean 200) and
found statistically signicant but minor (19%) pain reduction and high
(31%) dropouts. An open study of lamotrigine suggested that higher doses
(400 mg/d) may be eective for sciatica [93].
Antidepressants
Antidepressants have been used for more than 30 years for various pain
syndromes, primarily those related to neuropathic pain, headaches, and central sensitization [94101]. There have also been many studies of their use in
back pain; however, these have often been dicult to interpret because they
either failed to exclude depression (so that improvement could be attributable to mood alteration) or they failed to exclude sciatica (so that improvement could be attributable to eects on neuropathic pain).
There have been several reviews of this question. Fishbain [101] reviewed
10 trials with serotonin-norepinephrine reuptake inhibitors, of which 7
found analgesia. Five studies with norepinephrine (NE) reuptake inhibitors
were reviewed, and 4 found analgesia. Two trials of SSRIs were negative.
Salerno and colleagues [102] performed a meta-analysis, from which they
concluded that evidence supported an analgesic eect in LBP but that improvement in activities of daily living was not substantiated. Staiger and colleagues [103] found that among NE reuptake inhibitors (tricyclics and
tetracyclics) 4 of 5 studies demonstrated signicant improvement in at least
one outcome measure, whereas none of 3 studies of nonNE reuptake inhibitors found signicant benet.
A well-controlled study of maprotiline did exclude patients who had depression and controlled for the presence of radicular pain. It found that
maprotiline %150 mg/d was analgesic for axial pain, whereas paroxetine
%30 mg/d was not [104].
Topical agents
Over-the-counter agents, such as salicylates and menthol, are widely used
for temporary soothing eects. There are few data on other medications
used for back pain. A 6-week open-label study found topical lidocaine
patches to be eective for acute and chronic LBP [105]. A single randomized

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trial (N 320) found capsicum plaster to provide relief that was statistically
and clinically signicant in patients who had LBP [106].
Muscle relaxants
Most drugs marketed for muscle relaxation in fact have no eect on muscles, but are central sedatives or analgesics. In 14 RCTs there was good evidence of ecacy for acute LBP, with apparently equal ecacy among the
various agents [107]. There is little evidence of ecacy in chronic use, although most seem to be benign.
Baclofen, a GABA-B agonist, does reduce muscle spasm, inhibits nociceptive input at the DH, activates the descending noradrenergic inhibitory
system, and inhibits ascending noradrenergic and dopamine pathways. In
mice, it is analgesic in the tail ick latency model and acid-induced writhing,
but not in ischemic myelopathy [108]. Oral baclofen has failed to relieve
most pain in humans [109]. It has been most useful for patients in whom
pain results from spasticity, in which case oral and spinal administration
are ecacious. Greatest eects are with intrathecal administration, which
has reduced musculoskeletal pain [110] among others [111,112]. Inadvertent
abrupt withdrawal of intrathecal baclofen has led to fatalities.
Tizanidine relieves pain attributable to muscle spasticity and is analgesic
intrathecally in animal neuropathic pain. Several reports indicate benet in
acute LBP, with an eect on acute spasm superior to that of Valium, but
there are no studies in CLBP [113,114].
Interventional pain management
Interventional pain management had its origins in regional anesthesia but
developed beyond its roots to include such treatments as intradiscal electrothermal therapy, epidural lysis of adhesions, and neuroaugmentation. Its
role in nonspecic LBP has recently been reviewed [78]. Strategies in chronic
spine-related pain include diagnostic nerve blocks, therapeutic blocks and
neuroablation, neuroaugmentation, and intraspinal drug delivery.
Diagnostic blocks may be used to identify a myofascial pain component,
to conrm sympathetically mediated pain, to distinguish visceral from somatic pain, and to locate a pain generator (eg, to distinguish discogenic
pain from that of facet arthropathy).
Therapeutic blocks may be temporary or permanent, the latter involving
glycerol, alcohol, freezing, or radiofrequency ablation. Permanent is a relative term, because reinnervation occurs after a variable period of time.
Acute radiculitis may respond to selective root injections with steroids. Steroid injections also relieve focal inammatory conditions, such as tendonitis
and bursitis. (See reviews of epidural steroid injections for LBP [115] and
sciatica [116]).
Neuroaugmentation refers to techniques based on stimulation of neural
tissues, for purposes of this discussion, to relieve pain, although there are

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other indications, such as movement disorders and psychiatric illness. Spinal

cord stimulation involves placement of an electrode, energized by a (usually)
implanted programmable generator, against the posterior spinal cord. Most
important indications are neuropathic pains. The role of motor cortex stimulation for chronic pain remains to be dened and is under investigation.
Surgical spine pain management is addressed elsewhere and includes not
only stabilization procedures but also such techniques as anterolateral cordotomy, dorsal root entry zone lesions, and rhizotomy, among others. They
are generally reserved for patients who have failed less aggressive treatments. Detailed discussion is beyond the scope of this article.
Reconditioning therapies
Acute and chronic LBP are worsened by bed rest and inactivity and improved by activity, tness, and general conditioning. Much of the syndrome
of CLBP is attributable to processes of deconditioning and deactivation
with attendant losses in range of motion, impairments in posture, abdominal weakness, and so forth. Not only does deactivation ultimately increase
pain but it also precludes pursuing many healthy interests, leaving patients
with few distracters from the pain. Although it may seem obvious that no
acceptable treatment of disabling CLBP should ignore physical rehabilitation, a remarkable number of patients have undergone various sorts of passive therapies, from oral medications to implantable technology, with
minimal attention to this.
Brox and colleagues [117] randomly assigned patients who were greater
than 1 year post herniation to either fusion with pedicle screw xation or
to back education plus three exercise sessions per day for 3 weeks. The
two treatments were equally eective in improving function.
There is controversy concerning the best sort of exercise program for
spine pain of varying mechanisms, which is addressed elsewhere. Numerous
studies conrm the benet of exercises that address aerobic conditioning,
strength, and exibility for patients who have LBP [118]. What may be overlooked is that reconditioning also has psychologic benets in reducing anxiety and depression while improving learned helplessness and sense of
personal fragility [119122]. Patients understandably misinterpret chronic
pain as an indicator of bodily danger, to which they respond with self-protection strategies, chiey inactivity. Graduated exposure to exercises helps
overcome the fear and thereby restores function [123].
Psychologic interventions
Education
Mystery and uncertainty about the cause of pain worsens its severity. The
suering of back patients is intensied when doctors are unable to identify
its cause. In LaCroixs [124] study, illness understanding predicted return to
work. Waddell and colleagues [125] found that more of the variance of

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disability attributable to back pain was accounted for by fear avoidance beliefs than by pain itself. These beliefs seem related not to disease severity but
to uncertainty of diagnosis [126]. This fact of clinical worsening by diagnostic ambiguity is a special challenge in those who have CLBP, because a precise anatomic source of the pain is not identiable in probably 80%. The
role of unrealistic fears of self-injury in increasing dysfunction has been
described.
An essential role for every clinician treating patients who have back pain
is to educate them about their pathology if known, about the current inability of medicine to explain most LBP, about the benign nature of LBP, and
about the dierence between hurt and harm, so that they are not inappropriately deterred from reconditioning programs that may at rst increase
pain.
Education must also involve families, who often promote regression in
the mistaken belief that it is necessary to protect the patient from harmful,
excessive activity. They may also accept the patients sense of helplessness as
valid and therefore provide unnecessary caretaking. Families should be
helped to understand that rest can be toxic and that activity is benecial.
Operant conditioning
The rst multidisciplinary pain rehabilitation programs were based on
Fordyces operant conditioning model, in which social reinforcers of pain
behavior were systematically withdrawn and wellness behaviors, such as exercising and conversing about nonmedical issues, were consistently rewarded with attention and compliments [38]. Although this may not be
easily provided in an outpatient oce-based practice, families can be educated about the advantages of attending more to the person and less to
the symptoms. They should be encouraged to resume their roles of spouse,
lover, playmate, companion, or child, and to relinquish the role of caretaker.
Social behavioral reinforcers can be eective despite being subtle (eg, a
spouse can be taught to consistently maintain eye contact if the patient is
discussing emotions, activities, sports, and so forth, and to look elsewhere
during reiterations of symptoms). Family must be reminded that small immediate reinforcers are often more powerful than large delayed ones. At the
same time, the persons life situation can be reviewed to seek disincentives to
recovery and to seek ways of replacing them with rewards, if possible.
Cognitive behavioral therapies
In cognitive behavioral therapy (CBT) patients are trained to identify,
challenge, and alter automatic maladaptive thinking patterns. In a 1988
study Turner and Clancy [127] compared operant behavioral treatment
with CBT in a randomly assigned sample of 81 mildly impaired CLBP
patients. Both treatments were superior to controls in physical and social
disability. At 1-year follow-up there was no dierence between the two
treatments.

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557

Four RCTs of CBT reviewed by Compas and colleagues [128] all showed
improved activity and psychologic function. Three found reductions in pain
and one found reductions in medication use. Based on meta-analysis of 25
RCTs, Morley and colleagues [129] concluded that CBT is eective (compared with waiting list control) in chronic pain (excluding headache) in
the domains of pain experience, depression, other mood or aect, cognitive
coping and appraisal, behavioral activity level, and social role functioning.
There were fewer studies of behavioral (operant) treatment, but sucient to
conclude that ecacy was shown for pain, mood other than depression, social role function, and expressed pain behavior. There were also few studies
of relaxation and biofeedback training, but ecacy was shown for pain, depression, coping and social role functioning. Catastrophizing was reduced
by cognitive therapy, relaxation training, and operant conditioning.
A remarkable study by McQuay and colleagues [130] in 1997 reviewed more
than 15,000 randomized studies with pain as an outcome, along with others
that were not randomized. Despite impediments to investigation, evidence
from 35 trials supported CBT for pain, mood, catastrophizing, other coping
self-statements, pain behavior, and functional impairment. The high-quality
trials demonstrated large and sustainable changes in targeted outcomes.
More recently, Thieme and colleagues [131] compared operant behavioral
therapy (OBT) with CBT in 125 patients who had bromyalgia. Both
groups reported reduced pain. The CBT group had improvements in cognitive and aective variables, and the OBT group had improved physical function and behavior. Controls actually showed deterioration. Benets were
maintained at 12-month follow-up. In a controlled trial of CBT with temporomandibular dysfunction patients, intent-to-treat analysis showed substantial improvements in pain, activity interference, jaw function, depression,
pain beliefs, catastrophizing, and coping that were maintained at 12-month
follow-up [132].
Biofeedback and relaxation training
In biofeedback training, such parameters as digital temperature, surface
electromyogram (EMG), and palmar electrodermal response are monitored
and visual or audio feedback is provided to the patient. With training, the person learns to modify these functions voluntarily. This technique has been used
to abort migraine headache and to improve sphincter control following neurologic injury. Paraspinal EMG feedback is commonly used with CLBP patients. The process of learning to reduce muscle tension, sweating, and
vasoconstriction leads to generalized relaxation. There is overlap in the clinical eects of such therapies as biofeedback training, relaxation training, selfhypnosis, and meditation, and all may induce states of muscular relaxation
and reduced autonomic activity. In practice, techniques are often combined.
The National Institutes of Health Technology Assessment Panel on Integration of Behavioral and Relaxation Approaches [133] found strong evidence for the use of relaxation techniques in reducing chronic pain in

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several medical conditions. There was moderate evidence for the eectiveness of cognitive-behavioral techniques and biofeedback in chronic pain.
Flor and Birbaumer [134] randomly assigned a relatively functional
group of patients (73% CLBP) to biofeedback training, CBT, or conservative medical treatment (heterogeneous interventions, including massage,
nerve blocks, analgesics, and exercises). At 24-month follow-up the biofeedback group had signicant reductions in pain, interference with life activities, aective distress, health care use, and catastrophizing. They showed
less muscular reactivity under stress. Dierences were substantial: 40% of
the biofeedback training groups had two or more SD reductions in pain severity, life interference, and aective distress, compared with 17% of the
cognitive-behavioral group and 8% of the medical group. Van Tulders
[107] review was less positive. They found only ve low-quality RCTs of
EMG biofeedback training for CLBP, four of which were negative.
Our clinical experience in a multidisciplinary pain rehabilitation program
is that mixed chronic pain patients generally rate biofeedback training and
physical therapy as the most helpful program components.
Multidisciplinary pain rehabilitation programs
Many patients who have chronic nonmalignant pain fail to achieve reasonable comfort and function despite appropriate treatment with single or
even several therapies. Multidisciplinary pain rehabilitation programs
(MPRPs) typically combine many of the previously described treatments
into programs that range from a few hours a week to inpatient in intensity.
Early programs were based largely on Fordyces behavioral approach, including operant conditioning and exercises [38]. Although methods have
evolved, there remains in most programs a focus on replacing sick role
type behaviors with normal activities, which sta attempt to reinforce.
Targets for MPRP treatment include not only pain but also function
(work, play, socialization, sex), aect (depression, anger, anxiety), inappropriate health care use, and comorbid psychiatric illness. Although programs
dier, common elements typically include the following:
Education
Reconditioning physical therapy
Biofeedback and relaxation training
Medications
Psychotherapies: individual, group, family
Treatment of psychiatric comorbidity, including addiction
Drug weaning
Some programs provide interventional therapies, whereas others prefer
that these be completed, if indicated, before MPRP treatment. Some oer
treatments, such as massage or myofascial release, yoga, and martial arts exercises, and some do not provide addiction treatment.

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559

It seems a truism in medicine that the more treatments that have failed,
the less is the likelihood that the next one will succeed. Despite this, and although MPRPs typically treat only patients who have failed multiple single
interventions, their success rate is high. In a review of outcome studies, Turk
found that such programs produce 14% to 60% pain reduction, up to 73%
decrease in opioid use, dramatic increases in activity levels, 43% more working after treatment than before (twice the untreated rate), a 90% reduction
in physician visits (one study), 50% to 65% fewer surgeries than untreated
patients, 65% fewer hospitalizations than untreated, and 35% fewer receiving
disability income [135]. Deardor and colleagues [136] review found pain reductions of 14% to 42% and improvements in physical reconditioning.
Forty-nine percent had reduced narcotics use and 65% were drug free at
one year. Health care use was reduced, and 47% to 90% were seeking no additional care at 1 year. Work or vocational rehabilitation was successful in
55% mean. Treatment results were usually maintained at 2.5 to 3 years. In
a meta-analysis of 65 studies of chronic pain rehabilitation programs, Flor
and colleagues [137] found improvements in pain, mood, and interference
with life activities, including work. Health care use declined. Benets were
stable over time. The authors found most studies to be of marginal quality.
Turk compared costs of returning a patient to work with various treatments, including drugs, conservative care, surgery, spinal cord stimulators,
implantable drug delivery systems, and pain rehabilitation programs. He
found that chronic pain rehabilitation programs led to comparable pain reduction, but superior outcomes in medication use, health care use, functional activities, return to work, closure of disability claims, iatrogenic
consequences, and adverse events [138]. Using 1995 dollars, he found 27 fewer
surgeries per 100 patients leading to $4050 saved per patient (at $15,000/
operation). Annual medical costs had averaged more than $13,000/year
pretreatment, which dropped to $5,600 in the year after treatment, leading
to $7,700/year/patient saved following treatment. This savings was in
addition to $400,000 saved per person removed from permanent disability.
Addressing LBP more specically, Guzman and colleagues [139] found 10
trials with 12 randomized comparisons of chronic pain rehabilitation programs versus controls. There was strong evidence of improved function
versus inpatient/outpatient nonmultidisciplinary treatments. There was
moderate evidence of reduced pain versus outpatient nonmultidisciplinary
rehabilitation or usual care. There was contradictory evidence of vocational
outcomes: some reported improvements in work readiness, whereas others
showed no signicant reduction in sickness leaves. Less intensive outpatient
psychophysical treatments did not improve pain, function, or vocational
outcomes.
It is reasonable to conclude that when everything has failed, many patients can be restored to good function and quality of life with MPRP treatment. Unfortunately, many such programs have ceased to exist because of
lack of reimbursement or low return on investment, which leads health

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care facilities to close them down. Current provision of pain care services
often seems based more on incomes than on outcomes.

Summary
Chronic nonmalignant pain is less a symptom of a disease than a disease in
itself. Accordingly, successful treatments rely less on identifying underlying
pathology than on treating neural causes of pain amplication, psychologic
causes of disability, and the sequelae of deconditioning and psychiatric illness.
The outcome, when such treatment is provided, is remarkably favorable.

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