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S P E C I A L F O C U S

Sports Medicine
Posterior shoulder instability
Brett A. Fritsch and Dean C. Taylor

DEFINITION
ABSTRACT
Defining a dislocation is easy: complete loss of contact bet-
We provide a review of the recent literature of management of
ween articulating surfaces of a diarthrodial joint. Defining
posterior instability of the shoulder. Clarification in defining this
problem and an overview of the ever-expanding anatomical
the syndrome of posterior instability is not easy. Separating
injuries associated with increased posterior translation of the physiologic glenohumeral translation (laxity) from pathologic
humerus are discussed. Particular attention is paid to the movements for a given individual is difficult. A given transla-
caspulolabral ligamentous complex and the rotator interval tion may indicate laxity in one person but instability in
because these anatomical regions have provided the focus for another; even within a single individual the same translation
several recent investigations into both the role played by may at one time be considered laxity only and at another be
particular anatomical constraints to shoulder motion and the considered instability. The key distinction is the presence of
techniques for manipulation of these constraints to treat these symptoms. Glenohumeral translation that is uncomfortable
injuries. Several clinical papers have been published recently (either with pain, apprehension, weakness, or other) defines
reporting the results of surgical management of posterior
the movement as being unstable; the amount that the hume-
instability, reflecting the trend towards arthroscopic surgery
and anatomical reconstruction of these injuries and the
ral head has translated does not. Reproduction of symptoms
associated improvement in outcomes. with translation in a given direction defines that direction as
part of the instability syndrome. Similar (or even greater) tran-
Keywords slations in other directions that do not reproduce symptoms
posterior instability, rotator interval, shoulder dislocation are considered laxity. The factors that make a given translation
symptomatic are yet to be elucidated. Laxity may progress
along the continuum to instability after a given event, but
INTRODUCTION the exact factor that induces this transition is unclear. This
concept is particularly important in delineating patients with

M
anagement of posterior shoulder instability con-
posterior instability from those with multidirectional instabi-
tinues to be a challenging problem. Definition
lity or laxity. Multidirectional instability has been defined
and diagnosis of this entity remain difficult,
as involuntary symptomatic shoulder laxity in more than
particularly in subtle cases. The use and misuse of the termi-
one direction,1 frequently using a positive sulcus sign to add
nology surrounding the problem further add to the confu-
the direction of inferior instability. However, we consider the
sion. Nonetheless, there is continual progress in overcoming
presence of a sulcus sign as insignificant if it is asymptomatic.
these issues with an ever-increasing recognition of the
The overall concept is simple. Increased glenohumeral trans-
anatomical lesions associated with pathological humeral
lation that produces symptoms is considered instability.
translation and evolving surgical techniques to treat these
Translation that is not symptomatic is considered laxity. The
injuries. Recent biomechanical studies shed new light on the
direction in which the symptoms are reproduced defines the
role played by specific components of the shoulder capsule,
direction(s) of instability.
in particular, the capsular ligaments in the rotator interval
region and the various openings between these ligaments.
While these investigations challenge some long-held views EPIDEMIOLOGY
regarding surgical manipulation of these structures, they
allow for further advances in treatment of this challenging The lack of a consensus on defining posterior instability
clinical entity. makes the exact determination of its prevalence or in-
cidence difficult. Increasing awareness of the condition
and appreciation of the clinical manifestations of subtle
instability are increasing the frequency of its diagnosis. A
prevalence of 5% of all shoulder instabilities is frequently
Sports Medicine Section, Duke University Medical Center, Durham, North reported, although rates of 2--11.6% can be found in the
Carolina literature.2,3 In a report of new instability, events over a
Correspondence to Dean C. Taylor, MD, Professor of Surgery, Division of 9-month period in over 4100 military cadets, 10.3% were
Orthopaedic Surgery, Box 3615, Duke University Medical Center,
diagnosed with posterior instability and a 9.4% were
Durham, NC 27710
Tel: þ 919 668 1894; fax: þ 919 681 6357; classified with multi-directional instability.4 Most of the
e-mail: dean.taylor@duke.edu patients with posterior instability were men, between 20--30
1940-7041 ß 2010 Wolters Kluwer Health | Lippincott Williams & Wilkins years of age. They tended to be active and many were

32 Current Orthopaedic Practice Volume 21  Number 1  January/February 2010


Current Orthopaedic Practice www.c-orthopaedicpractice.com | 33

TABLE 1. Factors in classifying posterior instability TABLE 2. Pathoanatomy of posterior instability


Volition  Psychological 1. Static
 Positional a. Bony
 Muscular i. Glenoid morphology
Initiating event  Clearly traumatic 1. Post-traumatic glenoid deficiency
 Clearly atraumatic 2. Glenoid hypoplasia
 Cumulative microtrauma ii. Glenoid version---increased retroversion
Degree  Dislocation iii. Humeral head defects---Reverse Hill-Sachs
 Instability without dislocation b. Soft-tissue
Direction  Unidirectional posterior i. Posterior capsulo-labral complex
 Bidirectional--- ii. Posterior chondrolabral structures
posterior þ inferior iii. Posterior capsular injury
 Multidirectional iv. Reverse HAGL
Etiology/identifiable  Bony v. Coracohumeral ligament
pathoanatomy 2. Dynamic
 Soft tissue a. Muscle---rotator cuff
Static constraints b. Biceps tendon
Dynamic constraints c. Scapulothoracic function
Chronicity  Acute
 Acute on chronic HAGL, humeral avulsion glenohumeral ligament.
 Chronic

contact and overhead athletes. Most patients reported an instability (Table 2). Through biomechanical studies, im-
initiating traumatic event, but a documented occurrence of proved radiographic imaging (particularly MRI) and arthro-
a posterior dislocation requiring reduction is uncommon. In scopic examination, these lesions are being identified, and
four reports that recorded this information, only 17 of the repair of these lesions is forming the basis for improving
74 patients (23%) undergoing surgery for posterior instabil- surgical stabilization.
ity reported having had a dislocation requiring reduction.5--8 Recent work is focused on the modes of failure of the post-
erior labrum and associated capsuloligamentous complex.

CLASSIFICATION
Posterior Labrum
Several authors have proposed classification symptoms;
The posterior labrum differs from its anterior counterpart
however, the difficulty in arriving at a consensus definition,
in that it is attached less intimately to the surrounding
the multi-factorial nature of the syndrome, and the rapidly
capsuloligamentous reinforcements.13 This less intimate
evolving understanding of the pathoanatomy and bio-
attachment allows for an increased possibility of both
mechanics make a definitive classification system an elusive
posterior instability without a reverse Bankart lesion or for
goal. Nonetheless, the process of attempting to classify each
a reverse Bankart lesion without instability. However, there
component of an individual’s presentation is a useful process
is increasing recognition of capsulolabral injuries in patients
to rigorously weight the multiple contributing factors, to
with recurrent posterior instability, particularly of traumatic
guide the search for pathoanatomy and in turn focus appro-
origin. Cadaver studies have shown an injury to the poster-
priate management. For this reason, we use a combination of
ior labrum in 70% of posterior dislocations,14 and several
several classifications systems in assessing an individual who
recent publications confirm high rates of injury. A capsulo-
presents with posterior instability (Table 1).
labral injury was reported in 83% of patients with postero-
Of interest are recent changes in the understanding of the
inferior instability operated on by Antoniou et al.,15 while
significance of volition. Previously, any patient who could
all surgical patients of both Williams et al.7 and Kim et al.16
consciously demonstrate posterior instability would be
had a capsulolabral injury. Most recently Bottoni et al.17
considered a poor surgical candidate, but recent publica-
reported that 30 of 31 patients with recurrent posterior
tions identify a subgroup in whom this is not the case. The
instability had posterior glenolabral or capsulolabral injury.
key point is to differentiate the ‘‘willful’’9 or ‘‘habitual’’10
These studies confirm the high rate of pathologic changes
dislocator from the ‘‘positional’’ group. The former harness
in patients with a history of traumatic injury in whom non-
unbalanced muscular force couples, often in response to
operative treatment failed. The current literature continues
initial secondary gain motives and respond poorly to
to trend towards identification of these anatomic lesions
surgery. The latter have recognized and can reproduce (or
that can be treated with surgical reconstruction. An ever
avoid) provocative arm positioning, which is a reflection of
expanding ‘‘alphabet soup’’ of acronyms (Table 3) describe
pathoanatomy rather than a psychological disturbance. This
the subtle variations in the failure modes of this mechanism.
group should not be excluded from surgery.11,12
Some of these are almost ‘‘hidden’’ to cursory examination,
and focused attention on their sites of occurrence is required
PATHOANATOMY to avoid missing the lesion.
Increased understanding of the specific anatomical factors
working to constrain translation as the arm is moved Posterior Capsuloligamentous Complex
through its range of motion has allowed identification The posterior capsule itself plays an important role in
of the particular anatomical abnormalities that result in maintaining stability. When the arm is brought into forward
34 | www.c-orthopaedicpractice.com Volume 21  Number 1  January/February 2010

TABLE 3. Classification of posterior labral injuries associated with recurrent instability


Reverse Bankart 1. The posteroinferior labrum is detached from the glenoid with a tear of the scapular periosteum
and no significant erosions of the adjacent glenoid articular surface
2. MR arthrogram demonstrates the detachment of the labrum with an associated tear of the scapular
periosteum
3. These are more common in patients with a traumatic history18
Posterior labrocapsular A similar detachment of the labrum, but with an associated avulsion of the adjacent periosteum
periosteal sleeve avulsion without complete detachment. This creates a sleeve that may be filled with fibrous tissue and
(POLPSA) will require reduction to reduce the labrum
Kim’s lesion 1. A concealed, intra-substance detachment of the deep part of the posteroinferior labrum from
the glenoid rim with a separate marginal crack on the surface19
2. The labrum does not appear to be detached on initial inspection and probing of the deep part
of the labrum is required to identify the lesion
3. This partial detachment needs to be converted to a complete detachment of the labrum that can
then be reattached to the glenoid rim
Posterior glenolabral articular 1. Recently described in the posteroinferior capsulobral junction20 these lesions involve a disruption
disruption lesion (GLAD) of the chondral surface of the glenoid and a subtle tear of the adjacent labrum
2. Patients with posterior instability and associated chondral defects are reported to have a poorer
outcome from surgery than those without8
Extensive posterior labral tears 1. These are tears as part of Type VIII and IX SLAP lesions, 270-3601 labral tears, and other
combinations
2. Their proper identification allows for avoidance of incomplete labral repair as tears which extend
in length > 15 mm are significantly associated with posterior instability21
Unclassifiable posterior labral
tears

flexion and internal rotation, the posterior band of the by focused strengthening and proprioceptive retraining pro-
inferior glenohumeral ligament is the primary ligamentous grams. A directed rehabilitation program improves stability
restraint to posterior humeral head translation. In this and decreases pain in approximately two-thirds of patients
position, the orientation of this ligament is anteroposterior, with posterior or multidirectional instability.32,33 This
thus preventing posterior translation of the humeral head.22 continues to be our initial approach in most patients with
In the flexed, adducted, and internally rotated position, the a focus on strengthening of the dynamic stabilizers of the
posterior capsule and the coracohumeral ligament also act rotator cuff (particularly infraspinatus) and periscapular
to limit posterior translation.22--25 The posterior capsule itself musculature.
frequently is injured after posterior dislocation. In a cadaver
study by Weber and Caspari,14 the capsule was injured in
100% of posterior dislocations, and several studies implicated Operative
permanent stretching of the capsule (even in the absence Either failure to return to full activity or continued symp-
of any labral tear) as a cause of recurrent posterior and toms of posterior instability are indications for operative
multidirectional instability.26,27 In recent years, failure of the
capsular attachments to the humerus has been recognized as
a cause of recurrent instability in a subset of patients.28,29 In
a series of nine patients in which this capsular failure was
present, no defects were identified on preoperative imaging.
Retrospective review of MR arthrography by the treating
surgeon, however, identified six defects.30 Routine viewing
of the posterior capsule through an anterior portal is needed
to make a complete assessment and avoid missing this
uncommon cause of recurrent instability. Bui-Mansfield et
al.31 have proposed a nomenclature for anterior and poster-
ior HAGL (humeral avulsion of the glenohumeral ligaments)
lesions based on the exact site of failure of the ligament that
is useful in communicating this increasingly recognized
cause of recurrent instability (Figure 1).

TREATMENT FIGURE 1. Bui-Mansfield nomenclature for posterior humeral avulsions.


Figure represents an artist’s rendering of normal appearance of inferior
Nonoperative glenohumeral ligament (IGHL) and posterior band lesions in axial and coronal
planes. A, anterior; P, posterior; PHAGL, posterior humeral avulsion of the
The mainstay of management of posterior instability is glenohumeral ligament; PBHAGL, posterior bony humeral avulsion of the
nonoperative treatment. The altered kinematics observed in glenohumeral ligament; PIGHL, posterior inferior glenohumeral ligament.
posterior and multidirectional instability can be improved Reprinted with permission from AM J Sports Med. 2007; 35:1960–1966.
Current Orthopaedic Practice www.c-orthopaedicpractice.com | 35

intervention. The athletic population and those with a Harryman’s work. Comparing these RICO closures to Harry-
traumatic etiology are less likely to respond to nonoperative man’s work, which altered only the CHL, and calling them
management. Burkhead and Rockwood34 reported good or both a ‘‘rotator interval closure’’ is a flawed extrapolation.
excellent outcomes with nonoperative treatment in 89% Recently, several biomechanical studies have examined
of patients with an atraumatic etiology, but only 16% of these RICO closures and have shown that they do not affect
patients with traumatic subluxation obtained similar results. posterior translation of the humeral head.45,46 A further
Results of nonoperative management in the young, athletic study by Mologne et al.47 combining these RICO closures
population also have been relatively poor when followed for with repair of the labrum (a common clinical scenario)
7 to 10 years,35 and we have a lower threshold for operative confirmed no additional effect on posterior translation
intervention in this group. conferred by the RICO closure when compared with the
labral repair alone. Indeed it appears that while a RICO
Capsulolabral Repair closure does not alter posterior translation, it does in fact
decrease anterior translation.46,48 We do not advocate
Most patients require reattachment of the injured posterior
routine RICO closure in patients with posterior instability
capsulolabral complex. Current literature focuses on optimiz-
and prefer to await ongoing biomechanical investigations of
ing soft-tissue labral fixation to the glenoid along with
the individual capsular structures in the RI region before
demonstrating the safety of portals used to access the entire
advocating operative manipulation of these components in
labrum. Fixation techniques have evolved from open tech-
patients with posterior instability.
niques to bioabsorbable tacks to suture anchors of various
configurations. These suture anchors give improved versati-
lity, and most recent authors use them for fixation. These Capsular Volume
repairs are being combined with capsular plication techni- Increased capsular volume and laxity have been implicated
ques, rotator interval closures, or both, to increase the success in posterior instability. While accurate measurement of
of surgery, particularly in patients in whom nonoperative these entities is difficult, the presumption forms the basis for
treatment has failed, or those who have less significant labral the accepted use of an inferior capsular shift as the surgical
detachments, hyperlaxity, or capsular stretching. treatment of choice. Dewing et al.,49 using MR arthrography
to measure the cross-sectional area of the capsule, have
Rotator Interval shown significantly greater total cross-sectional area in
patients with posterior and multi-directional instability
Weitbrecht36 first described this anatomic region in the
(but not those with anterior instability) compared with
18th century and Rouviere37 provided further description in
controls. Arthroscopic techniques are evolving that mimic
the 19th century. The term ‘‘rotator interval’’ was first used
(or improve) the traditional gold standard open inferior
by Neer in 1970 and defined by the space between the
capsular shift. Sekiya et al.50 have shown in a cadaver model
supraspinatus and subscapularis, bordered medially by the
that multi-pleated suture plication of the capsule can
coracoid.38 Since then the term rotator interval (RI) has
diminish capsular volume at least as effectively, or in some
tended to refer to different anatomical structures, depending
reports, more effectively as the open capsular shift. Also, in
upon its context of use. When used in conjunction with
a cadaver model, Flanigan et al.51 achieved reproducible
repair of the rotator cuff, authors frequently use ‘‘rotator
results regarding the percentage of capsular volume reduc-
interval’’ to designate the soft-tissue connections between
tion produced by incremental plication of the capsule.
the supraspinatus and subscapularis. When used in refer-
Multiple suture placement techniques that achieve capsular
ence to glenohumeral instability, the RI frequently is used
plication have been described.16,52 These techniques include
to refer to the capsular structures between the anterior
isolated ‘‘tucks’’ in the capsule to reduce capsular volume
portion of the supraspinatus and the superior border of the
and methods that incorporate the inferior capsule into the
subscapularis tendons.39 There are multiple anatomic con-
labral repair, shifting it superiorly in the process of fixing
tributions to this area of capsule, and much variation in
it to the glenoid. Where the capsule is redundant, but
its constituents and openings.40 It is these rotator interval
the labrum is intact, the plicated capsule may be attached
capsular openings (RICO) that can be arthroscopically
directly to the intact labrum.
manipulated and the basis for modern closure techniques.
The seminal work on the role of this anatomical region to
glenohumeral translation was that of Harryman et al.25 They Operative Results
showed that imbrication of the ‘‘rotator interval capsule’’ Bottni et al.17 achieved good results from operative stabiliza-
decreased posterior translation in the flexed, adducted arm. tion in 31 patients with posterior instability in whom all had
This study has been used as the basis for ‘‘closure’’ of the RI a traumatic etiology. Using a combination of open (12 of 31)
in many subsequent publications. The problem, however, is and arthroscopic (19 of 31) repairs, they reported 26 good or
that the clinical closures described do not replicate Harry- excellent (84%), 3 fair (9.6%) and 2 poor (6.4%) results. Of
man’s work. While Harryman et al.25 described a medial- the patients with fair and poor results, bioabsorbable tacks,
to-lateral imbrication of only the coracohumeral ligament thermal capsulorrhaphy or both had been used in four of the
(CHL), most arthroscopic in-vivo operative techniques tend five patients. Tacks and capsulorrhaphy have since been
to employ a cranial-caudal RICO closure of the middle supplanted by the use of suture anchors and techniques for
glenohumeral ligament to the superior glenohumeral liga- capsular plication, respectively. The prospective study by
ment,41--44 capsular structures that were not studied in Bradley et al.53 evaluated 100 patients with isolated posterior
36 | www.c-orthopaedicpractice.com Volume 21  Number 1  January/February 2010

instability treated with arthroscopic posterior capsulolabral 3. Wolf EM, Eakin CL. Arthroscopic capsular plication for posterior
reconstruction. Their technique was tailored to the indivi- shoulder instability. Arthroscopy. 1998; 14:153--163.
dual pathology to include capsulolabral plication either to 4. Owens BD, Duffey ML, Nelson BJ, et al. The incidence and
 characteristics of shoulder instability at the United States
the labrum (when it was not detached), to the glenoid in Military Academy. Am J Sports Med. 2007; 35:1168--1173.
combination with labral reattachment using anchors, or one A descriptive study identifying the epidemiology of shoulder
of the above plus additional plication sutures. At an average instability within an active population. Prospective collection of
of 27 months, 89% had good or excellent results in regards data within a captured population of over 4000 military recruits in
a 1 year period is used to identify the epidemiologic characteristics
to stability, and 89% had returned to sports (74% of the total of instability in this active group.
at the same level).53 Similarly, Radkowski et al.54 recently 5. Gouiber JN, Iserin A, Duranthon LD, et al. A 4-portal arthro-
reported 107 athletes with isolated posterior instability who scopic stabilisation in posterior shoulder instability. J Shoulder
were treated with arthroscopic reconstructions in which the Elbow Surg. 2003; 12:337--341.
reconstruction was tailored between capsular plication 6. McIntyre LF, Caspari RB, Savoie FH III. The arthroscopic
treatment of posterior shoulder instability: two-year results of
alone, capsulolabral repair without suture anchors, capsu- a multiple suture technique. Arthroscopy. 1997; 13:426--432.
lolabral repair with suture anchors, or capsulolabral repair 7. Williams RJ III, Strickland S, Cohen M, et al. Arthroscopic repair
with anchors plus capsular plication. They achieved good or for traumatic posterior shoulder instability. Am J Sports Med.
excellent results in 89% of the throwers and 93% of the 2003; 31:203--209.
8. Wolf BR, Strickland S, Williams RJ III, et al. Open posterior
nonthrowers.54 They did report that throwing athletes were stabilisation for recurrent posterior glenohumeral instability.
less likely to return to their preinjury sporting level (55%) J Shoulder Elbow Surg. 2005; 14:157--164.
than nonthrowers (71%). These publications are representa- 9. Pande P, Hawkins R, Peat M. Electromyography in voluntary
tive of the recent literature in that they record a transition to posterior instability of the shoulder. Am J Sports Med. 1989;
arthroscopic reconstruction, an anatomic reconstructive 17:644--648.
10. Rowe CR, Pierce DS, Clark JG. Voluntary dislocation of the
approach focusing on the labrum and capsulolabral struc- shoulder. A preliminary report on a clinical, electromyo-
tures, and good to excellent results in most patients who are grasphic, and psychiatric study of twenty-six patients. J Bone
deemed suitable for surgical intervention. Joint Surg. 1973; 55:445--460.
11. Millett PJ, Clavert P, Hatch GF III. Recurrent posterior shoulder
instability. J Am Acad Orthop Surg. 2006; 14:464--476.
CONCLUSION 12. Robinson CM, Aderinto J. Recurrent posterior shoulder in-
 stability. J Bone Joint Surg. 2005;87:883--892.
In treating posterior shoulder instability, identification and A good review paper with excellent overview of classifications and
classification of increasingly subtle anatomic abnormalities decision making for treatment of posterior shoulder instability.
have refined and improved anatomic repairs and recon- 13. Bey MJ, Hunter SA, Kilambi N, et al. Structural and mechanical
structions. Cadaver and biomechanical studies continue properties of the glenohumeral joint posterior capsule.
J Shoulder Elbow Surg. 2005;14:201--206.
to clarify the precise role of anatomical components to 14. Weber SC, Caspari RB. A biomechanical evaluation of the
instability, most significantly that of the posterior labrum, restraints to posterior shoulder dislocation. Arthroscopy. 1989;
rotator interval capsule and capsular volume. The classic, 5:115--121.
but frequently misrepresented, work of Harryman et al.25 has 15. Antoniou J, Duckworth DT, Harryman DT. Capsulolabral
augmentation for the management of posteroinferior instability
been augmented by the understanding that modern arthro-
of the shoulder. J Bone Joint Surg. 2000;82:1220--1230.
scopic techniques do not recreate the plication he described. 16. Kim SH, Ha KL, Park JH. Arthroscopic posterior labral repair
The assumed stretching of the posterior capsule with and capsular shift for traumatic unidirectional recurrent poster-
recurrent instability has been demonstrated and multiple ior subluxation of the shoulder. J Bone Joint Surg. 2003;85:
arthroscopic techniques have been described to predictably 1479--1487.
17. Bottoni CR, Franks BT, Moore JH, et al. Operative stabilization
treat it. The sum of these developments are clinical papers  of posterior instability. Am J Sports Med. 2005;33:996--1002.
reflecting the transition from open to arthroscopic repairs, Case series of consecutive patients undergoing operative (open
using appropriate patient selection and anatomic repairs and arthroscopic) posterior stabilization. Reports the pathological
with resulting improved outcomes. lesions frequently identified, and the results of operative stabiliza-
tion in these patients.
18. Amrami KK, Savcenko V, Dahm DL, et al. Radiologic case study.
ACKNOWLEDGMENT Reverse Bankart lesion with posterior labral tear. Orthoapedics.
2002;25:779--780.
The authors acknowledge the assistance of Donald T. Kirkendall in the 19. Kim SH, Ha KL, Yoo JC, et al. Kim’s lesion: an incomplete and
 concealed avulsion of the posteroinferior labrum in posterior or
preparation of this manuscript.
multidirectional posteroinferior instability of the shoulder.
Arthroscopy. 2004;20:712--720.
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The largest series (9 patients) in the literature of rHAGL injuries, reproduces a common clinical scenario, as well as replicating the
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