Appasamy 2015

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PM R 7 (2015) 105-112

www.pmrjournal.org

Original Research

Treatment Strategies for Genu Recurvatum in Adult Patients


With Hemiparesis: A Case Series
Malathy Appasamy, MD, Michelle E. De Witt, Nisha Patel, MD, Nancy Yeh, MD,
Ona Bloom, PhD, Anthony Oreste, MD

Abstract

Objective: To report our clinical experience and propose a biomechanical factorebased treatment strategy for improvement of
genu recurvatum (GR) to reduce the need for knee-ankle-foot orthosis (KAFO) or surgical treatment.
Design: Case series.
Setting: Outpatient clinic of a Department of Physical Medicine and Rehabilitation in an academic medical center.
Subjects and Interventions: Adult subjects (n ¼ 22) with hemiparesis and GR who received botulinum injections alone or in
combination with multiple types of orthotic interventions that included solid ankle-foot orthosis (AFO) " heel lift, hinged AFO
with an adjustable posterior stop " heel lift, AFO with dual-channel ankle joint " heel lift, or KAFO with offset knee joint.
Biomechanical factors reviewed included muscle strength, modified Ashworth score for spasticity, presence of clonus, posterior
capsule laxity, sensory deficits, and proprioception.
Outcome Measurements: Outcome factors were improvement or elimination of GR based on subjective assessment before and
after the interventions by the same experienced clinician.
Results: More than one biomechanical factor contributed to GR in all patients. Botulinum toxin A injection was used in patients
who had significant plantar flexor spasticity and/or clonus. Four types of orthotic interventions were used based on the biome-
chanical factor: solid AFO in patients with severe ankle dorsiflexion and plantar flexion weakness or clonus; hinged ankle joint
with adjustable posterior stop in patients with less severe ankle dorsiflexion weakness in the absence of clonus; AFO with a dual-
channel ankle joint for quadriceps weakness or severe proprioceptive deficits; and KAFO with offset knee joints in patients with
Achilles tendon contracture or severe proprioceptive deficits. Adjunctive options included the addition of heel lifts and toeplate
modifications. Combinatorial interventions of botulinum injection, modified AFOs, and heel lifts improved or eliminated GR and
avoided the need for cumbersome orthotics or surgical interventions.
Conclusions: GR in hemiparesis is multifactorial and can be successfully controlled by using a conservative biomechanical
factorebased approach and combined medical and orthotic interventions. An algorithmic approach and a prospective study design
is proposed to determine a combination of effective interventions to correct GR.

Introduction include cerebral palsy [4,5], multiple sclerosis, and


cerebrovascular accidents [4], where it has been re-
Genu recurvatum (GR) is an abnormal hyperextension ported to occur in 40%-68% of patients [6-8]. Several
of the knee, operationally defined as greater than 5# of biomechanical factors have been enumerated as
hyperextension, characterized by the ground reactive causative factors in this patient population [6]. In
force (GRF) line being anterior to the axis of the knee addition, GR may be caused by lower motor neuron
(Figure 1). Functionally, GR results in increased me- conditions including poliomyelitis [9] and cauda equina
chanical work of walking [1] and decreased gait velocity syndrome [10].
[2,3]. GR is a progressive, disabling, acquired deformity Normally, full knee extension is accompanied by in-
that occurs as a result of a wide variety of neuromus- ternal rotation of the femur on the tibial head. With GR,
cular conditions, including upper motor neuron and knee hyperextension does not trigger the femur to
lower motor neuron pathologies. Some examples of continue to roll anteriorly, and instead the femur tilts
upper motor neuron pathologies that may cause GR forward, creating anterior compression between the

1934-1482/$ - see front matter ª 2015 by the American Academy of Physical Medicine and Rehabilitation
http://dx.doi.org/10.1016/j.pmrj.2014.10.015
106 Genu Recurvatum in Adults With Hemiparesis

Figure 1. Line drawings of ground reactive forces (GRF).

femur and tibia. This hyperextended position, in con- [13], which allow abnormal extension. Distal factors
junction with the normal femoral internal rotation, re- include equinovarus synergistic motor patterns, plantar
sults in tension on the anterior cruciate ligament and flexor or posterior compartment spasticity [14,15], and
posterior structures of the knee, ultimately leading to restricted ankle dorsiflexion [17]. All of these biome-
abnormal stretch of the posterior joint capsule and chanical factors drive the GRF line anteriorly [7]
posterior ligaments of the knee [11]. With repetitive (Figure 1C). The most commonly reported combination
loading activities, especially activities of daily living has been equinovarus synergistic motor patterns and
such as walking, posterior joint laxity can develop from quadriceps spasticity [15]. Loss of lower extremity
the tensile forces on the posterior capsule and struc- proprioception, which can occur in stroke patients, is
tures, leading to knee joint instability [2,12]. also associated with GR, because patients intentionally
Causes of GR are complex and multifactorial, and drive their knee into hyperextension either during late
their relative contributions are debated [1,13-16]. In swing phase, to lock in extension, or by leaning their
patients with hemiparesis, both proximal and distal trunk forward at heel strike, to prevent the joint from
biomechanical factors can occur individually or in collapsing [18]. This mechanism is similar to that of
combination [1]. Proximal factors that may drive muscle patients with lower motor neuron quadriceps weakness
imbalance at the knee joint are quadriceps spasticity, (ie, poliomyelitis and lumbar plexopathy).
which converts a normal eccentric quadriceps contrac- Long-term consequences of GR stem from its pro-
tion to control knee flexion at heel strike to an abnormal pensity toward stretching the posterior capsule and
hyperextension force [1], or weak hamstring muscles ligaments of the knee, causing instability. GR also has
M. Appasamy et al. / PM R 7 (2015) 105-112 107

been shown to lead to degenerative joint disease and extensively for treatment of other gait abnormalities in
chronic knee pain [11]. Additional reasons to correct GR hemiplegic patients [20,25,27]. The rationale for using
include improved gait symmetry, cosmetic appearance, AFOs to treat GR stems from their ability to cause the
and reduced energy expenditure during ambulation ground reactive force line to be driven posteriorly and
[19-21]. Therefore, GR should be reduced or thereby influence the knee. Another motivation for
eliminated. using AFOs to manage GR stems from the notion that
No standard algorithm currently exists to determine they also correct for insufficient dorsiflexion [28,29]. In
treatment for patients with GR, and strategies to a gait analysis study of 46 patients who had sustained a
manage GR vary widely. Reported strategies to stroke, knee hyperextension and weak dorsiflexion
ameliorate GR in the heterogeneous stroke population were often associated [3]. Therefore a treatment
include medical, orthotic, and rehabilitation-based strategy with the potential to correct both factors, such
approaches, and in a small number of patients, surgi- as an AFO, is superior to treatment of each gait ab-
cal approaches [1,7,16,17,22-25]. Medical therapy, normality individually.
which includes injection of botulinum A toxin into Here, we summarize our clinical experience re-
quadriceps or triceps surae, is common for hemiplegic garding the benefit of a variety of orthotic options
gait abnormalities. Orthotics are arguably the most (Figure 2) intended to address the biochemical factors
conservative treatment option for GR, but little infor- causing GR in persons with spastic hemiparesis. We have
mation is available about the suitability of various had successful outcomes with a conservative, biome-
subtypes of orthotics to manage GR. Three studies chanical factorebased approach that utilizes botulinum
evaluating orthotics to manage GR used knee-ankle- toxin injections, heel lifts, and solid or articulated
foot orthoses (KAFOs) and Swedish knee cages [26]; AFOs. These interventions, when combined with other
however, ankle-foot orthoses (AFOs) are used treatment modalities, improve management of GR while

Figure 2. Examples of orthotics used to manage genu recurvatum. (A) A solid ankle-foot orthosis (AFO). (B) An AFO with an adjustable posterior
stop. (C) Dual channel and ankle joint. (D) Knee-ankle-foot orthosis (KAFO, left); KAFO with offset knee joint (right).
108 Genu Recurvatum in Adults With Hemiparesis

minimizing the use of more cumbersome orthotics or the soleus, and/or tibialis posterior muscles were provided
need for surgical approaches. The description of our as an adjunctive treatment.
clinical approach is provided to stimulate discussion of Four primary types of orthotic interventions were
the management of patients with spastic hemiplegia used to treat GR, based on the biomechanical factors
and GR and to highlight the need for prospective clinical involved. In the setting of severe ankle plantar flexion
trials to determine a reasonable and consistent (PF) weakness or ankle clonus, a solid ankle-foot
treatment algorithm for GR. orthosis (SAFO) was beneficial (Figure 2A). A hinged
AFO, which allows free DF, may be problematic in these
Methods patients, because it can elicit excessive ankle clonus.
For subjects who presented with a pre-existing SAFO
Subjects and continued to demonstrate GR, additional orthotic
modifications were made: the addition of a heel lift
A retrospective chart review was performed for pa- (Figure 1D) to provide “pseudo dorsiflexion,” and/or
tients with a diagnosis of GR who were treated in an cutting of the footplate proximal to the metatarsal
outpatient clinic of an academic medical center from heads (Figure 1E) to influence the GRF line further
January-December 2011. Inclusion criteria required that posteriorly. A SAFO was prescribed for 9 subjects, 6 of
patients be 18 years or older and have a diagnosis of whom had ankle clonus.
hemiparesis (ie, ICD-9 codes 342.11, 342.12). A total of The second orthotic option is a hinged AFO with an
22 patients met these criteria. Patient characteristics adjustable posterior stop (APS), which was our preferred
are provided in Table 1. GR was diagnosed by clinical orthosis, especially in the setting of less severe ankle
observation of a patient in stance phase by an experi- weakness and the absence of ankle clonus (Figure 2B).
enced board-certified physiatrist. A physiatrist recorded This type of orthotic not only limits ankle PF like the
manual muscle strength testing in the lower extremity SAFO but also has the ability to place the footplate into
of all patients, specifically in quadriceps, hamstrings, additional DF, thereby further driving the GRF line pos-
ankle dorsiflexors, and plantar flexors. All patients were teriorly (Figure 1B). Adjunctive orthotic modifications
evaluated for spasticity using the modified Ashworth such as the addition of heel lifts and cutting the foot-
scale (MAS) in the quadriceps, hamstrings, ankle dorsi- plate proximal to the metatarsophalangeal joint are also
flexors, and plantar flexors [30]. Associated factors, available. Of the 12 patients who were prescribed a
such as the presence or absence of clonus, along with hinged AFO with an APS, 6 had ankle dorsiflexion (ADF)
proprioception in the affected lower extremity, were strength $3/5 motor power and 5 patients an ADF %4/5
documented. Table 2 presents the contributing causes motor power, and 8 patients had ankle clonus.
of GR (proprioception deficit, muscle weakness, and The third orthotic option used was an AFO with dual-
spasticity/clonus) and the medical or orthotic inter- channel ankle joints (Figure 2C). This orthosis may be
ventions received by individual subjects. indicated in the setting of quadriceps weakness or for
patients with significant proprioceptive deficits. These
Results patients are susceptible to knee buckling if the GRF line
is driven too far posteriorly. Just a few degrees of
Interventions and Outcomes excessive ankle DF may cause their knee to buckle, and
a few degrees of excessive ankle PF may cause GR. The
A combination of orthotic and medical interventions dual-channel ankle joint allows one to lock the foot-
was used to treat GR in patients with spastic hemi- plate at an appropriate angle to prevent or minimize
paresis. Specifically, the use of an AFO was aimed at both issues. Five subjects had quadriceps weakness on
enhancing dorsiflexion (DF) at the ankle or foot to drive clinical examination, but the dual-channel ankle joint
the GRF line posteriorly toward the knee (Figure 2A, B). was prescribed for only one subject. The other 4 pa-
If spasticity was considered to be a significant biome- tients responded well to either a SAFO or a hinged AFO
chanical factor and/or hindered the fit of the orthosis, with an APS. We speculate that the severity of quadri-
botulinum toxin A injections to the gastrocnemius, ceps weakness is a risk factor for knee buckling; how-
ever, spasticity and apraxia play a role in mitigating that
risk. Consequently, it is necessary to evaluate a patient
Table 1 with a stock SAFO to assess the degree of GR and/or
Subject demographics (N ¼ 22) knee buckling prior to committing to an AFO with dual-
Variable channel ankle joints.
Median age, y (range) 49 (17-89) Adjunctive modifications to the aforementioned or-
Males, N (%) 13 (59) thotics included the addition of heel lifts and toeplate
Females, N (%) 9 (41) modifications. The addition of a heel lift to an AFO will
Mean time to presentation, y (range) 3.8 (0.5-17) balance the foot and drive the GRF line posteriorly,
Mean follow-up, mo (range) 23.9 (4-72)
similarly to dorsiflexing the footplate at mid stance
M. Appasamy et al. / PM R 7 (2015) 105-112 109

Table 2
Summary of biomechanical factors and orthotic interventions
Orthotic Interventions
Biomechanical Factor Solid AFO Hinged AFO With APS AFO With Dual-Channel Ankle Joint KAFO
ADF strength $3/5 (n ¼ 15) 9 6 0 0
ADF strength %4/5 (n ¼ 4) 0 4 0 0
Quadriceps strength $4/5 (n ¼ 5) 2 2 1 0
Spasticity " clonus (n ¼ 15) 6 8 0 1
Decreased proprioception (n ¼ 3) 0 2 0 1
AFO ¼ ankle-foot orthosis; APS ¼ adjustable posterior stop; KAFO ¼ knee-ankle-foot orthosis; ADF ¼ ankle dorsiflexion.

(Figure 1D). Because the footplate angle is not actually PF spasticity, 3 subjects with ankle clonus, and 3 sub-
changed, we describe this as “pseudo dorsiflexion.” jects with both PF spasticity and clonus. Targeted
Heel lifts up to 3/8 inch will easily fit inside a patient’s muscles for injection were the gastrocnemius, soleus,
shoe. Heel lifts greater than ½ inch must be added to and tibialis posterior muscles to decrease ankle PF tone
the outer sole, and equal height must be added to the and ankle inversion. Decreasing ankle PF tone not only
contralateral shoe. Heel lifts were used as an adjunctive reduces the force with which the patient actively
modification with an AFO in 17 of the subjects. plantar flexes but also enhances stretch on the Achilles
All the orthotics prescribed here were ordered with a tendon. We found that botulinum toxin A injections
full footplate and flexible toeplate. A flexible toeplate allowed us to stretch the heel cord and place the hinged
allows toe DF to occur and will influence the GRF line AFO into more DF as needed. In addition, it allowed
posteriorly (Figure 1E). A rigid toe plate is contra- subjects to tolerate more DF in their AFOs and reduce
indicated because it prevents toe DF, enhancing GR by ankle clonus. An AFO with a hinged ankle joint not only
influencing the GRF line anteriorly (Figure 1C). In addi- has the advantage of providing maximal DF of the
tion, a flexible toeplate tends to be more comfortable footplate but also allows the Achilles tendon to stretch
for the patient. We used an additional orthotic modifi- during weight bearing, thereby increasing range of mo-
cation to promote toe DF: cutting of the footplate just tion into DF and influencing the GRF line posteriorly.
proximal to the metatarsal heads (not shown). A total of Botulinum toxin A injections preferentially enhance
4 subjects had the footplate cut proximal to the meta- these benefits and made the hinged AFO our preferred
tarsal heads to reduce GR. orthotic. Subjects with the following orthotic in-
If the aforementioned measures did not adequately terventions received botulinum toxin A injections: SAFO
manage the patient’s GR, a KAFO with offset knee joints (N ¼ 2), hinged AFO (N ¼ 6), and AFO with dual-channel
was provided to control the knee and prevent GR ankle joints (N ¼1).
(Figure 2D). The offset knee joint was chosen because it All subjects experienced improvement, which ranged
is extremely durable and able to handle the potentially from mild to complete elimination of GR based on sub-
severe moment of force into extension, which may jective assessment before and after the interventions
compromise other orthotic knee joints. The offset knee by the same experienced clinician. More importantly, in
joint does not lock and has the added benefit of free our experience, carefully identifying the underlying
knee flexion during transfers. Authors of previous biomechanical factor avoided the use of cumbersome
studies have recommended that a KAFO be used for knee immobilization or surgical interventions. The goal
persons who have GR with sagittal plane deviations of of the distal interventions at the ankle was to influence
more than 20# [31]. Here, a KAFO was prescribed when the knee into less GR by driving the GRF line posteriorly,
the aforementioned interventions had failed to thereby reducing the moment of force into extension at
adequately reduce GR and placed the subject at risk for the knee.
the development of sagittal plane deviations in the
future. One subject who had a severe Achilles tendon Discussion
contracture required a KAFO after GR failed to improve
with botulinum toxin A injections and distal orthotic GR is an often overlooked effect of stroke that should
modifications, including heel lifts. A second subject be studied further because of its prevalence in about half
required a KAFO after a hinged AFO with an APS failed to of hemiplegic stroke survivors [7]. If untreated, GR causes
reduce GR in the setting of a severe proprioceptive change in joint loading conditions, which has been
deficit at the knee. implicated in chronic knee pain and knee instability, as
As mentioned previously, orthotic interventions were well as in the development of osteoarthritis (OA) [32-35].
also combined with botulinum toxin A injections Although improvement of hemiplegic gait is a widely
(100-320 units) to manage equinovarus synergy pat- discussed topic, effective management of GR, which is
terns, excessive PF spasticity, and ankle clonus in 9 common in persons with hemiplegia, is less well studied.
subjects. Injections were provided for 3 subjects with In fact, specific assessment or correction of GR is rarely
110 Genu Recurvatum in Adults With Hemiparesis

discussed in these patients [1]. Indeed, a search of on the biomechanical factor involved in GR management
PubMed for “hemiplegic,” “gait,” and “stroke” yields 773 supports the notion that many etiologies may promote
results, whereas “knee hyperextension” and “stroke” or GR [1]. The indications for a specific type of AFO may be
“genu recurvatum” and “stroke” yields 12 and 4 results, complex and may need to be individualized, because
respectively. biomechanical factors that alter gait in hemiplegic pa-
Treatment approaches for GR that have not incor- tients may be multifactorial and beyond those tradi-
porated the underlying biomechanical etiologic factor tionally considered.
have had mixed results. For example, in a retrospective AFOs can be rigid/solid, have a hinged/articulated
study of GR (N ¼ 6 subjects), 2% lidocaine was used to ankle joint, be made of metal or plastic, and have
achieve a rectus femoris nerve block, but this inter- modifications such as heel height or shortened foot-
vention did not result in significant improvement in knee plates (extending to the metatarsal head rather than the
hyperextension [16]. In a case cohort study of acute and full length of the foot; Figures 2B, C). The most common
chronic phase stroke patients with PF spasticity, injec- AFO type used to support walking in hemiplegic gait is a
tion of botulinum into the triceps surae resulted in a rigid AFO [38]. A solid AFO positions the ankle in a fixed
trend toward decreased knee hyperextension, but this position at the talocrural, subtalar, and midtarsal joints
trend was not significant [17]. Other proposed treat- and is suited for subjects who lack sufficient strength in
ment modalities for GR include specialized technology- both ankle dorsiflexors and plantar flexors. Some ankle
based gait retraining techniques that are designed to range of motion with ankle DF and PF is needed for use
improve upon conventional physical therapy, which in- of hinged AFOs [36]. An articulated AFO with a posterior
cludes overground gait retraining and verbal feedback stop, also known as a PF stop, allows use of ankle
to improve gait [7,24]. plantar flexors but supports ankle dorsiflexion, which is
In a study of acute stroke patients, the majority wore necessary for foot clearance in the swing phase [36].
hinged or double-adjustable AFOs, which may have Hence, we suggest that AFOs with specific modifica-
contributed to beneficial effects of locomotor training tions individualized and custom made to the predomi-
[24]. The use of a KAFO in chronic postecerebrovascular nant biomechanical factor may be useful as a primary
accident hemiplegic subjects (N ¼ 11) resulted in a starting point for correction of GR in patients with
significant reduction in knee hyperextension angle when hemiplegia. AFOs offer the advantage of being a con-
measured with gait analysis [20]. However, KAFOs are servative treatment option and have improved weight
bulky and noticeable, and although they are effective in and cosmesis compared with KAFOs, and their use has
controlling the knee, they have a significant weight, field familiarity.
cosmetic drawbacks, and lack of patient compliance
[1]. In a small study of patients with GR who received an Future Research Implications
AFO for poststroke hemiplegia, use of an AFO with a PF
stop decreased hyperextension angle, although this Although our assertion is supported by experience
trend was not statistically significant [25]. Heel lifts presented here with a small number of subjects from a
alter the GFR line by altering the angle of the tibia diverse patient population and by the use of simple
relative to the floor, placing the tibia into relative clinical outcome measures such as manual muscle
dorsiflexion [36,37]. Thus, it has been suggested that strength testing, both of these limitations reflect real-
use of heel lifts may improve hyperextension during the istic and common treatment settings for GR. Given the
stance phase. In a pilot study examining AFO modifica- success of our approach and pilot study data from
tions and their effect on GR in hemiplegic gait, heel lifts Fatone and colleagues [25], we are certain that a pro-
and shortened foot plates were included, but neither spective clinical trial of AFOs as an option to treat GR
promoted a significant effect on knee hyperextension would be informative.
[25]. Of these orthotic interventions, many are Ideally, in such a study, subjects would be adult
cumbersome (KAFOs), invasive (tibial neurotomies), or stroke hemiplegic patients who were ambulatory prior
difficult to implement outside of academic medical to sustaining a stroke and currently in the chronic phase
centers (locomotor gait training). (>6 months) of recovery. A proposed algorithm based on
We are unaware of a study that has prospectively our observation is presented in Figure 3. Exclusion
evaluated effective treatments in a significant number criteria should include comorbid neuromuscular im-
of hemiplegic patients with GR who have diverse clinical pairments. Outcome measures have been recommended
etiologies (eg, spasticity, hamstring weakness, and loss by the StrokEDGE Taskforce of the American Physical
of proprioception) or that has tested a stepwise, Therapy Association (2011), which reviewed available
comprehensive treatment approach. The advantages outcome measures and ranked them, using an ordinal
and disadvantages of using various AFO types to treat GR grading system based on clinical utility and psycho-
are not well studied, and evidence-based indications for metric properties. Based on these recommendations, a
various types of AFOs are lacking. In this study, the clinical diagnosis of GR should be confirmed by goni-
successful use of AFOs with specific modifications based ometer or gait analysis. Evaluation of muscle spasticity
M. Appasamy et al. / PM R 7 (2015) 105-112 111

because we need to understand the impact of GR


treatment on long-term outcome measures, including
incidence and time course of the development of OA at
the knee, as previously described. Additional subjective
measures, such as subject-reported knee pain, should
also be included.

Conclusions

Custom-made AFOs with modifications based on the


underlying biomechanical factor can help to improve or
eliminate GR in hemiplegic patients. Treatment of GR
may prevent or lessen many long-term changes pro-
moted by GR. For example, what would happen to the
incidence of OA among stroke survivors if GR was
treated? The potential to prevent or lessen long-term
changes promoted by GR is a compelling motivation to
investigate the causes, treatment, and implications of
GR in the stroke survivor population.

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Disclosure

M.A. Department of Physical Medicine and Rehabilitation, Hofstra North Shore O.B. Feinstein Institute for Medical Research Manhasset, NY; Department of
Long Island Jewish Health System, Manhasset, NY. Address correspondence to: Physical Medicine and Rehabilitation, Hofstra North Shore Long Island Jewish
M.A.; 2014 Reserve Dr, Philadelphia, PA 19145; e-mail: apmala01@gmail.com School of Medicine, Manhasset, NY
Disclosure: nothing to disclose Disclosure: nothing to disclose

M.E.D. Department of Physical Medicine and Rehabilitation, Hofstra North Shore A.O. Department of Physical Medicine and Rehabilitation, Hofstra North Shore
Long Island Jewish Health System, Manhasset, NY Long Island Jewish Health System, Manhasset, NY
Disclosure: nothing to disclose Disclosure: nothing to disclose

N.P. Adventist Rehabilitation Hospital, Rockville, MD Preliminary data from this study were presented in a poster at the American
Disclosure: nothing to disclose Academy of Physical Medicine & Rehabilitation Annual Assembly, November
15-17, 2012, Atlanta, Georgia.
N.Y. Department of Physical Medicine and Rehabilitation, Hofstra North Shore Submitted for publication December 18, 2012; accepted October 12, 2014.
Long Island Jewish Health System, Manhasset, NY
Disclosure: nothing to disclose

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