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Lumbar Lordosis of Extinct Hominins
Lumbar Lordosis of Extinct Hominins
Lumbar Lordosis of Extinct Hominins
ABSTRACT The lordotic curvature of the lumbar spine the spines of eight extinct hominins. The results were also
(lumbar lordosis) in humans is a critical component in the compared with the LAs of modern humans and modern
ability to achieve upright posture and bipedal gait. Only nonhuman apes. The lordotic angles of australopithecines
general estimates of the lordotic angle (LA) of extinct homi- (418 6 4), H. erectus (458) and fossil H. sapiens (548 6 14)
nins are currently available, most of which are based on are similar to those of modern humans (518 6 11). This
the wedging of the vertebral bodies. Recently, a new analysis confirms the assumption that human-like lordotic
method for calculating the LA in skeletal material has curvature was a morphological change that took place dur-
become available. This method is based on the relationship ing the acquisition of erect posture and bipedalism as the
between the lordotic curvature and the orientation of the habitual form of locomotion. Neandertals have smaller lor-
inferior articular processes relative to vertebral bodies in dotic angles (LA 5 298 6 4) than modern humans, but
the lumbar spines of living primates. Using this relation- higher angles than nonhuman apes (228 6 3). This suggests
ship, we developed new regression models in order to calcu- possible subtle differences in Neandertal posture and loco-
late the LAs in hominins. The new models are based on pri- motion from that of modern humans. Am J Phys Anthropol
mate group-means and were used to calculate the LAs in 000:000–000, 2011. V 2011 Wiley-Liss, Inc.
C
The lordotic curvature of the lumbar spine (lumbar condition where one vertebra slides forward relative to
lordosis) in humans is a critical component in the ability adjacent vertebrae. This relative movement between ver-
to achieve upright posture. Along with pelvic tilt and the tebrae can compromise spinal nerve function. Conse-
angulation of the sacrum within the pelvis, lumbar lor- quently, it seems clear that an appropriate amount of
dosis brings the upper body over the lower limbs and lumbar lordosis is important to normal function in
allows the load from the upper body to be applied via humans.
the vertebral column and sacrum to the pelvis and legs Lordotic curvature is defined herein as the angle
(Gracovetsky and Iacono, 1987; Farfan, 1995; Whitcome between the superior endplate of the first sacral vertebra
et al., 2007). These three characteristics act in tandem and the superior end plate of the fifth presacral verte-
to locate the line of gravity of the body close to the ace- bra. Only general estimates of the LA of extinct homi-
tabulum. Lumbar curvature influences, and is influenced nins are available today, usually based on the wedging of
by, the morphology of the anterior pillar (formed by the the vertebral bodies. These descriptions of the LA of the
vertebral body and intervertebral disks) and posterior fossils indicate where the specimen’s morphology
pillar (formed by the articular processes and the lami-
nae) of the spine, the pelvis, and the thoracic cavity
(Sanders, 1998; Harrison et al., 2002; Lovejoy, 2005;
Jang et al., 2009; Been et al., 2010a). Grant sponsor: Ministerio of Educación (Programa Nacional de
When lordosis is out of sync with the other features, Movilidad de Recursos Humanos del Plan Nacional de I1D1I 2008-
allowing the line of gravity to deviate from its alignment 2011); Grant sponsor: Ministerio de Ciencia e Innovación (Proyecto);
near the acetabulum, people can have substantial com- Grant number: CGL2009-12703-C03-03; Grant sponsor: European
plications, including functional issues such as a reduc- Community Research Infrastructure Action (SYNTHESYS Project;
http://www.synthesys.info/; FP6 ‘‘Structuring the European
tion in stride length and walking velocity and spinal Research Area’’ Programme).
pathologies. For instance, people with LAs below the
normal range of 30–808 exhibit a short stride and slow *Correspondence to: Ella Been, Department of Anatomy and
walking speed (Grasso et al., 2000; Sarwahi et al., 2002; Anthropology, Sackler Faculty of Medicine, Tel Aviv University, Tel
Hirose et al., 2004). Because of the flattening of their Aviv 69978, Israel. E-mail: beenella@post.tau.ac.il
normal lordosis, their line of gravity lies anterior to the
acetabulum, necessitating hip and knee flexion. On the Received 26 September 2010; accepted 15 September 2011
other side of the lordosis continuum, people with hyper-
lordosis (lordotic curvature greater than the normal DOI 10.1002/ajpa.21633
range) have a higher tendency to develop spondylolisthe- Published online in Wiley Online Library
sis (Antoniades et al., 2000), a potentially debilitating (wileyonlinelibrary.com).
C 2011
V WILEY-LISS, INC.
2 E. BEEN ET AL.
resembled or differed from that of modern humans (Rob- (52); nine apes including four chimpanzees (Pan troglo-
inson, 1972; Latimer and Ward, 1993; Sanders, 1998; dytes), two gorillas (Gorilla gorilla), two orangutans
Ward, 2002; Whitcome et al., 2007; Weber and Pusch, (Pongo pygmaeus), and one gibbon (Hylobates sp.);
2008). For instance, the vertebral specimens of Australo- Lemur (8); Saimiri (4); and Saguinus (3). For the nonhu-
pithecus africanus (STS 14) have been described as hav- man primates, standard lateral lumbar radiographs
ing vertebral body wedging similar to that of humans were obtained with the anesthetized subjects lying on
(Whitcome et al., 2007). On the basis of these estimates their sides with flexed shoulders, hips, and knees in a
from vertebral wedging, most researchers agree that position as relaxed and as close to a natural posture as
both australopithecines and H. erectus had lumbar LAs possible. Preuschoft et al. (1988) demonstrated that
within the normal range of modern humans (Robinson, lateral spinal radiographs of anesthetized monkeys
1972; Latimer and Ward, 1993; Sanders, 1998; Ward, (M. fuscata) exhibit similar spinal angulations to the lat-
2002; Whitcome et al., 2007), presumably in response to eral radiographs of naturally standing (quadrupedal)
constraints similar to those apparent in humans. monkeys. Our naturally flexed position is similar to the
However, since the discovery of the nearly complete position described by Preuschoft et al. (1988).
skeleton of La Chapelle-aux-Saints in 1908 (Bouyssonie Some researchers have claimed differences in the lum-
et al., 1908), an ongoing debate over the LA of Neander- bar LA between men and women and that these were
tals (H. neanderthalensis) has existed. On the one hand, also present in A. africanus (Whitcome et al., 2007). In
Trinkaus (1983), Arensburg (1991), and Cleuvenot (1999) the orthopedic literature, no consensus exists regarding
have argued that the LA of Neandertals is within the potential differences in LAs between men and women.
normal range for modern humans. On the other hand, Although some researchers found no differences in LAs
other scholars have found that the LA of Neandertals is between the sexes (Lin et al., 1992; Takao et al., 2010),
smaller than that of modern humans (Boule, 1911–1913; others have found that females have slightly more lor-
Weber and Pusch, 2008; Been et al., 2010a). Definitive dotic lumbar spines than do males, but the difference is
understanding of the degree of lumbar lordosis in Nean- only 28–38 (Vialle et al., 2005). In our sample, the differ-
dertals requires more than simple description of verte- ence for the LA (LA) between the male and female
bral wedging. means is 18, a nonsignificant difference (Been et al.,
Recently, a new method for calculating the LA in skel- 2007). Consequently, we have used a pooled sex sample.
etal material has become available (Been et al., 2010a).
This method is based on the relationship between the Fossil samples
lordotic curvature and the orientation of the inferior
articular processes in the lumbar spines of living human The lumbar vertebrae (PS1-PS5) of eight fossil homi-
and nonhuman primates. Because the method uses a nins were measured. These included two Pliocene
measurement taken within each vertebra, articulation of australopithecines (Sts-14 and Stw-431), one Lower Pleis-
the entire lumbar spine is not required. This work dem- tocene H. erectus (KNM–WT 15000), three Neandertals
onstrated that 89% of the variation in the lordotic curva- from the Upper Pleistocene (Shanidar 3, La Chapelle-
ture in living primates is related to the orientation of aux-Saints, and Kebara 2), and two fossil H. sapiens from
the inferior articular process (Been et al., 2010a) and not the late Upper Pleistocene (Cro-Magnon 1 and 3). Details
dependent on soft tissue morphology. Thus, this method regarding these fossils are included in Table 1. In two
should be a reliable predictor of the lumbar LA in disar- cases, radiographs were not available to us (KNM-WT
ticulated hominin spines, as long as extinct hominins 15000 and Stw-431); so, we used lateral photographs
exhibit the same relationship as do living primates. instead (See Table 2). These photographs clearly showed
The aims of this study are, therefore, first, to calculate all relevant anatomy. Isolated intact vertebra, such as
a specific statistical model for calculating the lordotic those from AL 288-1, Stw H8/41, and Régourdou 1, were
curvature for each extinct hominin specimen. This is not included in this analysis because the standard error
necessary because the fossil specimens vary in the num- of estimation of the regression equation exceeded 108
ber of preserved vertebrae. The second aim is to calcu- (See Methods section below). Other potentially interest-
late the lordotic curvature of the lumbar spines of ing specimens for our study like those from the early
extinct hominins using these statistical models. Finally, Upper Pleistocene sites of Skhul and Qafzeh do not pre-
based on our results, we will examine the evolution of serve intact lumbar vertebrae, so we could not include
lordotic curvature in hominins. them in our analysis.
MATERIALS METHODS
Radiographic analysis Angular measurements
A total of 106 lateral radiographs of modern humans The modal number of lumbar vertebrae varies among
(after Been et al., 2010a) and 76 lateral radiographs of primate species. For example, the lumbar spine of Lemur
nonhuman primates were examined. All radiographs and Macaca has seven lumbar vertebrae, whereas the
met the following criteria: (1) from adult living subjects lumbar spine of Pan has only four lumbar vertebrae
with no detectable radiographic abnormalities (e.g., (Schultz, 1961). The difference in vertebral number is
degeneration or reduced disk height) and (2) high resolu- not only restricted to the lumbar segment but also pres-
tion with a clearly visible lumbar spine. The modern ent in the thoracic and sacral regions (Pilbeam, 2004).
human sample included 106 adult humans (56 men and Because LA is dependent on the number of vertebrae
50 women) from Israel. The radiographs were taken included in the calculation (Harrison et al., 2001; Vialle
when the subjects were standing with arms flexed across et al., 2005), comparison of results among genera with
their chests. different numbers of lumbar vertebra requires standardi-
The nonhuman primates included the spinal (lumbar) zation. Thus, we have chosen a presacral segment of five
radiographs of Macaca fuscata and Macaca fasicularis vertebrae which is the number of lumbar vertebrae in
modern and fossil H. sapiens, Neandertals, and H. hei- Gómez-Olivencia, 2009; Bonmatı́ et al., 2010). Australo-
delbergensis (McCown and Keith, 1939; Trinkaus, 1983; pithecus and H. erectus could arguably have six rather
Arensburg, 1991; Haeusler et al., 2002; Pilbeam 2004; than five lumbar vertebrae (Robinson, 1972; Walker and
4
TABLE 2. Inferior articular process angles (AP) and vertebral body wedge angles (B; in degrees) of modern humans, extinct hominins, and nonhuman primates
Articular process angle (AP) Vertebral body wedge angles (B)c
Species Individual Source PS5 PS4 PS3 PS2 PS1 SAP PS5 PS4 PS3 PS2 PS1 SB
H. sapiens Cro-Magnon 1 Radiograph 100 93 M 101 108 27 24 5
H. sapiens Cro-Magnon 3 Radiograph 99 108 107 98 126 538 22 0 4 5 11 18
H. sapiens average 99.5 100.5 107 99.5 117.0 24.5 22 4 5 8
H. neanderthalensis Kebara 2 Radiograph 88 87 89 98 103 465 27 27 27 22 9 215
H. neanderthalensis La Chapelle- Radiograph 87 M F 102 101 26 25 1 6
aux-Saints
H. neanderthalensis Shanidar 3 Radiograph 89 F 95 99 F 29 25 24 1 10 27
E. BEEN ET AL.
H. neanderthalensis 88.0 87 92.0 99.7 102 27 26 25.5 0 8 211
average
H. erectus KNM WT-15000 Photograph F F 109 101 100 25 5.5 11
Australopithecus STS - 14 Radiograph F 101 93 98 F 23 21 0 3 4 3
africanus
A. africanus Stw - 431 Photograph F 99 98 108 101 25 21 21 0 8 1
Australopithecus 100 96 103 101 24 21 20.5 1.5 6 2
average
Modern Homo x̄ 6 SD Radiograph 94 6 5 97 6 5 100 6 6 106 6 6 113 6 7 510 6 15 23 6 3 216 3 063 263 863 6 6 10
sapiensb (n 5 106)
Macacaa (n 5 52) x̄ 6 SD Radiograph 87 6 4 87 6 5 89 6 5 89 6 4 88 6 5 440 6 15 27 6 4 27 6 3 27 6 4 25 6 4 22 6 5 228 6 16
Apes (n 5 9)b x̄ 6 SD Radiograph 95 6 5 95 6 3 94 6 1 93 6 3 93 6 4 471 6 7 26 6 3 25 6 2 23 6 2 21 6 2 1.5 6 2 213 6 4
Lemur (n 5 8)a x̄ 6 SD Radiograph 83 6 3 85 6 3 86 6 3 87 6 2 88 6 2 430 6 10 24 6 2 23 6 2 23 6 2 23 6 2 22 6 2 216 6 5
Saimiri (n 5 4)a x̄ 6 SD Radiograph 91 6 3 90 6 4 89 6 6 93 6 3 94 6 10 456 6 23 23 6 1 23 6 2 22 6 2 21 6 2 21 6 1 29 6 8
Saguinus (n 5 3)a x̄ 6 SD Radiograph 83 6 6 88 6 7 85 6 4 89 6 2 95 6 11 440 6 28 24 6 1 26 6 0 25 6 2 23 6 2 23 6 4 221 6 8
M, vertebra missing; F, vertebra present but fragmentary.a After Been et al. (2010a).
b
The sample is composed of four chimpanzees (Pan troglodytes), two gorillas (Gorilla gorilla), two orangutans (Pongo pygmaeus), and one gibbon (Hylobates sp.).
c
Vertebral body wedge angles (B): Negative value indicates kyphotic wedging; Positive value indicates lordotic wedging.
HOMININ LORDOSIS 5
SAP 2 206.8.
in extant primates; Average sum of articular process angle (SAP) for different combinations of presacral vertebrae (to accommodate the intact vertebrae of the extinct hominins)
The individual species data for apes is provided for informational purposes only; it was not used in the regression analysis.In this table, we present the average lordotic angles
SAP8 (PS1-PS4)
LA 5 0.618 3
whereas in the ape group, we combined the results for
Stw - 431
P. troglodytes, G. gorilla, P. pygmaeus, and Hylobates sp.
0.95
416
353
376
347
365
357
3.9
(Table 3). We recognize that grouping nonhuman apes,
but separating Saimiri and Saguinus might at first
seem illogical, but we were constrained in our sampling
ability. All of the nonhuman primates were captive ani-
mals, and the radiographs were obtained during veteri-
SAP 2 231.7.
(PS2, PS3, PS4)
LA 5 0.923 3
nary exams, except for those from the macaques, which
STS - 14
were obtained for research purposes. Consequently, our
SAP8
0.92
303
265
283
259
271
261
4.7
sample is one of convenience and we could neither obtain
equal numbers of individuals of all species nor could we
obtain all species that we would have preferred to have.
Some genera (Gorilla, Pongo, and Hylobates) are repre-
sented by only one or two individuals, while other gen-
era have more. All of the nonhuman apes had similar
SAP 2 186.2.
(PS1, PS2, PS3)
LA 5 0.744 3
WT-15000
LAs (Table 3), but Saimiri and Saguinus are different.
KNM
We created the primate groups, then, based on phylog-
0.964
SAP8
3.36
319
266
280
261
276
269
Shanidar 3
265
282
256
273
257
4.8
aux-Saints
La Chapelle-
(PS1, 2, PS5)
0.96
313
264
282
259
277
269
3.4
Cro-Magnon 1
LA 5 0.645 3
0.94
4.22
410
351
377
344
367
355
Kebara2
0.948
SAP8
440
471
470
465
469
477
430
456
440
22 6 3
23 6 5
9 6 17
RESULTS
Regression models based on primate
group-mean method
Formula applied to:
estimation (SEE)
Modern H. sapiens
Hylobates (n 5 1)a
Gorilla (n 5 2)a
Saimiri (n 5 4)
Lemur (n 5 8)
Average SAP8
Pan (n 5 4)a
Apes (n 5 9)
Fig. 3. Correlation between lordotic angle (LA) and sum of inferior articular process (SAP), based on primate group means. Lin-
ear fit with 95% bivariate normal ellipse. These ellipses are both density contours and confidence curves. As confidence curves, they
show where a given percentage of the data is expected to lie. ~5 modern human; ! 5 Nonhuman apes; h 5 Macaca; l 5 Lemur;
* 5 Saimiri; * 5 Saguinus.
articular process wedging and the lordotic curvature and Regression models based on modern
low standard errors of estimation (SEE \ 5; Table 3 and human-only method
Fig. 3). The resultant lordotic curvatures of the fossil
hominins and the formulae used to calculate them are Regression models (that predict the lordotic curvature)
summarized in Table 4. were also developed from the sum of the inferior articular
8
TABLE 4. Calculated lumbar lordotic angles of extinct hominins
Regression model based on Calculated Regression model based on Calculated
Sample Individual Measured vertebrae SAP primate group-mean method lordosis modern human only method lordosis
Fossil H. sapiens Cro-Magnon 1 PS1, PS2, PS4, PS5 402 LA 5 0.645 3 402 2 215.6 44 LA 5 0.63 3 SAP 2 208 46
R2 5 0.94, SEE 5 4.22 R2 5 0.55, SEE 5 7.5
Fossil H. sapiens Cro-Magnon 3 PS1-PS5 538 LA 5 0.528 3 538 2 220.5 64 LA 5 0.565 3 SAP 2 237 67
R2 5 0.948, SEE 5 4.04 R2 5 0.62, SEE 5 6.8
Fossil H. sapiens x̄ 6 SD 54.0 6 14.1 56.5 6 15
average
E. BEEN ET AL.
H. neanderthalensis Kebara 2 PS1-PS5 465 LA 5 0.528 3 465 2 220.5 25 LA 5 0.565 3 SAP 2 237 26
R2 5 0.948, SEE 5 4.04 R2 5 0.62, SEE 5 6.8
H. neanderthalensis La Chapelle-aux-Saints PS1, PS2, PS5 290 LA 5 0.799 3 290 2 200 32 LA 5 0.693 3 SAP 2 167 34
R2 5 0.96, SEE 5 3.4 R2 5 0.40, SEE 5 8.6
H. neanderthalensis Shanidar 3 PS2, PS3, PS5 283 LA 5 0.911 3 283 2 226.7 31 LA 5 0.636 3 SAP 2 140 40
R2 5 0.926, SEE 5 4.8 R2 5 0.42, SEE 5 8.5
H. neanderthalensis x̄ 6 SD 29.3 6 3.8 33.3 6 7
average
H. erectus KNM-WT 15000 PS1, PS2, PS3 310 LA 5 0.744 3 310 2 186.2 45 LA 5 0.61 3 SAP 2 144 45
R2 5 0.964, SEE 5 3.36 R2 5 0.37, SEE 5 8.8
A. africanus STS - 14 PS2, PS3, PS4 292 LA 5 0.923 3 292 2 231.7 38 LA 5 0.62 3 SAP 2 136.4 44
R2 5 0.929, SEE 5 4.7 R2 5 0.45, SEE 5 8.2
A. africanus Stw - 431 PS1, PS2, PS3, PS4 406 LA 5 0.618 3 406 2 206.8 44 LA 5 0.61 3 SAP 2 203 45
R2 5 0.95, SEE 5 3.9 R2 5 0.54, SEE 5 7.5
Australopithecus x̄ 6 SD 41.0 6 4.2 44.5 6 1
average
HOMININ LORDOSIS 9
Fig. 4. Lumbar lordotic angles of extinct hominin speci- Fig. 5. Lumbar lordotic angles of extinct hominins, modern
mens. humans and apes. Diamond 5 average; Bar 5 one standard
deviation.
* 5 , P \ 0.05; **5 , P \ 0.01. We have underscored those LA values outside the range of the comparison sample.If we apply the
Dunn-Šidák correction for multiple comparisons [1 2 (1 2 a)1/n] with an a 5 0.05 and four groups considered (modern humans,
apes, Neandertals, and australopithecines) the threshold value obtained for significance 0.0127, and only Neandertals would signifi-
cantly depart from modern humans.
Mann-Whitney’s U-test (Table 5). The individual mates as individuals and are consistent with the LAs
specimens of fossil H. sapiens, H. erectus, and Australo- calculated based on the modern human-only method.
pithecus have LAs that are within the normal range for Previous reports of the vertebral wedging, (Latimer
modern humans and above the normal range for extant and Ward, 1993; Sanders, 1998; Ward, 2002; Whitcome
nonhuman apes. Two of the three Neandertal specimens et al., 2007), are also consistent with the LAs found
(La Chapelle-aux-Saints and Shanidar 3) have LAs that using the primate group-means method. Nonhuman apes
are at the lower end of the normal range for modern have small LAs [228 6 2, (Abitbol, 1995); 228 6 3 current
humans (Z-score between 1.5 and 1.96), but significantly study] and kyphotic lumbar vertebral bodies [SB 5 2198
above modern nonhuman apes. One Neandertal speci- (Latimer and Ward, 1993); SB 5 2138 6 4, current
men (Kebara 2) has a very small LA (258), which is study]. Neandertals also have small LAs (298 6 3) and
below the normal range for modern humans and within kyphotic lumbar vertebral bodies (SB 5 2118, current
the normal range for modern nonhuman apes. study). Species with high LAs (LA [ 408) have lordotic
Kruskal-Wallis tests between the LA values of modern wedging of their vertebral bodies: modern humans [SB
H. sapiens, modern nonhuman apes, H. neanderthalen- 5 68 (Vialle et al., 2005; SB 5 68 6 10 current study),
sis, Australopithecus, and fossil H. sapiens indicate sig- fossil H. sapiens (SB 5 188current study) and Australo-
nificant differences among these groups. To localize these pithecus (SB8 5 18 (Whitcome et al., 2007); SB 5 28, cur-
significant differences, we performed Mann-Whitney rent study].
pairwise tests (See Table 5). Both fossil H. sapiens and All of these comparisons yield the same pattern among
Australopithecus have LAs that are within the normal the hominin species, providing us with confidence that
range for modern humans and above the normal range the pattern we have reported is robust. Although it is
for modern nonhuman apes. It is interesting to note that possible that fossil hominins could exhibit a relationship
the LA values of Neandertals are significantly below the between articular process angle and LA that is different
values for modern Homo sapiens, but significantly above from that found among all primates sampled or among
nonhuman ape values (Table 5). If we apply the Dunn- only modern humans, it seems unlikely.
Šidák correction for multiple comparisons [1 2 (1 2 a)1/
n
] with an a 5 0.05 and four groups considered (modern Lordotic angle
humans, nonhuman apes, Neandertals, and australopi-
thecines), the threshold value obtained for significance is This study is the first to publish angular values for
0.0127, and Neandertals are significantly different from the LAs of extinct hominins. Australopithecines (LA 5
modern humans. 418 6 4, 95% CI 5 35–47), H. erectus (LA 5 458), and
fossil H. sapiens (LA 5 548 6 14, 95% CI 5 35–73) have
LAs that overlap the range of lordosis in our modern
DISCUSSION human sample (LA 5 518 6 11, 95% CI 5 49–53). The
Regression models finding of human-like LAs in australopithecines and
H. erectus is in agreement with previously published
The statistical models that were developed to calculate data (Robinson, 1972; Latimer and Ward, 1993; Sanders,
lordosis in fossil hominins (based on the primate group- 1998; Ward, 2002; Whitcome et al., 2007). Lordotic cur-
mean method) have coefficients of determination vature, in combination with pelvic tilt on the leg and
between inferior articular processes angles and LAs of sacral tilt within the pelvis, allows the upper body to be
[0.9, as well as standard errors of estimation \78. The balanced above the acetabulum. It has also been sug-
LAs calculated with the primate group-mean method gested, based on pelvic morphology, that the lordotic cur-
were confirmed by calculating models considering all pri- vature of Ardipithecus ramidus was already greater
Limitations
Our study is limited by several issues. First, even
though we have used all the fossils available to us, the
fossil sample is small and that lessens the power of any
inferential statistical methods. Consequently, we have
had to rely mostly on descriptive analysis. New findings,
especially of lower Pleistocene H. erectus sensu lato,
should help us to better understand the evolution of
lumbar lordosis in hominins.
Second, some of the fossil specimen show marked Fig. 6. Schematic diagram of the evolution of the lumbar
pathologies such as degenerative changes (Cro-Magnon 1, curvature. Dramatic increase in lordotic angle from the ape
Shanidar 3), spondylosis or brucellosis (Stw-431), condition to australopithecines. Lordotic angle stays constant
Baastrup disease (La Chapelle-aux-Saints and Shanidar 3), for H. erectus and the common ancestor of modern humans and
and nonossification of the spinous processes (Kebara 2). Neandertals. Then two parallel changes occurred: the lordotic
curvature of H. sapiens slightly increased and the lordotic
These pathologies are typically found in most modern
curvature of Neandertals decreased.
human populations, and there is no evidence to indicate
that these pathologies affect the degree of lordotic curva-
ture (Maes et al., 2008; Papadakis et al., 2010).
Third, one of our specimens (KNM-WT 15000) is a seems unlikely as parsimonious considerations exclude
juvenile with a suspected axial dysplasia (Latimer and it. It is our contention that with the acquisition of biped-
Ohman, 2001), and therefore, it might exhibit different alism lordosis increased—from a degree similar to that
LAs than a fully adult specimen. We include it because the of modern nonhuman apes (small lordosis) to the high
fossil record of lumbar spinal elements is sparse for early lordosis seen in australopithecines, H. erectus and
genus Homo but recognize that future work might render H. sapiens. The Neandertals, then, represent a reversal
any evidence from it moot. In any case, elimination of in this morphological trend.
it from our sample would not change our conclusions. The LA shows an increase in lordosis from the primi-
Finally, reconstructing LA without soft tissue requires tive condition, preserved in modern nonhuman apes
that we understand the relationship between the inter- (208 258) to australopithecine and H. erectus (40 45)
vertebral discs and lumbar lordosis. Fortunately, the and then to H. sapiens (50 55), while Neandertals
models we employ are based on radiographs of the lum- show a decreased lordosis (30) when compared with
bar spines of living individuals, that is, that possessed other hominins (Fig. 6). The lack of fossil lumbar spines
both the vertebral bodies and the intervertebral discs from early genus Homo is frustrating, because their mor-
(Been et al., 2010a), and intervertebral discs do not con- phology would provide important clues to understanding
tribute to differences in overall lordosis as much as does the evolution of lumbar lordosis.
vertebral wedging (Been et al 2010b). This suggests that A normal lumbar lordosis (within the range of 308–808,
the absence of intervertebral discs would not change the see Bernhardt and Bridwell, 1989; Jackson et al., 2000;
conclusions presented herein. Kimura et al., 2001; Harrison et al. 2001) plays a major
role in bipedal walking in modern humans, as it serves as
Evolutionary Perspective on Lumbar Lordosis a shock absorber, helps maintain minimal perturbations
of the head, and helps create the moment that moves the
Given that Neandertals exhibit less lumbar curvature pelvis and the legs during bipedal walking. Although
than other hominins, a critical question obtains: do lumbar lordosis plays a role in the maintenance of an
Neandertals retain the primitive configuration of small efficient upright posture, it also adds a certain amount of
LAs as seen in extant nonhuman apes? This proposition compliance for locomotion and protects the posterior
Fig. 7. Sacral and lumbar posture of modern humans (A) and Neandertals (B). Note the smaller lordotic angle and more hori-
zontal sacral endplate of the Neandertal spine.
spinal ligament system from excess strain (Gracovetsky direction (anteroposterior, mediolateral, or both) the
and Iacono, 1987; Bogduk, 1997; Vialle et al., 2005). Neandertal thorax was larger. In any case, it is reasona-
The events or selective pressures that generated ble to link the biomechanical differences that a larger
smaller lumbar lordosis in the Neandertal lineage com- thorax would impose to the spinopelvic balance and the
pared with other hominins are not immediately obvious. presence of a less lordotic lumbar spine in Neandertals.
We can hypothesize that the lumbar lordosis is related The Neandertal pelvis is wide (bilaterally) with a long
to other distinctive Neandertal postcranial features like bi-iliac breadth, long and slender superior pubic rami,
the lower limb, pelvic and thoracic morphology (Rak, and the acetabulum is posterior relative to the pelvic
1991; Franciscus and Churchill, 2002; Polk, 2004; inlet, compared with H. sapiens (Rak and Arensburg,
Gómez-Olivencia et al., 2009). These differences may 1987; Rak, 1990; 1993). Rak (1993) postulates that Nean-
indicate postural and locomotive differences in the Nean- dertal gait is less efficient than that of modern humans
dertal lineage compared with that of our species. and that the Neandertal pelvis lacks the shock-absorbing
Lordotic curvature in humans appears to correlate mechanism with which H. sapiens is equipped. A posteri-
with pelvic and thoracic morphology. Small LAs usually orly situated acetabulum requires smaller LAs in order
correlate with a vertical sacrum (horizontally oriented to adjust the weight of the upper body above the pelvis,
sacral endplate) and small thoracic kyphosis (Fig. 7; but small LAs are less efficient at shock absorption,
Harrison et al., 2002; Lovejoy, 2005; Boulay et al., 2006; which is in accordance with Rak’s interpretation of the
Jang et al., 2009), although there are also cases of small Neandertal pelvis.
LAs accompanied by normal or even hyperkyphotic Small LAs in humans are correlated with short stride
thorax (Harrison et al., 2002). Examining the wedging of length, slow walking velocity and an anteriorly flexed
the Neandertal thoracic vertebrae may help to resolve trunk (Grasso et al., 2000; Sarwahi et al., 2002; Hirose
that discrepancy (Goh et al., 1999). et al., 2004, Jang et al., 2009). Nonetheless, less-lordotic
Neandertals are known to have a larger thorax than spines are clearly more stable and less mobile than
modern humans. The shape of the thorax is also differ- more-lordotic lumbar spines (Scholten et al., 1988) and
ent: the uppermost and lowermost ribs are similar to can carry heavy loads without developing high shear
those of modern humans but mid-thoracic ribs are signif- stress on the lumbar structures (Shirazi-Adl and Par-
icantly larger (Gómez-Olivencia et al., 2009). Some nianpour, 1999; Meakin et al., 2008). If this holds true
authors propose that Neandertals show a larger antero- for Neandertals, it might suggest, on the one hand, that
posterior dimension compared with modern humans Neandertals were better adapted to carry heavy loads
based on the ribs of Shanidar 3 (Franciscus and Church- and, potentially, to engage in generally more rigorous
ill, 2002) or based on the clavicular proportions of upper body activities (Pearson, 2000; Weaver, 2009). On
several Neandertals. From the ribs of Tabun C1, Wein- the other hand, it might suggest that Neandertals had a
stein (2008) proposes that the thorax of this individual short stride length and slower walking velocity com-
was expanded mediolaterally. Because of taphonomical pared with modern humans as has been suggested by
distortion of ribs from Kebara 2 (and also Tabun C1), Polk (2004). Nonetheless, if the upper body is more dor-
Gómez-Olivencia et al. (2009) did not propose in which sally oriented, then less lordosis would be needed to