Neuromuscular Disorders - A. Zaher (Intech, 2012) WW PDF

Edited by Ashraf Zaher
NEUROMUSCULAR
DISORDERS
Neuromuscular Disorders
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Neuromuscular Disorders, Edited by Ashraf Zaher

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Contents
Preface IX
Chapter 1 Integrins in the Development

and Pathology of Skeletal Muscle 1
Susan C. Brown, Ulrich Mueller and Francesco J. Conti
Chapter 2 Facioscapulohumeral Muscular Dystrophy:

From Clinical Data to Molecular Genetics and Return 21
Monica Salani, Elisabetta Morini,
Isabella Scionti and Rossella Tupler
Chapter 3 AON-Mediated Exon Skipping

for Duchenne Muscular Dystrophy 55
Ingrid E. C. Verhaart and Annemieke Aartsma-Rus
Chapter 4 Psychosocial Support Needs

of Families of Boys with
Duchenne Muscular Dystrophy 81
Jean K. Mah and Doug Biggar
Chapter 5 Comparison Between Courses of Home

and Inpatients Mechanical Ventilation
in Patients with Muscular Dystrophy in Japan 105
Toshio Saito and Katsunori Tatara
Chapter 6 Myopathy in Autoimmune Diseases –

Primary Sjögren’s Syndrome and Dermatomyositis 117
Fumio Kaneko, Ari Togashi, Erika Nomura,
Teiji Yamamoto and Hideo Sakuma
Chapter 7 Dermatomyositis 129

Fred van Gelderen
Chapter 8 Interstitial Pneumonia in Dermatomyositis 143

Tohru Takeuchi, Takuya Kotani and Shigeki Makino
VI Contents
Chapter 9 IBMPFD and p97, the Structural

and Molecular Basis for Functional Disruption 155
Wai-Kwan Tang and Di Xia
Chapter 10 Congenital Myasthenic Syndromes –

Molecular Bases of Congenital Defects
of Proteins at the Neuromuscular Junction 175
Kinji Ohno, Mikako Ito and Andrew G. Engel
Chapter 11 Motor Neuron Disease 201

Hamdy N. El Tallawy
Chapter 12 Spinal Muscular Atrophy 221

Yasser Salem
Chapter 13 Respiratory Muscle Aids in the Management of

Neuromuscular Respiratory Impairment to Prevent
Respiratory Failure and Need for Tracheostomy 235
A. J. Hon and J. R. Bach
Chapter 14 Neuromuscular Diseases in the Context

of Psychology and Educational Science 253
Andrea Pieter and Michael Fröhlich
Preface
Recent advances in the understanding of the genetics and basic mechanisms of

neuromuscular diseases have been both rapid and spectacular. Furthermore, these
advances have resulted in an expansion of the methods used for diagnosis—from
routine clinical histologic and electrophysiologic tests to more specific techniques,
such as biochemical and Western Blot analysis, and, most important, molecular genetic
testing. These modern techniques have begun to replace more costly and painful
procedures for some patients.
Although the goal of our specialty is to find cures or effective treatments for
neuromuscular disorders, the management of symptoms to improve quality of life is
still paramount. Ambulation and survival can be prolonged with well-planned
rehabilitation programs, orthopaedic surgery, and proper early management of
cardiac, respiratory, and gastrointestinal complications, particularly in patients with
motor neuron diseases and muscular dystrophy. Prolonged survival has changed the
care of these patients. For example, in the past patients with Duchenne muscular
dystrophy generally died of respiratory failure before they developed symptomatic
cardiac disease; now they are living longer and require aggressive treatment of their
cardiac complications to further prolong their lives.
Many excellent textbooks and treatises dedicated to the understanding of the basic
mechanisms of clinical and laboratory diagnoses of neuromuscular diseases also
include discussions of treatment but this information is not comprehensive. In this text
we aim to cover the current treatment and management of these subjects and to
discuss promising experimental therapies.
The introductory chapter is a brief overview of the Integrins in the development and
pathology of skeletal muscle—information that we hope will be helpful to young
clinicians. The next several chapters discuss neuromuscular disorders and their
general management, such as rehabilitation, orthopaedic surgery, and cardiac,
gastrointestinal, and respiratory care. The balance of the chapters covers specific
diseases as well as the basic mechanisms of these disorders.
The information in each chapter is intended to complement that in others, although

occasionally there are minor repetitions. When possible, evidence-based treatment
X Preface
recommendations are given, particularly for the more common conditions, though we
emphasize that the treatment of all patients should be individualized. For less
common disorders, for which controlled trials have not yet been published,
recommendations are based on published information and the authors’ experience.
I am honored and grateful for the collaboration of an excellent group of renowned

specialists. They have generously contributed their time and expertise to make what
we hope is a textbook that is useful for all physicians who care for patients with
neuromuscular disorders.
Ashraf Zaher, MD
Lecturer and Consultant of Neurology,
University of Mansoura, Mansoura,
Egypt
1
Integrins in the Development

and Pathology of Skeletal Muscle
Susan C. Brown1, Ulrich Mueller2 and Francesco J. Conti3,*
1Veterinary
Basic Sciences, The Royal Veterinary College, London,
2DorrisNeuroscience Center and Department of Cell Biology,
The Scripps Research Institute, CA,
3Dubowitz Neuromuscular Centre, Institute of Child Health,
University College London,

1,3UK
2USA
1. Introduction
1.1 Adhesion of muscle fibres to the extracellular matrix
Skeletal muscle is composed of many multinucleated myofibres each of which is
surrounded by a connective tissue matrix that is essential for the function and the structural
integrity of muscle. Apposed to each myofibre is a basement membrane, composed of a
mixture of extracellular matrix (ECM) proteins, including collagen, fibronectin,
glycoproteins (laminins, perlecan and nidogen) and proteoglycans. The proteins bind to
multiple receptors expressed on the surface of muscle fibres: this is most notable at the level
of the Z discs where an assembly of cytoskeletal proteins including dystrophin and integrins
maintain continuity between the contractile apparatus, cytoskeleton and the ECM. This
association of proteins is commonly referred to as the costamere, which is derived from the
Latin word costa, meaning rib, because they encircle the whole muscle fibre and are
arranged at regular intervals, thus conferring the appearance of a rib-like structure (Ervasti,
2003). Costameres are the means by which mechanical stress generated by contraction is
diffused laterally across the myofibre. An additional structure where stress is transmitted to
the ECM is the myotendinous junction (MTJ), where a connection to the tendon is made at
the termini of muscle fibres (Tidball, 1991). This tight association between the muscle fibre
and its surrounding matrix not only confers tensile strength to the entire muscle but also
plays an important role in development, regeneration and synaptogenesis (Sanes, 2003).
Indeed genetic defects in proteins that localise to the costameres and MTJs are a common
cause of muscle disease, underscoring their importance in maintaining normal muscle
function (Campbell and Stull, 2003).
The two main adhesion systems recognised in striated muscle are the dystrophin-associated
protein complex (DPC) and the integrins. Each system is composed of transmembrane
* Corresponding Author
2 Neuromuscular Disorders
proteins that bind to the ECM, and of cytoplasmic proteins that connect to the cytoskeleton
and transmit biochemical signals. The DPC is composed of several proteins, which include
- and -dystroglycan that bind to laminin, dystrophin that connects to the cytoskeleton,
and associated proteins such as sarcoglycans and neuronal nitric oxide synthase (nNOS).
These proteins have the important function to confer mechanical integrity to the plasma
membrane, which otherwise would break following muscle contraction. Indeed, this occurs
in patients with mutations in DPC components, and present with several types of severe
muscle disease, including Duchenne Muscular Dystrophy (DMD) and various forms of
Limb Girdle Muscular Dystrophy (Bushby, 1999; Barresi and Campbell, 2006).
While integrins also establish a connection between the ECM and cytoskeletal and signalling
proteins, the two complexes are biochemically distinct. As we will see below, integrins
appear dispensable for the mechanical integrity of the sarcolemma, but have important
functions during all stages of muscle development.
2. Integrins
Integrins are transmembrane receptors that connect via the extracellular domain to
extracellular matrix (ECM) ligands such as collagen, laminin and fibronectin, and via the
intracellular domain to the actin cytoskeleton and to a variety of signaling and adaptor
proteins. Each integrin is a heterodimer composed of an - and a -subunit. In mammalian
cells 18  and 8  subunits have been characterized, and are known to assemble to form 24
distinct integrin heterodimers, with the combination of - and - subunits determining
ligand specificity. These play essential functions during development and in adult tissues.
Accordingly, genetic ablation of individual subunits in mice leads to defects in tissues
including brain, skin vasculature, lung, kidneys, inner ear, placenta, skeletal and cardiac
muscle (Hynes, 2002).
The cytoplasmic domain of both the - and -integrin subunits is devoid of catalytic activity,
but it binds to an array of proteins that mediate integrin effects on cell function. It is
currently estimated that over 150 proteins are associated with integrin adhesion sites
(Zaidel-Bar et al., 2007). Of these, we will discuss those that to date have been shown to be
important in skeletal muscle. Some play structural roles, conferring mechanical integrity to
myofibres by connecting integrins to the actin cytoskeleton, and others play signaling roles,
by eliciting a biochemical response to mechanical stimuli caused by muscle contraction.
2.1 Developmental expression of integrins in skeletal muscle

Several integrins are expressed in myoblasts and muscle fibres, including v3-integrin, 4-
integrin (associated with 1 or 2), and 1-integrin with the 1, 2, 3, 5, 6, 7 or 9
subunits (Gullberg et al., 1998; Mayer, 2003; Thorsteinsdottir et al., 2011). Expression of these
subunits is regulated, with regards both to the stage of muscle development and to the
localization within muscle fibres (Thorsteinsdottir et al., 2011). Some integrin subunits (1A,
4, 5, 6, 7b and v) are detected in the somites and in myoblasts. During myotube
formation, expression of most subunits is downregulated, and adult muscle fibres express
the 1D subunit, paired with 7a, 7b, and 9. The subcellular distribution of these integrin
Integrins in the Development and Pathology of Skeletal Muscle 3
subunits is also regulated: 7a is found at the MTJ, 7b at the sarcolemma, MTJ and
neuromuscular junction (NMJ), 3- and v-integrins are localized to the NMJ, and 9-
integrin appears to be uniformly distributed along the sarcolemma (Wang et al., 1995;
Martin et al., 1996). We will discuss here the functions identified for integrins in muscle, and
refer the reader to recent reviews for details on the regulation of somitogenesis and NMJ
formation by integrin-ECM interactions (Singhal and Martin, 2011; Thorsteinsdottir et al.,
2011).
While the expression pattern of the different subunits is well characterized, the precise
function of many remains to be addressed. Genetic ablation of integrins in mice has not
always been informative in this regard. For instance, mice with an ablation of 1-, 9- and
v-integrins present no defects in skeletal muscle (Gardner et al., 1996; Bader et al., 1998;
Huang et al., 2000). Mice with a genetic ablation of 3- and 6-integrins, die too early to
study the long-term functions of integrins in skeletal muscle maintenance (Georges-
Labouesse et al., 1996; Kreidberg et al., 1996). The distribution of laminin 5, which is the
main ligand for 3-integrin, suggests a possible function in maturation of the muscle fibre
and of the NMJ, since its initial expression throughout the basal lamina of developing
myotubes becomes restricted to the NMJ in the first 3 weeks following birth (Nishimune et
al., 2008). This is also consistent with 3-integrin expression being concentrated at the
presynaptic NMJ (Martin et al., 1996).
Muscle defects have also been identified in mice with ablation of 5- and 7-integrins
(Taverna et al., 1998; Mayer et al., 1997). 5-integrin is a receptor for fibronectin, and is
expressed transiently during myotube differentiation. Ablation of 5-integrin in mice leads
to early embryonic lethality with defects in mesoderm, vascular development and neural
crest (Yang et al., 1993; Goh et al., 1997), but mice chimeric for this subunit survive
postnatally and develop a form of muscular dystrophy (Taverna et al., 1998). No patients
have been identified with mutations in 5-integrin possibly because, extrapolating from the
data obtained in the mutant mouse models, null mutations are likely to be non viable. 7-
integrin has been shown to play important functions in muscle in animal models and
human patients, where mutations lead to a form of congenital muscular dystrophy (Mayer
et al., 1997; Hayashi et al., 1998). Whilst it is possible that an in-depth analysis of the -
integrin subunit knockout mice would reveal muscle defects, for example in response to
stressors such as exercise or mechanical damage, the apparent absence of a reported
phenotype for some of these mice might be explained by redundancy. This possibility is
supported by the generation of mice with a muscle specific ablation of the 1-subunit, which
leads to the concomitant ablation of all 1-integrins (Schwander et al., 2003). These mice
die shortly after birth, probably because of respiratory failure, with severe developmental
defects in the muscle caused by impaired myoblast fusion and altered assembly of the
sarcomere.
3. Integrins in skeletal muscle development

Fusion of myoblasts is essential for the formation of a syncytial myofibre, and it occurs in
distinct steps: (i) migration of myoblasts to achieve cell proximity; (ii) contact between
myoblasts and alignment of the plasma membranes; (iii) breakdown of the plasma
membrane at the site of fusion, leading to the formation of fusion pores (iv) merging of the
cytoplasmic contents (Chen et al., 2007). While the identity of the proteins leading to plasma
membrane breakdown is unknown, studies in recent years have led to the identification of
several components of the fusion machinery, most notably elucidating the importance of
actin remodeling (Rochlin et al., 2010).
3.1 1-integrin and talin

A direct involvement of integrins in the regulation of myoblast fusion in vertebrates has
been obtained using genetically modified mice. Ablation of 1-integrin in developing
muscle has revealed important functions in cell-cell fusion and assembly of the sarcomere
(Schwander et al., 2003). 1-deficient mice died at birth, with histological analysis showing
that many myoblasts failed to fuse. In vitro analysis showed that fusion defects could be
rescued when wild-type and 1-deficient myoblasts were mixed, suggesting that
heterophilic interactions of 1-integrin with an unidentified receptor may be important.
Analysis of cultured myoblasts by electron microscopy showed that plasma membranes
aligned properly, but fusion pores failed to open, indicating that integrins are not essential
for the alignment of myoblasts, but affect a subsequent step in fusion. The analysis of mice
lacking the integrin effectors talin 1 and talin 2 suggests that signaling to the cytoskeleton
may be important in this respect.
Talin 1 and 2 are expressed by two distinct genes (tln1 and tln2) and present a high degree of
homology (74% identity in the amino acid sequence)(Senetar and McCann, 2005). They bind
to cytoskeletal proteins such as actin and vinculin, and signaling effectors that include focal
adhesion kinase (FAK) and PIPK1, which regulate the assembly of focal adhesions
(Critchley, 2004). The two isoforms are essential to mediate 1-interin functions in myoblasts
ablation of talin 1 and talin 2 in muscle (tln1/2-dKO) resulted in defects similar to those
observed following ablation of 1-integrin: mice died shortly after birth, with abnormal
development of the musculature, including defects in myoblast fusion, sarcomere assembly
and in the clustering of 7-integrin, vinculin and integrin-linked kinase (ILK) at the MTJ
(Conti et al., 2009). The tetraspanin CD9, which has been implicated in sperm-egg fusion
(Kaji et al., 2000; Hemler, 2001), was mislocalised in 1-deficient muscle, but localized
normally at the interface of tln1/2-dKO myoblasts, and integrin activation was also normal,
suggesting that outside-in signaling mechanisms may be responsible for the fusion defects
(Conti et al., 2009). In this respect, it is interesting to note that several of the proteins
implicated in myoblast fusion are controlled by integrins, specifically, the Rho GTPases Rac1
and Cdc42, and associated proteins such as Dock180 (Laurin et al., 2008; Pajcini et al., 2008;
Vasyutina et al., 2009). In mouse, vinculin, an actin- and talin-binding protein (see below)
accumulates at the interface of fusing myoblasts, and genetic ablation of Rac and Cdc42
causes a reduction in this accumulation (Vasyutina et al., 2009). Furthermore, ablation of
two other integrin effectors, FAK and filamin C, leads to compromised myoblast fusion
(Dalkilic et al., 2006; Quach and Rando, 2006). These data are indicative of a possible
involvement of integrins in regulating actin dynamics at the sites of fusion, although this
still needs to be demonstrated directly.
Fig. 1. Integrins are essential for myoblast fusion. Prior to fusion, migrating myoblasts
elongate and make contact between their plasma membranes. Integrins localise at the cell
interface, and are important for the formation of fusion pores, i.e. the breakdown of plasma
membrane that precedes mixing of cytoplasmic content. In vitro experiments suggest that
integrins interact heterophylically with an as yet unidentified counterreceptor (X in upper
image). The mechanisms by which this occurs are unclear, but fusion defects are also
observed following ablation of filamin C, talin 1 or talin 2, which are important actin
regulators, suggesting that changes in cytoskeletal dynamics are important. Abbreviations:
FLNC = filamin C; TLN = talin 1 or talin 2; FAK = focal adhesion kinase;  = as yet
unidentified 1-integrin associated -subunit. X = putative (unidentified) counter receptor
for 1-integrin.
3.2 Filamin C
Filamins are actin binding proteins that cross-link actin filaments into orthogonal networks.
They bind to over 30 proteins, including integrins and actin, through which they perform
many functions, including modulation of cell adhesion to the ECM, cell migration, mechanical
strengthening of the plasma membrane, and the activation of signaling networks.
Mammalians express three filamin isoforms, termed filamin A, B and C. Filamins A and B are
widely expressed, and play essential functions in the development of a variety of tissues.
Expression of filamin C is mostly restricted to skeletal and cardiac muscle, where it localizes to
the sarcolemma and to the Z-disk, and interacts with several proteins associated with
muscular dystrophies, including calpain-3and sarcoglycans (Zhou et al., 2010).
Downregulation of filamin C in C2C12 myoblasts via siRNA causes an impairment of cell-

cell fusion, defective elongation of myotubes, and impaired gene expression during
myoblast differentiation, including myogenin, caveolin 3 and 7-integrin (Dalkilic et al.,
2006). An important function for filamin C in muscle differentiation was confirmed by
analyzing mice in which its expression was genetically ablated. Filamin C-knockout mice
died at birth likely because of respiratory failure, and presented with severe defects in
myogenesis abnormal morphology of myofibres and a loss of muscle mass. While these
defects partly overlap with those of 1-integrin and tln1/2-dKO mice, the phenotypes differ
in that fusion and sarcomere defects are less pronounced, indicating that filamin C is not
essential for 1-integrin function in muscle and that some of its effects are likely due to the
interaction with other binding partners (Dalkilic et al., 2006).
Mutations in filamin C have been identified in patients with late-onset myopathies,
characterized by progressive muscle weakness. Mutations in the C-terminal dimerization
domain lead to myofibrillar myopathy, characterized by the accumulation of intracellular
aggregates constituted of filamin C and various Z-disk associated proteins (Vorgerd et al.,
2005; Lowe et al., 2007). The mutations are localized to the dimerization domain of filamin C,
and cause the formation of a truncated protein that cannot form dimers, implying that
dimerization is important for its function. Recently, mutations in filamin C have also been
identified in patients with distal myopathies. These mutations are localized in the N-terminal
actin-binding domain of filamin C, and induce increased actin binding. However, unlike the
situation in patients where mutations are in the C-terminus, no protein aggregates accumulate
in myofibres, suggesting that the pathological mechanisms differs from those observed in
patients with mutations in the dimerization domain (Duff et al., 2011).
4. Structural connections of integrins to the cytoskeleton

Given the crucial functions played by integrins during skeletal muscle development, as
determined by the studies in vitro and on animal models mentioned above, it is surprising
that few defects in integrin function have been associated with muscle disease in patients. In
fact, with the exception of 7-integrin and filamin C (Mayer et al., 1997), mutations in
integrin effectors have been linked to defects in the heart but not in skeletal muscle. This is
in contrast with the mutations in DPC, which have been identified as being the most
common causes of muscular dystrophy (mutations the dystrophin gene alone affect
approximately 1:3500 male births)(Goyenvalle et al., 2011). This could be due to mutations
in integrins or integrin effectors being very rare, or to the pathology not being clearly
identified, which would complicate the selection of patients for genetic screening. Although
integrins and the DPC provide a similar link between laminin and the actin cytoskeleton,
ablation of the two protein complexes leads to a different spectrum of muscle defects, and
despite extensive analysis, the specific functions of each protein complex remain unclear.
4.1 71-integrin
71-integrin is a receptor for laminin in the basement membrane, localizes to costameres,
NMJs and MTJs, and is the sole integrin known to be expressed in adult skeletal muscle (Bao
et al., 1993; Martin et al., 1996). The intracellular domain of 7-integrin is spliced to produce
two main isoforms, termed 7a and 7b. Their expression is tightly regulated during
myoblast differentiation and muscle regeneration, and this regulation is conserved across
mammals, suggesting that the specific roles played by these isoforms are important (Collo et
al., 1993; Ziober et al., 1993; Cohn et al., 1999). The 7b isoform is expressed at higher levels
in proliferating myoblasts and adult fibres, while the 7a isoform is expressed upon
terminal differentiation. These 7-integrin splice variants bind with equal affinity to
laminin, thus differences probably reside in binding to intracellular integrin effectors. It has
been suggested that the splice variants may differ in the regulation of myoblast
differentiation (Samson et al., 2007), as 7a interacts with Def-6, a guanine nucleotide
exchange factor (GEF) for the Rho GTPase Rac-1 that has been implicated in the regulation
of myoblast fusion. However, mice in which 7-integrin is ablated (7-KO) are viable and
present with normal muscle development, indicating that 7-integrin is not essential for
myogenesis in vivo (Mayer et al., 1997). Instead, 71-integrin plays an important structural
role in skeletal muscle by mediating a connection of actin to the sarcolemma at the MTJ. In
7-KO mice this connection fails, leaving a space filled with vesicular and amorphous
material, and the mice developed a progressive myopathy, characterised by muscle
weakness and a mild accumulation of centrally nucleated fibres (Mayer et al., 1997; Miosge
et al., 1999). 7b-integrin has been shown have a protective effect against mechanical
damage. Following exercise, expression of 7-integrin is upregulated in muscle, and
exercise-induced damage is increased in 7-KO mice (Boppart et al., 2006). A protective
function for 7-integrin is supported by studies in which the 7bX2 splice variant was
overexpressed in mice. The transgenic mice showed a reduced activation of the MAPK
pathway, associated with injury, and of AKT, mTOR and p70s6k, associated with
hypertrophy, and presented with reduced muscle damage in response to exercise (Boppart
et al., 2008). It is interesting to note that 71-integrin is increased in the muscle of patients
with DMD and of mdx mice (Hodges et al., 1997). Thus, upregulation of 71-integrin might
be a natural mechanisms to increase the resistance of muscle to injury in the absence of
dystrophin and indeed, enhanced 7-integrin expression alleviates muscular dystrophy in
transgenic mice lacking dystrophin and utrophin (Burkin et al., 2001; Burkin et al., 2005).
Mutations in 7-integrin have been associated with muscle disease in humans: three
Japanese patients were identified with a deficiency in 7-integrin, caused by deletion or
frame-shift mutations in the itga7 gene (Hayashi et al., 1998). Similar to the phenotype of 7-
KO mice, the muscle in patients presented with no signs of necrosis and creatine kinase
values that were only slightly elevated, indicating no major damage to the sarcolemma.
However, the clinical phenotype was severe: patients presented with delayed motor
milestones from early childhood, and in one case mental retardation. Follow up of one of the
patients showed a severe progression of the disease, comparable to that of DMD, which led
the patient to be wheelchair bound by the age of 12 (Nakashima et al., 2009). Thus, while the
initial classification was that of a congenital myopathy, patients with a clinical presentation
of congenital muscular dystrophy should also be considered for screening for integrin 7-
deficiency. As no new patients have been diagnosed with a deficiency of 7-integrin since
the initial identification, mutations appear to be rare.
4.2 Talin
Of the proteins that bind to the cytoplasmic domain of integrins, studies have revealed
important functions for talin in mediating the connection to myofilaments at the MTJ. In
Drosophila, ablation of the talin gene (mys), induces detachment of actin filaments from the
integrin cytoplasmic domain at muscle termini (Brown et al., 2002). Two talin isoforms are
expressed in vertebrates, with talin 2 being most expressed in skeletal and cardiac muscle,
while talin 1 is ubiquitous (Monkley et al., 2001). Muscle-specific ablation of talin 1 was
achieved using conditional gene inactivation in muscle, as knockout of the talin 1 gene
causes early embryonic lethality. In contrast, mice in which talin 2 was ablated were viable
(Monkley et al., 2000; Conti et al., 2009). Both talin1-KO and talin2-KO mice presented with
defects in skeletal muscle similar to those obtained following ablation of 7-integrin,
consisting in structural failure at the MTJ, and a limited accumulation of centrally nucleated
fibres, with no obvious damage to the sarcolemma. Consistent with the expression data, the
phenotype was more severe in talin2-KO mice (Conti et al., 2008; Conti et al., 2009).
Interestingly, adult muscle expresses a splice variant of integrin 1-integrin, termed 1D,
which binds to F-actin with greater affinity than the ubiquitous 1A isoform (Belkin et al.,
1997; van der Flier et al., 1997). The data suggest a model whereby a strong connection
between the ECM and actin is established at the MTJ by complexes of 71D-integrin and
talin 2, and, to a lesser extent, talin 1. In the absence of 7-integrin or of talin 2, stress
induced by muscle contraction leads to mechanical failure at the MTJ.
4.3 Centrally nucleated fibres in myopathies

The reason for the accumulation of centrally nucleated fibres in muscles lacking integrins or
talin is unclear. In muscular dystrophies, central nuclei are associated with regenerating
fibres that are thought to form because the absence of DPC proteins causes fragility to the
plasma membrane and necrosis of myofibres (Davies and Nowak, 2006). This does not occur
when integrins are affected: patients with null mutations in the itga7 gene have only mildly
elevated plasma creatine kinase, and there is no evidence of damage to the sarcolemma in
mice deficient in 7-integrin and talin 1 or 2 (Hayashi et al., 1998; Conti et al., 2008; Conti et
al., 2009). Thus integrins appear dispensable for maintaining the structural integrity of the
sarcolemma and other mechanisms must account for the presence of centrally nucleated
fibres. One possibility is that cytoskeletal alterations might affect nuclear positioning. For
example, internal nuclei were observed in mouse models lacking proteins that regulated actin
organization and membrane trafficking, such as myotubularin 1, dynamin 2 and -actin,
without evidence of damage to the sarcolemma (Buj-Bello et al., 2002; Bitoun et al., 2005;
Sonnemann et al., 2006), but whether integrins regulate nuclear anchorage, it is at present
unknown. Alternatively, integrins might be essential to provide survival signals to myofibres.
In particular, signaling from FAK, which associates with talin, is important to suppress
apoptosis in cultured cells (Lim et al., 2008). These signals might be perturbed in 7-KO and
talin2-KO mice, leading to loss of myofibres and regeneration.
4.4 Vinculin
Vinculin is a ubiquitous component of focal adhesions that establishes a connection between
integrins and an array of cytoskeletal proteins, including paxillin, talin, actin and the
Arp2/3 complex, among others (Ziegler et al., 2006). In skeletal muscle, vinculin localizes to
costameres, MTJ and NMJ (Bao et al., 1993), and in cardiac muscle, to costameres and
intercalated disks (ICDs). Its expression levels are regulated by mechanical stress, and
studies on cells in culture have revealed a function for vinculin in sensing mechanical
stimuli and in reinforcing the connection of integrins to the actin cytoskeleton (Giannone et
al., 2003; del Rio et al., 2009; Margadant et al., 2011). Cardiac myocyte-specific excision of the
vinculin gene reveals an essential function for the structural integrity of the heart, where
ICDs become disorganized and present with an altered distribution of the ICD proteins
cadherins and connexin 43. Likely because of these defects, sudden death was found in
about half of the transgenic mice, caused by ventricular tachycardia. The mice that survived
developed dilated cardiomyopathy and died by 6 months of age (Zemljic-Harpf et al., 2007).
Mutations in the splice variant metavinculin, which includes an additional exon, have been
identified in patients with dilated or hypertrophic cardiomyopathy, including deletions and
missense mutations (Maeda et al., 1997; Olson et al., 2002; Vasile et al., 2006). A missense
mutation in a vinculin-specific exon (L277M) was identified in a patient with hypertrophic
cardiomyopathy, which led to a reduction in vinculin levels in ICDs (Vasile et al., 2006).
Skeletal muscle problems were not reported for this patient, but the rarity of mutations in
vinculin-specific exons, and the fact that the identified mutations are clustered in the
metavinculin-specific exon, may be attributed to the fact that mutations in the ubiquitously
expressed vinculin splice variant may lead to early lethality, as it occurs in mice (Xu et al.,
1998).
5. Integrin signaling: Responses to mechanical stimuli

Integrins are important sensors of mechanical forces applied to cells (Geiger et al., 2009;
Moore et al., 2010). For instance, the size of focal adhesions can be modulated by altering the
stiffness of the ECM, actomyosin contractility, and by applying forces to specific integrin
subunits (Giannone et al., 2003; Jiang et al., 2003; Moore et al., 2010). It is therefore
significant that, in skeletal muscle, integrins are expressed specifically at costameres and
MTJs, where mechanical stress generated by muscle contraction is transmitted through the
plasma membrane to the ECM (Mayer, 2003). As we will see, integrins signaling is
important for modultating hypertrophy in the heart in response to mechanical and soluble
stimuli. Perhaps surprisingly, it is still unclear whether integrins are also important for
regulating hypertrophy in skeletal muscle.
5.1 1-integrin
No mutations in 1-integrin have been identified in patients, likely because compromised
function would result in early lethality, as it occurs in the knockout mouse model (Fassler
and Meyer, 1995; Schwander et al., 2003). However, mice with a heart-restricted ablation of
1-integrin present impaired contractility and develop ventricular fibrosis and cardiac
hypertrophy in response to transverse aortic constriction (TAC, a procedure in which the
lumen of the aorta is artificially restricted)(Shai et al., 2002). These data indicate that 1-
integrins are essential for a normal response of cardiomyocytes to mechanical stress, and
subsequent analysis identified several proteins associated with 1-integrin that mediate
these effects.
5.2 Integrin-linked kinase (ILK)

ILK is closely associated to 1 and 3-integrins (Hannigan et al., 1996; Zervas et al., 2001;
Wickstrom et al., 2010), and binds to several proteins that relay biochemical signals and
regulate actin dynamics, including paxillin, -and -parvins and PKB. Ablation of ILK in
invertebrates leads to detachment of myofibres at the MTJ, a phenotype similar to that
obtained following ablation of talin (Zervas et al., 2001; Brown et al., 2002). Thus, in
invertebrates, talin and ILK share a common function in the connection of actin to integrins
at the MTJ. In vertebrates, however, MTJ defects following ablation of ILK differ from those
observed in talin 1- or talin 2-KO mice. MTJ defects in ILK-deficient muscle consisted in
discontinuities in the basal lamina and a detachment of actin filaments at the MTJ was not
reported (Wang et al., 2008). ILK was important to stabilize MTJs in response to exercise, a
process that might involve the relay of biochemical signals in association with the insulin
growth factor receptor 1 (IGF-R1), which forms a complex with 1-integrins and plays a role
during muscle repair (Musaro et al., 2001). IGF-R1 signaling was impaired in ILK-deficient
muscle (Wang et al., 2008). Normally, in response to exercise, the insulin growth factor
receptor 1R (IGF-1R) activates PKB/Akt, which in turn activates the kinase mTOR that is
involved in the generation of new myofibrils. This activation was impaired in ILK-deficient
muscle. Interestingly, 1-integrin was associated with IGF-R1, and this association increased
in response to IGF-1. The data suggest a model whereby 1-integrin forms a complex with
IGF-R1 that controls activation of ILK, the PKB/Akt and mTOR pathways to regulate
skeletal muscle regeneration in response to exercise (Wang et al., 2008).
Fig. 2. Integrin function in skeletal and cardiac muscle. In skeletal muscle (right), integrins
establish a connection between the ECM and actin filaments at the myotendinous junction
(MTJ). In cardiac muscle (left), integrins activate hypetrophic signaling pathways, including
PKB/AKT and mTOR, JNK/c-jun and ERK1/2, in response to mechanical and soluble
stimuli. In addition, vinculin ablation leads to destabilization of intercalated disks (ICD). It
is unclear at present whether integrins mediate hypertrophic responses in skeletal muscle.
Abbreviations are: ECM = extracellular matrix; ILK = integrin-linked kinase; FAK = focal
adhesion kinase; TLN = talin 1 or talin 2; VCL = vinculin; CTNA1 = -catenin.
ILK is important for the sensing of mechanical stress in the heart. In the Zebrafish main
squeeze (msq) mutant, isolated through a genetic screen, a missense mutation (L308P) was
identified in the ILK gene (Bendig et al., 2006). Fish develop normally, but their hearts loose
contractility, resulting in pericardial edema. The msq mutation disrupts the interaction with
-parvin, and morpholino-mediated knockdown of -parvin phenocopies the ILK
phenotype. These data suggests that the integrin-ILK--parvin complex is essential for
transducing mechanical stimuli into signaling pathways important for cardiac contractility.
In mice, conditional ablation of ILK in the heart causes dilated cardiomyopathy and sudden
death in response to aortic pressure overload, with altered signaling from proteins involved
in hypertrophy. A missense mutation in the ILK gene (A262V) has been identified in a
patient affected by dilated cardiomyopathy (Knoll et al., 2007), and expression of ILK was
elevated in patients affected by pathological cardiac hypertrophy, with a concomitant
activation of signaling effectors associated with hypertrophic responses, including Rac,
Cdc42, the ERK1/2 pathway and the kinase p70 S6 (Lu et al., 2006). It is at present unclear
whether ILK plays any role in regulating hypertrophy in skeletal muscle.
5.3 Kindlin
Kindlin binds directly to 1-integrins and ILK. Three isoforms are expressed in vertebrates,
named kindlin 1, 2 and 3. The main isoform expressed in skeletal and cardiac muscle is
kindlin 2 (Ussar et al., 2006), which is localized at costameres and ICDs, again suggesting
that it may play a structural role in areas of elevated mechanical stress (Dowling et al.,
2008a). Mutations in kindlin 1 and 3 have been identified in patients affected by skin and
immune disorders, respectively (Jobard et al., 2003; Siegel et al., 2003; Malinin et al., 2009;
Svensson et al., 2009), but no mutations in kindlin 2 have been found in humans. In vitro
studies have shown that kindlin 2 is important for differentiation of myoblasts (Dowling et
al., 2008b), and knockdown of kindlin 2 in Zebrafish caused defective development of several
organs, including skeletal and cardiac muscle, with disruption of ICDs and failure in the
attachment of myofibrils to the membrane (Dowling et al., 2008a). Thus, kindlin 2 may be a
good candidate gene for screening in patients affected by dilated cardiomyopathy or
congenital myopathies.
5.4 FAK
Focal adhesion kinase (FAK) is closely associated with integrins, and following integrin
engagement with ECM ligands, it becomes phosphorylated at tyrosine 397 (Y397). This
creates a binding site for the SH2 domain of Src family kinases, and leads to the activation of
several signaling effectors, including Rho and Rac, PI3K, Akt and the ERK1/2 signaling
pathway (Franchini et al., 2009).
The tyrosine phosphorylation of FAK is rapidly increased following pressure overload in
the rat heart (Franchini et al., 2000), and FAK activates hypertrophic signaling through
PKB/AKT, the ERK1/2 and the JNK/c-JUN pathways. Additionally, FAK signaling
regulates expression of the MEF2 transcription factors, which regulate the expression of
several sarcomeric proteins (Nadruz et al., 2005). Insights on the function of FAK in striated
muscle were obtained by generating mice with a conditional FAK ablation in
cardiomyocytes. These mice developed defects that included thinner ventricular walls,
ventricular septal defects and reduced cell numbers (DiMichele et al., 2006; Hakim et al.,
2007; Peng et al., 2008). However, the function of FAK in the postnatal heart is still unclear,
as studies provide contrasting data on its function in cardiac hypertrophy, reporting either
an increase in hypertrophy following mechanical or chemical stimuli (Peng et al., 2008), or
an impaired hypertrophic response, with reduced expression of ANF and ERK1/2 (Hakim
et al., 2007). The reason for the discrepancy is unclear, but it might be due to differences in
the timing of FAK deletion, in the extent of aortic constriction, or in the genetic background
of the mice.
The conditional inactivation of FAK in skeletal muscle has not been reported. In myoblasts,
the application of mechanical forces to integrins results in FAK phosphorylation, and
induction of hypertrophy in skeletal muscle leads to increased FAK expression and
activation. Conversely, unloading of skeletal muscle leads to a sharp decrease in FAK
activation (Fluck et al., 1999; Carson and Wei, 2000; Laser et al., 2000; Taylor et al., 2000;
Gordon et al., 2001; Kovacic-Milivojevic et al., 2001). The inactivation of FAK in skeletal
muscle would address its function and clarify whether its activity enhances or inhibits
muscle hypertrophy.
5.5 Melusin
Melusin binds directly to 1-integrins and is expressed in skeletal and cardiac muscle,
where it colocalises at costameres with integrins and vinculin (Brancaccio et al., 2003). Its
domain structure includes in the N-terminus repeats of CHORD domain, which bind Zn2+,
and in the C-terminus the integrin binding site and an acidic region resembling domains in
calreticulin and calsequestrin that bind to calcium. In addition, while melusin is not
endowed with catalytic activity, it includes binding sites for SH2- and SH3-domain proteins.
The itgb1 bp2 gene, encoding melusin, was inactivated in mice (Brancaccio et al., 2003). The
mutant mice developed normally and were fertile. The basal structure and function of the
heart were normal. However, when subjected to pressure overload via TAC, melusin-null
mice presented with an impaired hypertrophic response, characterized by a reduction in
myocyte cross-sectional area, ventricular wall thickness and induction of hypertrophic
markers such as atrial neuretic factor and -MHC. These changes led to an enlarged left
ventricular chamber, a decrease in contractile function and eventually cardiac arrest, and
may involve signaling through GSK3 and Akt, as phosphorylation in these proteins was
reduced. Interestingly, unlike what is observed in FAK-deficient mice, infusion with
angiotensin II or phenylephrine did not cause an aberrant hypertrophic response in
melusin-null mice, indicating that melusin is required to specifically sense mechanical but
not biohemical stimuli (Brancaccio et al., 2006; 2003). No overt defects in skeletal muscle
were observed in melusing-knockout mice.
6. Conclusions and future perspectives

In recent years integrins have emerged as key players in skeletal muscle, both during
development, where they are essential for somitogenesis, myoblast fusion and assembly of
the sarcomere, and in the adult, where they play important structural roles, in particular in
conferring mechanical integrity to the MTJ of skeletal muscle, and to ICDs in cardiac muscle
in the heart. Key questions remain to be addressed. For instance, how do the functions of
integrins differ from those of the DPC? While both protein complexes create a link between
the ECM and the actin cytoskeleton, the assortment of proteins that are associated with each
complex differs, and it is likely that specific signaling pathways elicit different biochemical
responses. Studies in the heart indicate that integrins translate mechanical stimuli into
hypertrophic responses. Are they important for regulating hypertrophy in skeletal muscle?
It is also unclear how integrins regulate the process of myoblast fusion, for instance whether
defects in the function of integrins lead to altered actin organization at sites of cell-cell
fusion. Are signaling cascades activated by integrins important for the activation or
recruitment of other effectors that mediate the breakdown of plasma membrane occurring
during cell-cell fusion? Few patients affected by congenital myopathy have been identified
with mutations in an integrin (7). It is unclear still how defects in integrin function lead to
the observed muscle defects, as, unlike for the DPC, breakdown of the sarcolemma is not
usually apparent. This may be elucidated with the identification of additional patients, and
by an in-depth analysis of 7-KO mice. Also, do mutations in other integrins or associated
proteins underlie genetically undiagnosed cases of muscular dystrophy or congenital
myopathy? Talin, kindlin and vinculin are good candidate genes, as genetic studies in
animal models showed essential roles for these proteins in conferring structural integrity to
skeletal or cardiac muscle.
7. Acknowledgements
We would like to thank Dr Yalda Jamshidi (St. George’s University of London) and Dr Sarah
Farmer (Institute of Child Health, UCL, London) for comments on the manuscript. This
work was supported by funding from the Institute of Child Health and Great Ormond Street
Hospitals Biomedical Research Centre (BRC 09DN09), Association Francaise contres les
Myopathies (AFM 14572) (F.J.C.) and from the Muscular Dystrophy Association (S.C.B.).
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2
Facioscapulohumeral
Muscular Dystrophy: From Clinical
Data to Molecular Genetics and Return
Monica Salani2, Elisabetta Morini1, Isabella Scionti1 and Rossella Tupler1,2
1Universita’ degli Studi di Modena e Reggio Emilia,
2University of Massachussets Medical School,
1Italy
2USA
1. Introduction
Facioscapulohumeral muscular dystrophy (FSHD or Dejerine–Landouzy muscular
dystrophy, OMIM #158900) is the third most common hereditary myopathy, with
prevalence of 1 in 20,000 (Padberg, 1982; Mostacciuolo et al., 2009). This disease is
characterized by the progressive wasting of a highly selective set of muscle groups
(Padberg, 1982) and it has been traditionally classified as an autosomal dominant trait (Lunt,
1998; Padberg, 1992). FSHD genetic locus has been mapped on chromosome 4q35 by genetic
linkage analysis (Wijmenga et al., 1990). Interestingly, this muscular dystrophy has not yet
been related to a classical mutation within a protein-coding gene, but rather the disease has
been associated with DNA rearrangements in a polymorphic genomic region consisting of
an array of tandemly repeated 3.3 kb segments, named D4Z4 (Wijmenga et al., 1992b). D4Z4
contains an ORF encoding a putative homeobox protein called “DUX4.” The existence of
native transcripts of DUX4 from D4Z4 single repeats is still controversial (Gabriels et al.,
1999; Hewitt et al., 1994; Lyle et al., 1995), although recent data show evidences of the
presence of the DUX4 transcript from the last D4Z4 unit in FSHD myoblasts (Lemmers et al.,
2010a). The number of D4Z4 repeats varies from 11 to 100 in the general population,
whereas less than 11 repeats are usually present in sporadic and familial FSHD patients. A
very low copy number of 4q35 D4Z4 repeats (1–3) often correlates with an earlier onset and
more severe disease. However no FSHD-linked array has been found to have zero copies of
the repeat unit (Tupler et al., 1996; van der Maarel et al., 2007) suggesting that the repeat
itself plays a critical role in the disease. Alleles with 4-7 repeats are the most frequent in the
FSHD population and are associated with the more common form of FSHD that usually
presents in adulthood, whereas alleles with 8-10 repeats typically display milder disease
phenotypes with reduced penetrance. Nearly identical and equally polymorphic D4Z4
sequences reside on the subtelomere of chromosome 10q (Bakker et al., 1995; Deidda et al.,
1995). The proportion of individuals in the general population carrying 4q or 10q
chromosome ends with repeat arrays entirely or partially transferred between both
chromosomes, is considerable (van Deutekom et al., 1996b; Lemmers et al., 1998; van
Overveld et al., 2000). Rearrangements between 4q and 10q subtelomeres occur in 20% of
subjects and represent an additional complication to FSHD molecular diagnosis. However,

only subjects with reduced number of D4Z4 repeats on chromosome 4, but not on
chromosome 10, develop FSHD. Thus, molecular diagnosis of FSHD is, at this time, based
on the analysis of the D4Z4 polymorphic alleles (Lunt, 1998; Tawil et al., 2010). Despite the
identification of the genetic defect associated with FSHD, the pathologic effects of the
reduction of D4Z4 elements remain largely unknown. The observation of the unique linkage
of the disease with chromosome 4, led to the hypothesis that in cis DNA elements must be
present on D4Z4 reduced alleles to explain disease onset. An element within D4Z4 has been
shown to behave as a silencer that provides a binding site for a transcriptional repressing
complex (Gabellini et al., 2002). These results suggest a model in which reduction of D4Z4
leads to the inappropriate transcriptional derepression of proximal chromosome 4-specific
genes. Indeed, closely located genes such as FSHD Region Gene 2 (FRG2), FSHD Region
Gene 1 (FRG1), and Adenine Nucleotide Translocator (ANT1), with high myopathic
potential, were observed to be transcriptionally upregulated in FSHD muscle (Gabellini et
al., 2002). However, studies testing this model obtained conflicting results with some
showing support (Gabellini et al., 2002; Rijkers et al., 2004; Klooster et al., 2009; Bodega et al.,
2009), and others not (Winokur et al., 2003b; Jang et al., 2003; Osborne et al., 2007; Masny et
al., 2010). These discrepancies prevented a general consensus on the role of 4q35 genes
upregulation in FSHD pathogenesis. Recently it has been proposed that FSHD arises from
chromosomes bearing a short D4Z4 repeat array associated with a novel polyadenylation
signal capable of stabilizing DUX4 mRNA from the normally transcriptionally inactive
DUX4 gene. However, there is reason to believe that this model does not account for all
FSHD cases. For example, several studies described FSHD patients carrying full-length
D4Z4 alleles that are clinically indistinguishable from FSHD subjects carrying D4Z4 reduced
alleles. Conversely, there is a high percent of normal individuals, unrelated to any FSHD
patients, with reduced D4Z4 alleles (Scionti et al., 2012b). Most importantly it has been
recently showed that the polymorphism adding the polyadenylation signal to DUX4 RNA,
is common in the general population. Thus, just a portion of subjects carrying this molecular
signature develops FSHD (Scionti et al., 2012b). Consequently, the number of D4Z4 repeats
at 4q35 by itself or in association with a specific haplotype, does not to fully explain FSHD
development. The non linear correlation between the number of D4Z4 elements and FSHD
expression raises the question whether or when FSHD can be considered a simple
autosomal dominant mendelian disorder, or if a more complex picture should be considered
in clinical practice. Indeed, recent findings suggest that epigenetic modification at the
disease locus, such as DNA methylation (de Greef et al., 2008), histone modifications (Zeng
et al., 2009) or chromosomal architecture (Petrov et al., 2006) can be altered in FSHD
patients, adding further levels of complexity. Undeniably, the incomplete knowledge of
molecular mechanism(s) leading to FSHD onset has hampered the possibility of developing
effective therapeutic strategies. This chapter aims to discuss the recent advances in our
understanding of FSHD pathology viewed against its clinical heterogeneity, considering all
the factors that can contribute to the complexity of this elusive disease.
2. FSHD Clinical features: Role of D4Z4 repeats reduction

2.1 Clinical features
Facioscapulohumeral muscular dystrophy is considered an autosomal dominant myopathy
characterized by progressive atrophy and weakness of a highly selective set of muscle
Facioscapulohumeral Muscular Dystrophy: From Clinical Data to Molecular Genetics and Return 23
groups (Padberg, 1982). The onset of the disease is in the second/third decade of life and
usually involves weakness of facial mimic muscles. The clinical presentation is characterized
by an initially restricted distribution of weakness starting with asymptomatic facial weakness
followed by scapular fixator, humeral, truncal, and lower extremity weakness. The onset of
lower-extremity weakness is typically in the anterior leg compartment, presenting with
footdrop. Extraocular and bulbar muscles are typically spared. Although facial weakness is
perhaps the most recognizable aspect of FSHD, affected individuals from otherwise clinically
typical families may have no or minimal facial weakness (Flanigan et al., 2004). Weak
abdominal muscles result in a protuberant abdomen and contribute to the lumbar lordosis.
Lower abdominal muscles are weaker than the upper abdominal muscles, causing a strikingly
positive Beevor’s sign, a physical finding fairly specific for FSHD. In advanced cases, hip
girdle may be as affected or more than shoulder girdle muscles, making difficult the clinical
distinction between FSHD and limb-girdle muscular dystrophy. A notable distinctive feature
of FSHD is that muscle weakness displays an asymmetric distribution, which does not
correlate with the handedness of the individual (Brouwer et al., 1992). The chronology of
disease progression is unpredictable; for example, long periods of stability can be followed by
sudden and dramatic worsening. In addition, there is a wide variability in the spectrum of
disease among patients, ranging from subjects with very mild muscle weakness, who are
almost unaware of being affected, to those who are wheelchair-dependent. This variability in
disease penetrance was exemplified by a set of monozygotic male twins who carried the same
genetic mutation but were affected by FSHD to a dramatically different extent (Tupler et al.,
1998). Electromyography and histological analysis reveal non-specific myopathic changes
associated, in some cases, with neurologic aspects. The creatine kinase (CK) level can be
moderately increased or normal. Thus, diagnosis of FSHD is mainly based on the clinical
phenotype in combination with a molecular test (Lunt et al 1995; Lunt, 1998). Ancillary
features such as sensorineural deafness or retinal vasculopathy have been also reported in
FSHD patients, but they are not to be considered decisive criteria for FSHD diagnosis
(Fitzsimmons et al., 1987; Padberg et al., 1995; Trevisan et al., 2008).
2.2 Molecular diagnosis

The FSHD genetic defect does not reside in mutation of any protein-coding gene. Instead
FSHD has been causally associated with reduction of the number of 3.3 kb DNA elements at
the subtelomeric region of chromosome 4q. When digested with the restriction enzyme
EcoRI the FSHD allele originates a fragment of 35 kb in size or shorter that can be detected
by Southern analysis using the probe p13E-11 (Wijmenga et al., 1992b). The polymorphic
genomic region, identified by probe p13E-11, consists of an array of tandem repeat 3.3-kb
segments (hereafter referred to as D4Z4 repeats), such that the variation in the size of EcoRI
fragments is due to variability in the number of D4Z4 repeats (van Deutekom et al., 1993)
(Figure 1). Normal subjects carry p13E−11 EcoRI alleles longer than 50 kb (>10 D4Z4 units)
originating from chromosome 4 whereas alleles of 35 kb or shorter (≤ 8 D4Z4 units) are
present in the majority of either de novo or familial FSHD patients (Lunt, 1998). De novo
reduced allele transmitted by an affected parent to the offspring co-segregate with the
disorder (Griggs et al., 1993). New mutations account for a surprisingly high percentage of
FSHD patients (10%−33%) (Padberg et al., 1995; Zatz et al., 1995). This high incidence can be
partly explained by the presence of parental mosaicism for 4q short alleles that has been
reported in 19% of de novo cases (Upadhyaya et al.; 1995, Köhler et al.; 1996, Lemmers et al.,
2004). The presence of somatic mosaicism for a rearrangement of D4Z4 was found in as
much as 3% of the general population (van der Maarel et al., 2000), suggesting that the D4Z4
repeat is highly recombinogenic.
A complication of molecular testing by Southern analysis is represented by the presence of a
polymorphic region recognized by probe p13E-11 at the subtelomeric region of chromosome
10q, which shares numerous homologies with the 4q subtelomere (Bakker et al., 1995; Deidda
et al., 1996). The repeat element at 10q is 98% identical to D4Z4 at 4q, and the size of 10q EcoRI
alleles varies between 11 and 300 kb (1-100 D4Z4 units). Moreover, 10% of these alleles are
shorter than 35 kb (8 D4Z4 units) (Bakker et al., 1996; Bakker et al., 1995), overlapping the 4q
alleles. Clearly these overlapping features can interfere with the molecular diagnosis of FSHD.
Nevertheless the presence of a BlnI restriction site within the 3.3 kb element associated with
chromosome 10q allows the discrimination between 4q and 10q alleles (Deidda et al., 1996). As
a result, Southern blot hybridization of EcoRI and EcoRI/BlnI digested genomic DNA is used
for the molecular diagnosis of FSHD (Lunt, 1998) (Figure 1).
Fig. 1. Schematic representation of Polymorphisms at the 4q and 10q subtelomeres.

Schematic representation of the method used to calculate D4Z4 repeat numbers from EcoRI-
fragment sizes. Seven and eight D4Z4 repeats (31-36 kb EcoRI fragment size) were defined to
be the upper diagnostic range for FSHD. D4Z4 repeat units on chromosomes 4 and 10 can be
distinguished because all repeats on 10q contain BlnI restriction sites (B), while all D4Z4
repeats on 4q contain XapI restriction sites (X).
Through years, additional findings have emerged that need to be considered in the
molecular diagnosis of FSHD. First, translocated 4-type repeats residing on chromosome 10q
as well as translocated 10-type repeats residing on chromosome 4q are found in 10% of the
population (van Deutekom et al., 1996b; van Overveld et al., 2000; Matsumura et al., 2002;).
Therefore, FSHD-sized D4Z4 alleles may be attributed incorrectly to chromosome 10 and
viceversa. Second, deletions at 4q encompassing the genomic sequence recognized by probe
p13E-11 have been detected in FSHD cases. Thus D4Z4 short arrays might not be detected
by using the standard diagnostic procedure. The frequency of such extended deletions has
been estimated around 3% (Lemmers et al., 2003) and represents a possible caveat of FSHD
molecular diagnosis. Third, 5-10% of subjects showing FSHD clinical features do not carry
D4Z4 reduced alleles. Possible explanations for such anomalous cases include a different
mechanism at 4q35, such as D4Z4 hypomethylation (De Greef et al, 2009) or the presence of
other mutations not linked to the FSHD locus at 4q35. At present, no FSHD families linked
to other chromosomal loci have been described. Figure 2 summarizes the diagnostic flow
chart that should be used to study the 4q35 region in FSHD patients.
Fig. 2. Schematic representation of FSHD diagnostic approach at 4q35 locus.

Abbreviations: Ch.DNA: chromosomal DNA embedded in plugs; Gen.DNA: genomic DNA
in solution; PFGE: Pulse Field Gel Electrophoresis; LGE: Linear Gel Electrophoresis;
E: restriction enzyme EcoRI; B: restriction enzyme BlnI; X: restriction enzyme XapI;
N: restriction enzyme NotI; H: restriction enzyme HindIII.
2.3 FSHD clinical ascertainment and molecular diagnosis: Necessity of standardized

clinical examination
As said before, genomic studies conducted on groups of FSHD patients and families
revealed the numerous difficulties that can be encountered in the molecular characterization
of the 4q35 locus. Through years, the complexity of molecular diagnosis has been paralleled
by the emerging complexity of FSHD clinical ascertainment. At present, criteria established
in 1991, before the advent of molecular diagnosis (Padberg et al., 1991), and in 1998,
following the ENMC workshop on FSHD (Lunt 1998), need probably to be reconsidered in
light of the most recent observations.
2.3.1 Penetrance
Non-penetrance in FSHD was estimated to be less than 2% after the age of 50 years and
more likely with allele sizes larger than 30 kb (Tawil et al., 1996). However, asymptomatic
gene carriers seem to be more prominent in some families, and non-penetrance has even
been found in carriers of 25 kb D4Z4 alleles (Ricci et al., 1999). In his work, Ricci et al.
detected D4Z4 reduced alleles in several unaffected family members, named non-
penetrant carriers, who are capable of transmitting the disease to their offspring. In
addition reduced penetrance for D4Z4 reduced alleles was described in families in which
patients heterozygous for FSHD alleles on both 4q chromosomes were present
(Wohlgemuth et al., 2003; Tonini et al., 2004). Gender differences have been also described
in FSHD, with males apparently more affected than females (Tonini et al., 2004).
Nowadays correlation between penetrance of FSHD, length of the repeat array, age and
sex is unsettled. Thus, the risk of developing the disease in correlation with D4Z4 allele
sizes cannot be estimated and no prognostic tools are available. In addition several clinical
reports describe patients displaying clinical and genetic features of FSHD associated with
other documented muscle disorders including mitochondrial diseases (Chuenkongkaew
et al., 2005; Filosto et al., 2008), glycogenosis (Nadaj-Pakleza et al., 2009),
dystrophinopathies (Rudnik-Schoneborn et al., 2008). In all these cases the presence of the
FSHD molecular defect seems to aggravate the clinical phenotype. Finally, phenotypic
features of FSHD can be found in other myopathies (Oya et al., 2001; Saenz et al., 2005) as
well as atypical phenotypes can be displayed by subjects carrying the FSHD molecular
defect (Figueroa and Chapin, 2010; Tsuji et al., 2009; Zouvelou et al., 2009). All together
these observations suggest that the variable penetrance observed in the FSHD population
may be the result of the interaction of several factors. Indeed the presence of low-
penetrant alleles suggests that susceptibility for FSHD is not only determined by the
intrinsic properties of the diseased allele but also by additional factors that can be genetic,
epigenetic and/or environmental factors. Identification of factors influencing FSHD
clinical outcome remains one of the major challenges of FSHD research.
2.3.2 Severity of the disease and repeats number: Does a linear correlation exist?
An inverse relationship has been established between the D4Z4 repeat size and the severity
and progression of the disease (Lunt et al., 1995; Ricci et al., 1999; Tawil et al., 1996; Zatz et
al., 1998). In general, individuals with ≥11 repeats are healthy; in contrast, 1-3 D4Z4 repeats
is associated with a severe form of disease that presents in childhood, 4-7 repeats with the
most common form of FSHD, and 8-10 repeats with a milder disease and reduced
penetrance. Nevertheless great variability of clinical expression has been described among
FSHD patients even within the same family. Interestingly it has been suggested that patients
harboring D4Z4 alleles of ≥35 kb (≥ 8 repeats) were less likely to present the classic FSHD
phenotype as compared with patients with alleles of <35 kb (<8 repeats) (Felice and
Whitaker, 2005). Several clinical reports described myopathic patients, carrying alleles of 38
kb (9 repeats) or larger, showing typical and atypical FSHD phenotypes (Vitelli et al., 1999;
Felice et al., 2000; Felice and Moore, 2001; Butz et al., 2003; Krasnianski et al., 2003).
However D4Z4 repeat arrays of size between 38-45 kb (9-11 repeats) were encountered in
3% of 200 control subjects in a Dutch study (van Overveld et al., 2000). These findings seems
to indicate that in a substantial proportion of 38 to 45 kb-sized repeat arrays penetrance may
be close to zero, but in some families 38−45 kb alleles are associated with myopathy (Butz et
al., 2003). Remarkably D4Z4 repeat array of size between 21-34 kb (4-8 repeats) were found
in 3% of 801 Italian and Brazilian samples of normal individuals unrelated to any FSHD
patients, indicating that in this size-range, additional factors influence the disease
expression (Scionti et al., 2012b). In conclusion the high variability in clinical expression
makes difficult to establish a prognostic correlation between the number of the D4Z4 repeats
and the severity of the disease. There is the necessity of clinical and molecular studies on
large cohorts of FSHD patients and families to obtain significant information on FSHD
development and generate useful prognostic information.
2.3.3 A standardized clinical evaluation tool: FSHD score

Based on the need of gaining statistically significant observations through large cohorts
studies, a standardized clinical evaluation tool for patients with FSHD was created. The
clinical protocol examines muscle groups specifically affected in FSHD. The test uses
functional criteria, which allow expression of clinical severity in quantitative terms
(Lamperti et al., 2010). The clinical examination results in an evaluation scale, which is
divided into six independent sections that assess the strength and the functionality of (I)
facial muscles (scored from 0 to 2); (II) scapular girdle muscles (scored from 0 to 3); (III)
upper limb muscles (scored from 0 to 2); (IV) distal leg muscles (scored from 0 to 2); (V)
pelvic girdle muscles (scored from 0 to 5); and (VI) abdominal muscles (scored from 0 to 1).
The evaluation scale allows the functional quantification of muscle weakness in FSHD
patients. This examination protocol, which is associated with a questionnaire that collects
information on the clinical history of the subject, generates a disability score resulting from
the sum of six independent scores of separately evaluated muscle regions, including the
facial and abdominal muscles, which are specifically affected by FSHD. The total score can
range from 0, when no signs of muscle weakness are present, to 15, when all muscle groups
tested are severely impaired. The protocol represents a robust evaluation procedure for
FSHD patients that can be performed easily in the medical office and is not influenced by
the tester. The robustness of the clinical evaluation protocol provides a tool that can
therefore be used by different neurologists in large cooperative clinical studies and allows
translating what is called clinical impression of the progressive involvement of specific
muscle groups into a number (Lamperti et al., 2010) (The FSHD clinical form and the FSHD
evaluation scale form, as well as a visual guide to clinical assessment, are available online at
www.fshd.it).
Use of the FSHD score can support studies for defining the natural history of the disease
throughout time. Importantly, definition of the clinical involvement of specific muscle
groups by a number permits identification and characterization of atypical cases and
support the definition of clinical subcategories among FSHD patients.
By assessing the correlation between clinical severity, results of molecular analysis, and
anamnestic records, the FSHD score can provide useful information for defining FSHD
nosology.
3. Genomic characteristic of the 4q35 region: D4Z4 and role of specific

polymorphisms
Since the discovery of the FSHD molecular defect (Wijmenga et al 1992b), many studies
suggested the possibility that reduction of D4Z4 repeat units on chromosome 4 alone is not
sufficient to FSHD development (Weiffenbach et al 1993; van Overveld et al., 2000; Lemmers
et al., 2002, Lemmers et al., 2007). Thus, a detailed genomic characterization of the 4q35
region led to the identification of polymorphic regions flanking the D4Z4 repeat array which
could contribute to FSHD onset.
3.1 Genetic variability and haplotypes

D4Z4 is part of a family of 3.3-kb repeats (D4Z4) are dispersed throughout the human
genome and are generally found associated with regions of heterochromatin (Lyle et
al.,1995). A homologue D4Z4 tandem array is present at the 10q telomere. This homology
between the subtelomeric region of 10q and 4q is not confined to D4Z4 repeats but extends
proximal 42 kb and distally to include the telomere (van Geel et al., 2002). However, despite
the high level of sequence similarity (> 98% nucleotide identity) between the 10q and 4q
subtelomeres, FSHD is associated only with the chromosome 4q (Bakker et al., 1995; Deidda
et al., 1996). In the attempt of explaining the unique association between D4Z4 reduction of
chromosome 4q and FSHD, a bi-allelic polymorphism was identified distal to the repeat
array (van Geel et al., 2002). Two distinct polymorphic regions, named 4qA and 4qB, were
observed at the distal end of chromosome 4q. Within 4qA there is a polymorphic 8-kb
region of 68bp satellite DNA immediately distal to the D4Z4, and adjacent to this is a 1-kb
divergent (TTAGGG)n array. None of these repeats is present within the 4qB sequence. In
4qB polymorphism, the last 3.3-kb repeat contains only the first 570 bp of a complete unit,
whereas in 4qA the terminal repeat is a divergent 3.3-kb repeat named pLAM (van
Deutekom et al., 1993). Sequence alignment and subsequent phylogenetic analysis of
subtelomeric region of 10q showed a close relationship between 4qA sequences and 10q
suggesting that the 4q subtelomere has been transferred onto chromosome 10q (van Geel et
al., 2002). The distribution of these allelic variants is heterogeneous and depends on the
studied population. Lemmers and colleagues (2004), analyzing 80 Dutch control individuals,
have observed an almost equal frequencies of 4qA and 4qB alleles (42% and 58%,
respectively), whereas in another study, conducted on 66 Italian control individuals, an
overrepresentation of 4qA telomeres has been reported (68% for 4qA and 32% for 4qB)
(Rossi et al., 2007). Proximal to the D4Z4 repeat array a simple sequence-length
polymorphism (SSLP) has been described and those sequences are in a range between 157
bp and 180 bp (Figure 3).
Fig. 3. The D4Z4 repeat array within the subtelomere of chromosomes 4q and 10q varies in size
between 1 and 100 D4Z4 units (3.3–330 kb) and it is indicated with triangles. Elements that
distinguish subjects include: 1. The chromosomal localization of the D4Z4 repeat, chromosome
4q35 or 10q26. 2. The Simple Sequence Length Polymorphism (SSLP). It is a combination of
five Variable Number Tandem Repeats, an 8 bp insertion/deletion, and two SNPs localized 3.5
kb proximal to D4Z4 and vary in length between 157 and 182 bp. 3. Single nucleotide
polymorphism AT(T/C)AAA (SNP) in the pLAM region. 4. A large sequence variation
(termed 4qA or B) that is distal to D4Z4. In the 4qB variant the terminal 3.3-kb repeat contains
only 570 bp of a complete repeat, whereas in the 4qA variant the terminal repeat is a divergent
3.3-kb repeat named pLAM. 4q chromosomes which do not hybridize to probes for A and B
are termed “null” and their sequences vary from case to case.
A worldwide population (including African, European and Asian HAPMAP panels)
analysis of 4q subtelomeric polymorphisms flanking the D4Z4 array revealed 17 distinct
haplotypes on chromosome 4q (Lemmers et al., 2010b). On the basis of sequence similarities,
all haplotypes were categorized in two groups: the major group 1 consists mainly of the
haplotypes 4A159, 4A161 and 4B163, which are the most common in all three HAPMAP
populations. The major group 2 contains other standard and nonstandard 4q haplotypes
(4A166 and 4A168). Evolutionary studies showed that haplotypes 4A159 and 4A161
represent the oldest human D4Z4 haplotypes. Similarly, the 4A168 haplotype is most
probably the oldest haplotype that belongs to major group 2. It has been hypothesized that
all other haplotypes originate from only four discrete sequence-transfer events during
human evolution (Lemmers et al., 2010b).
3.2 Permissive and non-permissive genetic background

Analysis of 4qter polymorphisms of 80 unrelated Dutch patients with FSHD revealed that
D4Z4-reduced alleles are associated with the 4qA variant (Lemmers et al., 2002).
Subsequently, by studying three families in which two D4Z4-reduced alleles segregate, it
has been proposed that 4qB chromosomes carrying short D4Z4 repeats do not cause FSHD,
since only subjects carrying D4Z4-reduced alleles associated with the 4qA polymorphism
had FSHD (Lemmers et al., 2004). The almost exclusive association between FSHD disease-
expression and the D4Z4-reduced allele of the 4qA type has been confirmed in a large
cohort of 164 unrelated patients with FSHD from Turkey and the UK. Even though that
study described FSHD patients lacking the 4qA/4qB end (Thomas et al., 2007). Subsequent
studies led to the hypothesis that D4Z4 contraction on 4qA chromosome per se is not
sufficient to cause disease. Analysis of SSLP proximal to the repeat array in 86 FSHD patients
and 222 healthy controls revealed a unique association of FSHD with the 161 allele and the
4qA sequence. In particular the haplotype 4A166 associated with D4Z4-reduced alleles was
detected in multiple unaffected relatives of two independent families and the 4B163 haplotype
was associated with 17 FSHD-sized alleles carried in healthy subjects (Lemmers et al., 2007).
On this basis it has been hypothesized that FSHD can develop only in a specific “permissive”
chromosomal background represented by the haplotype 4A161. Following this hypothesis,
proximal and distal sequences of 4A161 chromosome were compared to those of “non-
permissive” ones, such as 4B163 and 10A166. This approach led to the identification of a single
nucleotide polymorphism (SNP, AT(T/C)AAA) in the adjacent pLAM sequence, immediately
distal to D4Z4 array. In particular 4A161 and two other uncommon permissive variants, 4A159
and 4A168 presented the ATTAAA variant, which has been interpreted as a polyadenylation
signal able to stabilize the DUX4 transcript (Figure 4a).
Fig. 4. Schematic representation of the current view of permissive and not-permissive

haplotype. a. Permissive haplotypes b. Non-permissive haplotype. The ATTAAA variant
creates a polyadenylation signal (PAS) that stabilizes the DUX4 transcript and has been
postulated to be the critical factor causing FSHD.
By contrast sequences associated with non-permissive chromosome 10A166 and 4B did not
allow the expression of DUX4 (Lemmers et al., 2010a). Analysis of more than 300 unrelated
FSHD patients and 5 families with one or more FSHD patients carrying D4Z4-reduced allele
strongly supported the hypothesis that the last 4qA D4Z4 unit with the directly adjacent
pLAM sequence including the ATTAAA is necessary to the FSHD development (Lemmers
et al., 2010a). On this basis it has been proposed that FSHD arises through a toxic gain of
function attributable to the stabilized distal DUX4 transcript (Lemmers et al., 2010a) (Figure
4b). Despite the intriguing premise, the notion that FSHD is a fully-penetrant autosomal
dominant disorder caused by the reduction of D4Z4 repeat number associated with
4A161PAS haplotype is challenged by recently published data. First a study conducted on
750 unrelated FSHD families from Italy revealed that the frequency of individuals carrying
two D4Z4 reduced alleles (compound heterozygotes) is 2,7%, a frequency much higher than
expected for a fully penetrant autosomal dominant disorder with prevalence of 1 in 20,000.
Interestingly in these families with compound heterozygosity, 25% of relatives carrying
D4Z4-reduced alleles and 4A161PAS are healthy (Scionti et al., 2012a). Second,
characterization of 253 unrelated FSHD probands from the Italian National Registry for
FSHD showed that only 127 of them (50.1%) carry D4Z4 alleles with 1-8 D4Z4 associated with
4A161PAS, whereas the remaining FSHD probands carry different haplotypes or alleles with
greater number of D4Z4 repeats (Scionti et al., 2012b). Third, molecular analysis of 801 normal
healthy subjects from Italy and Brazil showed that that 3% of individuals from the general
population carry alleles with reduced number (4-8) of D4Z4 repeats on chromosome 4q and
one third of these alleles occurs in combination with the 4A161PAS haplotype (Scionti et al.,
2012b) All these findings challenge the hypothesis that 4APAS structure is necessary and
sufficient for the development of FSHD. This discovery is not incompatible with evidence
implicating DUX4 or other factors as important mediators of disease. Nonetheless, it does
demonstrate that FSHD pathogenesis is more complex than currently thought.
4. One disease (too) many theories

After the genetic correlation between D4Z4 and FSHD the most difficult task has been to
explain the role of D4Z4 in disease development. D4Z4 can directly cause FSHD through
DUX4 expression; on the other end D4Z4 reduction might indirectly cause FSHD by exerting
long distance effects. None of the proposed models entirely explain the mechanism leading to
disease. In this regard the scientific community does not express undisputed consensus.
B C
Fig. 5. Models for the molecular basis of FSHD. A. Healthy individuals carry 11–150 units
of D4Z4, whereas FSHD patients have less than 11 repeats. B. DIRECT MECHANISM:
reduction of D4Z4 repeat array leads to the synthesis of DUX4 transcript, which is normally
not transcribed, through changes in D4Z4 heterochromatin and/or stabilization of DUX4
mRNA. C. INDIRECT MECHANISM: the reduction of D4Z4 repeats leads to modifications
of the spatial and structural organization of chromatin generating changes of transcriptional
control over the expression of candidate genes localized in cis or in trans.
In examining all the models that have been proposed it is important to remember essential
points:
 80-85% of FSHD patients carry a reduction in D4Z4 whereas loss of the whole array is
not associated with FSHD;
 15-20% of FSHD patients have a normal number of repeats;
 No specific 4q haplotype is associated with FSHD;
 25% of relatives carrying D4Z4 alleles who are old than 56 years do not have FSHD;
 Healthy individuals bearing allele with reduced number of repeats (4-8 units) are
present in 3% of the healthy population;
 Repeat reduction in the highly homologous D4Z4 copy on chromosome 10 is not
associated with the FSHD;
 Penetrance of the FSHD is not complete and its severity does not clearly correlate with
number of repeats;
Notably in all proposed models, epigenetic changes such as methylation or histone
modifications are used as an additional level of complexity that might help interpreting the
complex correlation between genotype and phenotype in FSHD. In this paragraph we will
shortly describe the main mechanisms that have been proposed. In the following
paragraphs all the factors that have been considered important for the disease onset will be
explained in detail.
4.1 Direct mechanism: DUX4

The most recent model proposed to explain FSHD pathogenesis is based on the idea that the
most distal copy of the DUX4 gene, whose open reading frame is present in each D4Z4
repeat, is transcribed and the expression of this gene has a direct role in FSHD
pathophysiology. At first it has been proposed that partial reduction of the D4Z4 repeat
array results in destabilization of the D4Z4 heterochromatin and in the inappropriate
upregulation of DUX4 gene (Gabriels et al., 1999; Hewitt et al., 1994). However this
hypothesis has never been proven. This model has been consequently modified introducing
the concept of a “permissive” chromosomal background namely a single nucleotide
polymorphism in the pLAM sequence that provides a polyadenylation signal (PAS) for the
DUX4 transcript. This should stabilize the DUX4 transcript from the most distal D4Z4 unit
on 4q chromosomes resulting in disease through a toxic gain-of-function mechanism
(Lemmers et al., 2010b) (Figure 5A).
4.2 Indirect mechanism: Iindirect overexpression of candidate genes

All the other models proposed to explain the role of D4Z4-reduced alleles in FSHD
pathogenesis, predict that D4Z4 reduction is able to generate a modification in the spatial
and structural organization of chromatin at 4q35. As a consequence loss of transcriptional
control over the expression of candidate genes, localized in cis or in trans, is generated
(Figure 5B).
Cis-spreading model: 4q35 genes derepression
D4Z4 contains heterochromatic DNA elements. It was thus reasoned that D4Z4 and
surrounding sequences would be strongly packed as heterochromatin. Based on this idea, it
was hypothesized that loss of D4Z4 repeat would produce a local chromatin relaxation (i.e.,
loss of heterochromatinization) and, consequently, the transcriptional upregulation of genes
nearby D4Z4, possibly in a distance-related manner (Hewitt et al., 1994; Winokur et al., 1994).
The identification of a repressor complex that binds to a specific 27 bp DNA element within
D4Z4 (Gabellini et al., 2002) supports the cis-spreading model. Consistently, three 4qter
genes (FRG2, FRG1, and ANT1) were found upregulated in muscle of FSHD patients
(Gabellini et al., 2002).
Cis-looping model: 4q35 genes derepression
According to this model, D4Z4 is able to interact with target gene(s) by long-distance loops
only when the D4Z4 contraction impairs the formation of normal D4Z4 intra-array loops.
The hypothesis that normal-sized D4Z4 repeats form intra-array loops is supported by the
size distribution of D4Z4 repeats which is multimodal, with equidistant peaks 65 kb apart
(van Overveld et al., 2000).
Insulator model
D4Z4 is localized between the distal heterochromatic telomeric sequences and the
euchromatic sequences more upstream. It has thus been proposed that it might act as an
insulator (van Deutekom, 1996a). Reduction of the repeat arrays would impair the
separation between domains, and, consequently, the spreading of heterochromatic would
silence proximal genes in cis. This model is supported by the finding that D4Z4 itself acts as
an insulator, which interferes with enhancer–promoter communication and protects from
position effect (Ottaviani et al., 2009). Results obtained with different experimental
approaches demonstrated that both, the transcriptional factor CTCF (CCCTC-Binding
factor), and the A-type intermediate filament Lamins binding, are necessary for D4Z4
insulator function. In this model, FSHD contracted D4Z4 array associates with CTCF and A-
type Lamins at the nuclear periphery resulting in both cis and trans insulation of gene(s)
physiologically interacting with the 4q35 terminal sequences (Ottaviani et al., 2010). This
may lead to the miss regulation of these genes and to the FSHD phenotype.
Cis model: Nuclear localization
The FSHD genomic region at 4q35.2 is consistently and specifically localized at the nuclear
envelope (Petrov et al., 2006; Ottaviani et al., 2009) in proliferating myoblasts, fibroblasts,
lymphoblasts, and differentiated myotubes. Interestingly it is not the D4Z4 repeat itself that
mediates interaction with the nuclear envelope but a chromosome 4 genomic regions just
proximal to the D4Z4 repeat (D4S139) (Masny et al., 2004; Ottaviani et al., 2009). Since FSHD
region is localized to the nuclear periphery, an alternative model for FSHD pathogenesis has
been proposed. In this model improper interaction with transcription factors or chromatin
modifiers at the nuclear envelope could induce aberrant expression of genes localized in cis
or in trans. However a differential localization of normal or FSHD alleles to the nuclear
periphery has not been observed (Masny et al., 2004).
Trans-effect model: Genome wide effect
It has been also postulated that reduction of D4Z4 might have a more genome-wide effects,
affecting other pathways, such the slow-to-fast fiber differentiation pathway (Celegato et al.,
2006) and the response to oxidative stress and myogenic differentiation pathway (Winokur
et al., 2003b). Because D4Z4 can be regarded as a docking platform for protein factors, loss
of repeats may generate a local imbalance in the availability of D4Z4 proteins in the cell,
and/or lead to new interaction with different proteins at the disease allele.
5. Direct role of D4Z4: The double homeobox gene 4 (DUX4)

The D4Z4 unit has been completely sequenced (Hewitt et al., 1994; Winokur et al., 1994 Lee
et al., 1995). Each D4Z4 repeat unit contains an ORF with a double homeobox putatively
encoding the DUX4 protein. DUX4 belongs to a family of highly homologous genes
scattered throughout the genome. One almost identical copy, named DUX4c, is located 42
kb proximal to the repeat array. Based on the presence of the molecular signature 4A-PAS,
which should allow the stabilization of the mRNA from the distal copy of the DUX4 gene; it
has been proposed that FSHD arises through a toxic gain-of-function mechanism
attributable to the pathological expression of DUX4 mRNA (Lemmers et al., 2010a). More
detailed analysis of DUX4 expression shows that the DUX4 pre-mRNA can be alternatively
spliced and apparently, the FSHD muscle expresses a different splice form of DUX4 mRNA
compared to control muscle (Snider et al., 2010). It is important to note that DUX4 is a rare
transcript and the amount of DUX4 has been estimated in one copy per cell. To explain how
such low expression level of DUX4 can cause FSHD, it has been proposed that in FSHD
muscle the DUX4 protein may exert its toxic effect in a small subset of nuclei, which express
a relatively abundant amount of DUX4 transcript. The possible toxic effect of DUX4 has
been inferred on the basis of in vitro and in vivo studies (Kowaljow et al., 2007; Bosnakovski
et al., 2008; Wallace et al., 2011) in which DUX4 was expressed at very high levels. Thus in
order to explain FSHD pathogenesis, it is difficult to reconcile those experimental
observations with the very limited amount of DUX4 detected in human muscle cells.
6. 4q35 genes in FSHD phatogenesis: Role of genes overexpression

Although the exact molecular mechanism responsible for FSHD is unknown, it is a common
agreement that reduction of D4Z4 elements might cause up-regulation of gene(s) in cis. A
few genes have been considered as good candidates for FSHD based on their localization
and/or function.
This section will critically discuss function and potential role of 4q35 candidate genes in
FSHD development.
6.1 FSHD region gene 2 (FRG2)

FSHD Region Gene 2 (FRG2) was originally identified by in silico gene prediction (Van Geel
et al., 1999) as a region of 3 kb 37 kb proximal to the D4Z4 repeat array. Predicted exons are
preceded by a putative muscle specific promoter. FRG2 gene is composed of four exons and
encodes an mRNA of 2084 bp with two alternative polyadenylation sites. The FRG2 ORF
encodes a putative protein of 278 amino acids. The FRG2 protein does not show significant
homology to known proteins (Rijkers et al., 2004). Alternative splicing creates an additional
alanine codon (Rijkers et al., 2004). Even though FRG2 has been shown to be nuclear,
(Rijkers et al., 2004) its sequence contains not only two potential nuclear localization signals
(NLS) but also a peroxisomal targeting signal (PTS1) at the carboxyterminal end of the
protein (Swinkels et al., 1992). Copies of FRG2 are dispersed throughout the genome,
prevalently located in subtelomeric or pericentromeric regions (Winokur et al., 1994; van

Geel et al., 1999; van Geel et al., 2002). However, only the FRG2 copies on chromosomes 4
and 10 show a 98% identity, differing for just five nucleotide mismatches in the ORF (Rijkers
et al., 2004). Experiments demonstrated that the FRG2 promoter is sensitive to the presence
of D4Z4 repeat units making FRG2 an interesting candidate gene for FSHD pathophysiology
(Rijkers et al., 2004). Indeed it has been shown that overexpression of FRG2 is obtained by
suppressing the activity of the D4Z4 recognition complex (DRC) (Gabellini et al., 2002).
Moreover data suggests that in muscle biopsies from FSHD patients, FRG2 overexpression
inversely correlates with D4Z4 repeat number (Gabellini et al., 2002). However the
overexpression of FRG2 in FSHD is still controversial. If there is a general agreement that
mRNA is virtually absent in most of human tissue, there is no consensus regarding the
expression of FRG2 in FSHD patients’ samples. FRG2 overexpression was reported in
differentiating, but not proliferating myoblasts of FSHD patients (Rijkers et al., 2004). The
overexpression of FRG2 in FSHD myotubes has not been fully confirmed in other works
(Arashiro et al., 2009; Cheli et al., 2011; Masny et al., 2010; Osborne et al., 2007). The different
outcomes of expression studies may be explained by the intrinsic difficulties in detecting
FRG2 mRNA due to its low expression level and by the presence in the genome of multiple
copies of FRG2. Moreover FRG2 is not represented in the gene arrays currently used for
RNA expression studies. Whether FRG2 is involved in FSHD pathogenesis still remains in
discussion. Indeed muscle-specific overexpression of FRG2 in mice does not result in an
aberrant phenotype (Figure 6A) (Gabellini et al., 2006), and FSHD patient with proximal
deletion encompassing FRG2 have been found (Lemmers et al., 2003). Nevertheless it is
worth mentioning that FRG2 appears late in the evolution together with D4Z4 repeats and it
is not present in the mice genome making the mice model for FRG2 overexpression not
conclusive. The function of this protein is still unknown.
6.2 FSHD region gene 1 (FRG1)

In the human genome FRG1 gene is located 125 kb centromeric to D4Z4 array on
chromosome 4. As for many other genes from the 4q subtelomeric region, several copies of
FRG1 are present in the human genome (van Deutekom et al., 1996c). The FRG1 copy on
chromosome 4 encodes a 258-amino acid protein. Although the FRG1 protein does not share
significant overall homology to any known protein, it contains two nuclear localization
signals in the N-terminal region (NLSs, aa 22-25 and 29-32), a bipartite NLS in the C-
terminal region (aa 253-261) and a single fascin-like domain (aa 58-176), indicative of an
actin-binding protein (Figure 6B), one potential RNA-binding domain (22-35 aa)
homologous to several RNA-binding proteins (RBPs). FRG1 protein is highly conserved
among invertebrates and vertebrates: human FRG1 shares 42% identity with C. elegans, 81%
identity with Xenopus and 97% identity with mouse protein (Figure 6B). The high level of
conservation throughout species suggests that FRG1 might have a very important function
that is preserved during the evolution.
Since its discovery, FSHD Region Gene 1 (FRG1) has been considered a candidate gene for
FSHD (Van Deutekom et al., 1996c). Analysis of its expression level in muscle tissues
obtained from FSHD patients and healthy subjects showed that FRG1 was abnormally up-
regulated in FSHD affected muscles. Significantly, in lymphocytes from FSHD patients, its
expression was equivalent to that observed in normal tissue, indicating that this over-
expression in FSHD is muscle-specific (Gabellini et al., 2002). Consistent with this evidence,
Fig. 6. FSHD Region Gene 1 (FRG1). A. WT and FRG1, FRG2 and ANT1 transgenic mice.
Only FRG1 transgenic mice develop a muscular dystrophy with features of the human
disease. B. FRG1 protein domains C. Alignament of FRG1 homologs: human FRG1 shares
42% identity with C. elegans, 81% identity with Xenopus and 97% identity with mouse.
transgenic mice over-expressing FRG1 develop a muscular dystrophy with features of the
human disease (Figure 6A). Importantly the myopathic features of these mice are corrected
by the use of RNA interference to target and reduce FRG1 level in the affected muscles.
Interestingly, the same result was obtained by two groups using two different experimental
approaches (Wallace et al., 2011; Bortolanza et al., 2011). Furthermore, in muscles of FRG1
transgenic mice and FSHD patients, specific pre-mRNAs undergo aberrant alternative
splicing. Collectively, these results suggest that FSHD might results from inappropriate
over-expression of FRG1 in skeletal muscle, which leads to abnormal alternative splicing of
specific pre-mRNAs (Gabellini et al., 2006).
Recent studies show the crucial role of FRG1 in maintaining proper muscle structure and
function (Hanel et al., 2011; Hanel et al., 2009; Liu et al., 2010). In C. elegans, frg1 protein
localized both in nuclei and in the dense bodies that are homologous to vertebrate Z-disk.
Interestingly frg1 overexpression in this invertebrate model disrupts the body-wall
musculature and the muscular organization (Liu et al., 2010). In Xenopus both knock down
and overexpression of frg1 resulted in defective growth and morphogenesis of the myotome
indicating that precise levels of frg1 must be maintained for normal muscle morphology
(Hanel et al., 2009). Together these results strongly suggest an evolutionary conserved
function of FRG1 in muscular development. Additional evidences support the role of FRG1
in muscle cell biology. FRG1 expression increases during myogenic differentiation. Its
activation is paralleled by chromatin remodeling at the FRG1 promoter with loss of the
polycomb repressor complex and replacement of the H3K27 trimethylation (H3K27me3)
repression marker with the H3K4 trimethylation (H3K4me3) activation marker (Bodega et
al., 2009). Interestingly the physical interaction between FRG1 promoter and D4Z4 array has
been shown (Petrov et al., 2008). In this context replacement of H3K27me3 by H3K4me3
during myoblasts differentiation might indicate that chromatin structure undergoes
dynamic changes during myogenic differentiation that lead to the loosening of the
FRG1/4q-D4Z4 array loop in myotubes. Consistently, FRG1 over-expression was detected in
the early stages of differentiation in FSHD myoblasts in comparison with control myoblasts
(Bodega et al., 2009).
FRG1 molecular function has not been elucidated yet. Several observations suggest that it
could be involved in RNA processing. FRG1 is a nuclear protein that localizes in Cajal
bodies, in nucleoli and in nuclear speckles, sites where RNA processing takes place (van
Koningsbruggen et al., 2004). Its interaction with RNA has been demonstrated in vitro and in
vivo (Sun et al., 2011). Proteomic studies found FRG1 as a component of purified
spliceosomes (Rappsilber et al., 2002; Bessonov et al., 2010). Moreover in muscle of FRG1
over-expressing transgenic mice, specific pre-mRNAs undergo aberrant alternative splicing
(Gabellini et al., 2006). Studies showed that FRG1 has nuclear and cytoplasmic localizations.
Interestingly in human muscle sections, FRG1 localizes with Z-disc (Hanel et al., 2011) an
element of muscle sarcomere. In a muscle cells ribosomes are available at sarcomere for local
synthesis of contractile proteins providing a mechanism to quickly respond to changes in
the extra-cellular environment. It would be interesting to test wheter FRG1 is involved in Z
line targeting and/or translation of specific m-RNAs. Despite the interest in FRG1 as
candidate for FSHD pathogenesis has diminished because expression studies failed to detect
FRG1 consistently overexpressed in FSHD biopsies (Gabellini et al., 2002; Jiang et al., 2003;
Winokur et al., 2003b; Dixit et al., 2007; Osborne et al., 2007; Arashiro et al., 2009),
experimental evidences point at the critical role of FRG1 in muscle development and
indicate the presence of negative regulatory mechanisms on its expression, which is released
in a myogenic-specific manner. On this basis FRG1 remains a very suitable candidate gene
for FSHD pathophysiology.
6.3 Adenine Nucleotide Translocator (ANT1)

The Adenine Nucleotide Translocator gene (ANT1) is located approximately 4 Mb
centromeric to the tandem array and encodes a 298-amino acid protein. This protein is a
member of integral membrane transport molecules family that are among the most
abundant constituents of the inner mitochondria membrane (IMM), responsible for the
transport of adenine nucleotides across the inner mitochondrial membrane, importing ADP
for oxidative phosphorylation and exporting ATP to the cytosol (Klingenberg and Aquila,
1982). There are three different ANT genes in humans, ANT1, ANT2, and ANT3. These genes
share 88% amino acid sequence identity and are characterized by a distinct tissue specific
expression patterns (Levy et al., 2000; Stepien et al., 1992). ANT1 is the predominant isoform
expressed in the mitochondria of heart and skeletal muscle tissue. In addition to regulating
adenine nucleotide pools, ANT1 functions as a component of the mitochondrial
permeability transition pore (PTP), which is essential for the release of pro-apoptotic
proteins during the activation of the intrinsic-apoptosis pathway (Bauer et al., 1999; Sharer
et al., 2002). ANT1 overexpression seems critical in inducing programmed cell death in
different eukaryotic cell lines (Bauer et al., 1999). Although mice overexpressing ANT1 do
not show evident dystrophic phenotype (Figure 6A) (Gabellini et al., 2006), an increased
amount of ANT1 protein was detected in both unaffected and affected FSHD muscles in
comparison to healthy controls (Laoudj-Chenivesse et al., 2005). Even though both increase
of oxidative stress and ANT1 overexpression are proposed to be early events in the
development of FSHD, it remains unclear if these are sequential or parallel processes
(Winokur et al., 2003a).
7. Epigenetic and FSHD: Role of methylation and chromatine structure

Several clinical features, such as penetrance variability, gender bias in severity, asymmetric
muscle wasting, and discordance in monozygotic twins, suggest that FSHD development
involves epigenetic factors that can influence gene expression through local modification of
chromatin structure.
7.1 DNA methylation

C5 methylation of cytosine, the most common epigenetic modification of mammalian DNA
is known to be involved in development, X-chromosome inactivation, imprinting, and gene
silencing (Robertson and Wolffe, 2000). CpG methylation can affect occupancy of specific
genomic regions since several transcription factors and chromatin-binding proteins, such as
CTCF and Yin Yang 1 (YY1), are sensitive to it (Hark et al., 2000; Kim et al., 2003). Each
D4Z4 repeat unit harbors two classes of GC-rich sequences, namely the low copy-repeats
hhspm3 and LSau. This type of repetitive DNA is predominantly found in heterochromatic
regions of the genome (Hewitt et al., 1994). On this basis, it has been hypothesized that
D4Z4 repeat reduction might induce changes in chromatin conformation leading to
inappropriate expression of 4q35 genes. The first study of DNA methylation at the D4Z4
repeat array did not show a change in this epigenetic marker in FSHD tissues. D4Z4 was
found highly methylated in both normal and FSHD lymphoblasts, as well as in somatic
tissues, including skeletal muscle. Nevertheless the study did not discriminate between the
methylation status of the repeat array at chromosome 4 or chromosome 10 (Tsien et al.,
2001). A subsequent study, revealed a significant hypomethylation of three different CpG
dinucleotides of the D4Z4-reduced allele in lymphoblasts and muscle biopsies from FSHD
patients (van Overveld et al., 2003). Importantly, low methylation levels at D4Z4 were
observed at both chromosome 4 and 10 in the so-called phenotypic FSHD patients. These
patients are clinically indistinguishable from 4q-linked FSHD patients but do not carry any
D4Z4-reduced (de Greef et al, 2009). However, methylation levels can vary substantially
between individuals. Generally, patients with residual repeat sizes between 10 and 19 kb (1-
3 D4Z4 units) are severely affected and show very low DNA methylation levels, whereas
FSHD patients with repeat sizes between 20 and 31 kb (4-6 D4Z4 units) show inter-
individual variation in both clinical severity and D4Z4 hypomethylation (van Overveld et
al., 2005). In addition, non-penetrant carriers show the same D4Z4 hypomethylation as their
affected relatives and strong D4Z4 hypomethylation is also reported in patients with
immunodeficiency, centromeric instability and facial anomalies syndrome (ICF) without any
myopatic symptoms (Xu et al., 1999; Kondo et al., 2000; van Overveld et al., 2003). Currently,
the role of D4Z4 hypomethylation in FSHD pathogenesis remains elusive.
7.2 Histone modification

Chromatin conformation results from the interaction between DNA and histone proteins
and the involvement of other chromosomal proteins. The basic structural unit of chromatin
is the nucleosome that consists of 146 bp of DNA wrapped around a protein octamer of core
histone proteins (Kornberg et al., 1974; Finch et al., 1977). Histone proteins may be
posttranslational modified, by acetylation, methylation, phosphorylation, ubiquitination,
SUMOylation and ADP-ribosylation (Bernstein et al., 2007). Modified histones are likely to
control the structure and/or function of the chromatin fiber, with different modifications
yielding distinct functional consequences. Furthermore, recruitment of chromatin-
associating proteins may depend upon the recognition of a specific histone modification
pattern (Strahl and Allis, 2000; Peterson and Laniel, 2004). Extracellular and intracellular
stimuli may change these patterns of modification, making the chromatin itself an integrator
of various signaling pathways, ultimately affecting basic cellular processes such as
transcription or replication (Cheung et al., 2000; Nightingale et al., 2006). In vivo, chromatin
exists as fibers with differing degrees of compaction. The morphologically distinct classes of
chromatin within the nucleus of higher eukaryotes are heterochromatin, which is more
compacted and generally transcriptionally inactive, and euchromatin, wich is less
compacted and generally transcriptionally active (Frenster et al., 1963). Although D4Z4 unit
harbors two classes of repetitive DNA, hhspm3 and LSau, both of which are found
predominantly in heterochromatic domains of the genome, FSHD locus at 4qter does not
share some of the common properties of heterochromatin. For instance it does not co-
localize with DAPI-intense loci or it does not replicate in late S-phase. A recent study on
D4Z4 histone modification seems to indicate that the repeat array may be organized in
distinct domains, some characterized by transcriptionally repressive heterochromatin and
others by transcriptionally permissive euchromatin (Zeng et al., 2009). These results indicate
that the D4Z4 locus might display a chromatin structure more similar to euchromatin and
favor the hypothesis that this region might be more dynamic than expected. Interestingly
loss of marks of unexpressed heterochromatin such as histone H3K9me3 was observed in
both FSHD with or without D4Z4 contraction. This phenomenon seems to be strictly
associated with FSHD phenotype; in fact it was not found in ICF syndrome, despite its
apparent similarity to FSHD with regard to D4Z4 DNA hypomethylation, or in other types
of muscular dystrophies tested (Zeng et al., 2009). H3K9 methylation at D4Z4 is specifically
mediated by the histone methyltransferase SUV39H1 (Zeng et al., 2009), which interacts
with MyoD to suppress MyoD-dependent muscle gene expression (Mal, 2006). Interestingly,
the heterochromatin binding protein HP1, which mediates transcriptional silencing
(Bannister et al., 2001; Bernard et al., 2001), and the sister chromatid cohesion complex,
cohesin, bind to D4Z4 in an H3K9me3-dependent manner and their recruitment is seriously
compromised in FSHD (Zeng et al., 2009). These data support the indirect mechanism
(Figure 5 C) where loss of repeats generates structural and functional modification, possibly
through epigenetic changes in the histone pattern, which in turn might have an effect on
transcriptional regulation in cis and/or in trans. It is reasonable to anticipate that future
studies on the possible chromatin organization involving D4Z4 and its changes in FSHD
may provide critical insight into the mechanism of FSHD pathogenesis.
7.3 Long distance effect: A repressor complex binding D4Z4

The alteration of 4q35 gene expression observed in FSHD affected muscle (Gabellini et al.,
2002) raised the question whether D4Z4 was directly involved in transcriptional control of
4q35 genes. The analysis of the interaction between D4Z4 and nuclear proteins revealed the
presence of a 27 bp binding site (DBE, D4Z4 Binding Element) able to recruit a multi-protein
complex in vitro and in vivo comprising of YY1, HMGB2 and nucleolin, termed D4Z4
Recognition Complex (DRC) (Gabellini et al., 2002). The ubiquitous transcription factor Yin
Yang 1 (YY1) is a recruiter of polycomb group proteins (PcG), which are responsible for
chromatin remodelling and epigenetic silencing in many fundamental biological processes.
YY1, exerts its effects on genes involved in normal biologic processes such as
embryogenesis, differentiation, replication, and cellular proliferation. Its ability to initiate,
activate, or repress transcription depends upon context (Gordon et al., 2006). Furthermore,
the activity of YY1 is modulated by histone deacetylases and histone acetyltransferases (Yao
et al., 2001). HMGB2 is a member of one of the three families of high mobility group (HMG)
proteins (Bustin, 1999; Bianchi and Beltrame, 2000;Agresti and Bianchi, 2003). It has been
proposed that HMGB2 might be involved in the organization and/or maintenance of
heterochromatic regions through the SP100-mediated interaction with HP1 (Lehming et al.,
1998). The third component of the DRC, nucleolin, is an abundant nucleolar protein, which
has been implicated in chromatin structure, ribosomal RNA (rRNA) transcription, rRNA
maturation, ribosome assembly and nucleo-cytoplasmic transport. To address whether the
level of the DRC components influenced transcription of 4q35 genes, antisense experiments
to decrease intracellular levels of DRC components were performed. These experiments
showed that depletion of YY1, HMGB2 or nucleolin results in overexpression of the 4q35
gene FRG2, which is silent in normal cells and tissues (Gabellini et al., 2002). Accumulating
evidences indicate that gene regulation can be affected by physical interaction between two
distant chromosomal regions in cis and in trans in mammalian cells (Tolhuis et al., 2002;
Horike et al., 2005; Spilianakis et al., 2005; Lomvardas et al., 2006). Thus the DRC might
exerts is inhibitory activity either modifying the chromatin structure or acting directly on
4q35 genes promoters through a physical interaction mediated by the formation of a
cromatin loop (Gabellini et al., 2002; Pirozhkova et al., 2008). The physical interaction
between D4Z4 and FRG1 has been demonstrated (Pirozhkova et al., 2008; Bodega et al.,
2009) in normal myoblast by Chromosome conformation capture (3C), which is a technique
that identifies long distance intra- and inter-chromosomal interactions (Dekker et al., 2002).
Interestingly chromatin seems to undergo remodeling during myogenic differentiation. It
has been shown that in normal myoblasts, the FRG1 gene is repressed and its promoter
physically interacts with the D4Z4 array; upon differentiation, FRG1 gene is expressed and
the chromatin loop between FRG1 promoter and D4Z4 is relaxed (Bodega et al.2009).
Consistent with the observed mis-regulation of FRG1, a small reduction in the D4Z4–FRG1
promoter interaction was observed in FSHD myoblasts compared with controls (Bodega et
al., 2009). Different findings obtained with 3C analysis described the formation of loops
between other elements in the FSHD locus (DUX4c and the 4qA/B marker) and the FRG1
promoter (Pirozhkova et al., 2008). These data indicate that the tridimensional structure of
the FSHD locus is complex and composite, probably more than one sequence elements (for
example, D4Z4, DUX4c,4qA/B) or more than one chromatin modification factor might be
required to obtain a fine regulation of FRG1 gene expression during muscle differentiation
(Petrov et al., 2006; Pirozhkova et al., 2008).
7.4 Subnuclear localization of 4q35

The nucleoplasm is a high defined and structured compartment and chromosomes occupy
specific and distinct territories. These chromosome territories are related to gene density,
transcriptional activity, replication timing, and chromosome size (Sun HB et al., 2000;
Tanabe et al., 2002). The nucleoplasm is separated from the cytoplasm by the nuclear
envelope (NE), consisting of an inner (INM) and outer nuclear membrane (ONM), (Gerace et
al., 1988 ). Chromosome 4qter is preferentially localized in the outer nuclear periphery
(Masny et al., 2004; Tam et al., 2004) although mammalian telomeres, including 10qter, are
usually dispersed in the inner part of the nucleus (Ludérus et al., 1996; Nagele et al., 2001;
Amrichová et al., 2003; Weierich et al., 2003). Sequences proximal to D4Z4, and not the
repeat array itself, seem to be required to localize the 4q telomere at the periphery (Masny et
al., 2004). These sequences are not found at 10qter and this may explain the different nuclear
localization of 10qter. Recently, Ottaviani et al. (2009) identified an 80-bp sequence inside
the D4Z4 unit that can trigger perinuclear positioning of artificial telomeres in a CTCF- and
lamin A–dependent manner. Furthermore in cells lacking the lamin A gene, chromosome 4
telomeres are dispersed (Masny et al., 2004). In addition, lamin A is shown to be associated
with D4Z4 in vivo by chromatin immunoprecipitation and the perinuclear localization of
4qter is largely lost in fibroblasts lacking lamin A/C (Ottaviani et al., 2009). Although
Fluoresece In Situ Hybridization (FISH) analyses showed no change in the chromosome 4
localization, between FSHD and healthy subjects, the peripheral environment of the FSHD
4q35 allele may be altered because of modification in chromatin structure at D4Z4. This
nuclear lamina alteration might produce a change in the binding of specific proteins,
thereby contribute to the aberrant 4q35 gene expression reported in FSHD (Masny et al.,
2004; Tam et al., 2004; Ottaviani et al., 2009).
8. Conclusions
D4Z4 repeat contraction in patients with FSHD was discovered almost 20 years ago,
nevertheless the exact molecular mechanism causing the FSHD phenotype has still not been
elucidated and the search for a unifying model that can explain all the clinical features that
have been observed in time has been frustrated. No histological or biochemical markers are
available to independently confirm a specific FSHD diagnosis that remains mainly clinical.
The molecular test primarily used for FSHD diagnosis was based on the initial observation
that 95% of FSHD patients carry a reduction of integral numbers of D4Z4 repeats at 4q35
with full penetrance (Van Deutekom et al., 2003). However the wide use of this test revealed
several exceptions to the original assumption. Through the years the threshold size of D4Z4
alleles has been increased from the original 28 kb (6 D4Z4 repeats) (Wimenga et al., 1999b)
to 35 kb (8 D4Z4 repeats) (Van Deutekom et al., 2003), with FSHD cases carrying D4Z4
alleles of 38-41 kb (9-11 D4Z4 repeats) considered borderline alleles (Butz et al., 2003; Vitelli
et al., 1999). A further analysis of genotype-phenotype correlation led in time to the
identification of subjects carrying D4Z4 reduced alleles with no sign of muscle weakness in
FSHD families (Ricci et al., 1999; Tonini et al., 2004) as well as in normal controls (Van
Overveld et al., 2000; Weiffenbach et al., 1992). The genotype-phenotype correlation
conducted more recently on a large scale using a standardized method of evaluation
allowed to estimate that 1) 20% of FSHD patients carry full-length D4Z4 alleles, 2) over 25%
of relatives carrying D4Z4 reduced alleles do not have FSHD, 3) 3% of healthy subjects from
the general population carry D4Z4 reduced alleles 4) no specific 4q haplotype is uniquely
associated with FSHD. Remarkably, these studies established as a general rule rather than
an exception that detection of a D4Z4 reduced allele is not sufficient to predict FSHD
(Scionti et al., 2012a; Scionti et al., 2012b). Over the years, the molecular etiology of FSHD
has remained enigmatic, and the literature is filled with claims of causes that fail to be
confirmed by other groups. Indeed, this might be expected if the clinical manifestation of
FSHD symptoms is not only dependent on the structure/haplotype of D4Z4 contractions.
This does not exclude an important pathogenic role for DUX4 or other candidate factors, but
do establish a complex mechanism beyond current understanding indicating that a
profound re-thinking of the genetic disease mechanism and modes of inheritance of FSHD is
required.
In-depth examination of disease points to a more complex genetic etiology in which D4Z4
reduction might play a significant role only in association with other determinants,
including genetic, epigenetic and environmental factors. Indeed, it is possible that in the
heterozygous state a D4Z4 reduction might produce a predisposing condition that requires
other epigenetic mechanisms or mutations in additional genes, both in cis and in trans, to
cause overt myopathy. Finally it is also plausible that drugs or toxic agents might contribute
to the disease onset and clinical variability. It is likely that, all mechanisms described above
may contribute to the diverse phenotypic expression observed in carrier of D4Z4 reduced
alleles. One of the major challenges for clinicians and researchers involved in FSHD studies
will be to establish the weight that each single factor has in FSHD development. Particular
attention should be paid to the relevance of epigenetics in the pathogenesis of FSHD. At the
4q subtelomere chromatin is normally tightly packed, probably as facultative
heterochromatin. However this region can be highly dynamic as demonstrated by the fact
that in patients with FSHD, this chromatin structure becomes more open. As a consequence,
regulation of candidate genes can be influenced by proteins that may bind to or be released
from D4Z4. One of the major goals for future FSHD research will be to integrate these
disease mechanisms into a single model that can be used to explain the clinical data and to
improve the molecular diagnosis; both steps are essential to develop effective therapeutic
strategies.
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3
AON-Mediated Exon Skipping

for Duchenne Muscular Dystrophy
Ingrid E. C. Verhaart and Annemieke Aartsma-Rus
Department of Human Genetics,
Leiden University Medical Center
The Netherlands
1. Introduction
Duchenne muscular dystrophy (DMD) is a genetic, X-chromosome recessive, severe and
progressive muscle wasting disorder, affecting around 1 in 3500 newborn boys. The onset of
the disease is in early childhood and, nowadays, most children are diagnosed before the age
of 5. The first signs of muscular weakness become apparent around the age of 2 or 3 years.
In most patients the age at which the child starts to walk is delayed (retarded motor
development). The children have less endurance and difficulties with running and climbing
stairs (Moser, 1984). Gower’s sign is a reflection of the weakness of the muscles of the lower
extremities (knee and hip extensors): the child helps himself to get upright from sitting
position by using his upper extremities: first by rising to stand on his arms and knees, and
then “walking” his hands up his legs to stand upright (Gowers, 1895). Muscle wasting is
often symmetrical, however not all muscles are affected to the same extent. A prominent
feature of the disease is enlargement of the calve muscle, caused by replacement of muscle
fibres by connective and adipose tissue. Furthermore, the pelvic girdle, trunk and abdomen
are severely affected and to a lesser extent the shoulder girdle and proximal muscles of the
upper extremities. Progressive weakness and contractures of the leg muscles lead to
wheelchair-dependency around the age of 10. Thereafter the muscle contractions increase
rapidly leading to spinal deformities and scoliosis, often with an asymmetric distribution
pattern. Involvement of the intercostal muscles and distortion of the thorax lead to
respiratory failure and patients often require assisted ventilation in the mid to late teens.
Thereafter dilated cardiomyopathy becomes apparent and most patients die before the age
of 30. Another common feature is mental retardation (IQ less than 70) in around 20-30% of
the patients (Emery, 2002).
Becker Muscular Dystrophy (BMD) is a related, but much milder, form of muscular
weakness, affecting around 1 in 20 000 men. The phenotype varies between individual
patients, from very mild to moderately severe, but the course of the disease is more benign
compared to DMD. On average, the age of onset is around 12 years; however some patients
remain asymptomatic until much higher ages. The age of wheelchair-dependency also
shows more variability, but in general is in their second or third decade of life. The most
severely affected patients die between 40 and 50 years of age, whereas patients with a mild
phenotype have (nearly) normal life expectancies. Around 50% of patients also develops
cardiomyopathy (Emery, 1993).
The majority of female carriers shows no signs of disease. Only in 5 to 10% some degree of
skeletal muscular weakness and enlarged calves are reported, but this is generally very mild
and often does not affect daily activities. A small part of these carriers develops
cardiomyopathy later in life; however most of the women with cardiac abnormalities on
echocardiogram or ECG (left ventricular dilatation and decreased shortening fraction), are
asymptomatic. There is no relation between the presence of skeletal muscle weakness and
the development of cardiomyopathy (Grain et al., 2001).
At present there is no cure for DMD. However, during the past decades pharmacological
interventions and improved care (e.g. physiotherapy and assisted ventilation) have led to
increased function and quality of life and prolonged life expectancy for currently diagnosed
patients into their forties. The current standard of care also consists of corticosteroids
(mainly predniso(lo)ne or deflazacourt). These are anti-inflammatory/immunosuppressive
drugs that have shown to improve muscle function, prolong ambulation for around 3 years
and to have a positive effect on cardiac function (Bushby et al., 2010).
2. DMD gene and dystrophin protein

2.1 Genetic defect in DMD
DMD is caused by a genetic defect in the DMD gene. In approximately 33% of cases this is a
de novo (new) mutation. The DMD gene is located on the short arm of the X-chromosome
(at Xp21). It is the largest gene in the human genome consisting of 2 220 223 base pairs. The
coding sequence spans around 0.5% (11 058 bases) of the gene, dispersed over 79 exons.
Mutations in the gene causing a disruption of the open reading frame or introducing a
premature stop codon lead to a complete absence of a functional dystrophin protein.
Dystrophin consists of 3 685 amino acids and has a molecular weight of 427 kDa (Muntoni et
al., 2003). The protein is located inside the muscle fibres and forms a bridge between the
actin cytoskeleton and the extracellular matrix (ECM). Thereby it provides mechanical
stability to the muscle fibres during each contraction. The protein consists of 4 domains: first
an N-terminus, containing 2 actin-binding domains (ABD), both consisting of a CH1-and a
CH2-domain, which are bound to contractile structures (F-actin) inside the muscle cells. This
is followed by a central domain, so called central rod domain, consisting of 24 spectrin-like
triple helical coiled repeat units, interrupted by 4 proline-rich hinge regions. A third actin-
binding domain is present between repeat 11 and 17 (Amann et al., 1998), while repeat 16-17
contain a binding site for neuronal nitric oxide synthase (nNOS) (Lai et al., 2009).
Subsequently the protein contains a cysteine-rich part and finally a C-terminal domain. The
cysteine-rich domain binds to β-dystroglycan, which is part of a membrane bound
dystrophin-associated glycoprotein complex (DGC) (fig. 1). B-dystroglycan is a
transmembrane protein that is bound to the extracellular α-dystroglycan, which in turn is
bound to laminin-2, a part of the extracellular matrix (ECM). The central rod domain can
absorb mechanical force. Hereby the protein transmits energy produced by the actin-myosin
contraction machinery via the cell membranes to the connective tissue and tendons
surrounding the muscles, to maintain the energy-balance and prevent overstressing of the
muscle fibres (Ehmsen et al., 2002).
AON-Mediated Exon Skipping for Duchenne Muscular Dystrophy 57
The dystrophin-associated glycoprotein complex (DGC) is composed of α- and β-dystroglycan, a

sarcoglycan-sarcospan complex and the dystrophin containing cytoplasmic complex. Dystrophin
(purple) forms the link between the actin cytoskeleton with its N-terminal domain and extracellular
matrix component laminin-2 (lilac) via α- and β-dystroglycan (dark blue) with its C-terminal domain. B-
dystroglycan is also bound to the sarcoglycan-sarcospan complex (light blue/black) and to caveolin-3
(orange), a scaffolding protein of skeletal muscle caveolae. Furthermore, the C-terminal domain of
dystrophin is connected to α-dystrobrevin (green) and syntrophin (salmon pink), which recruits nNOS
(yellow), a vasodilator, to the membrane. Α-dystrobrevin, in turn, is linked to syncoilin (brown),
forming a bridge between the DGC and the desmin intermediate filament protein network (brown).
Fig. 1. The dystrophin-associated glycoprotein complex
In addition to its mechanical linker function, dystrophin is involved in the organisation of

the DGC as well as many other proteins, the maintenance of the calcium homeostasis and
control of the growth of the muscle cells (Hoffman et al., 1987). In the DGC, β-dystroglycan
is connected to a complex of α-, β-, γ- and δ-sarcoglycans and sarcospan. This complex
functions in maintaining membrane stability (Miller et al., 2007). B-dystroglycan is also
bound to caveolin-3, a structural protein of skeletal muscle caveolae, small invaginations of
the plasma membrane playing a role in, among others, signal transduction. Caveolins act as
scaffolding proteins to compartmentalise and functionally regulate signalling molecules
(Hezel et al., 2010). Furthermore, the C-terminal domain of dystrophin is connected to α-
dystrobrevin and syntrophin. nNOS is recruited to the membrane by binding to dystrophin
and syntrophin. In contracting muscles, nNOS produces NO to induce vasodilatation in
order to increase the local blood flow necessary for the increased mechanical load. The
absence of nNOS in DMD causes abnormal vasoconstriction and ischemic stress, which
contributes to the muscle degeneration (Brenman et al., 1995). Syntrophin is also connected
to sodium channels, which are involved in regulating the Na+ distribution. In DMD, defects
in cardiac conduction systems are thought to be caused by disturbances in Na+ distribution
(Gee et al., 1998). A-dystrobrevin is linked to syncoilin too, thereby forming a bridge
between the DGC and the desmin intermediate filament protein network at the
neuromuscular junction (Newey et al., 2001).
Furthermore, in addition to the most common form of the dystrophin protein found in
muscles, additional full-length and shorter isoforms of dystrophin exist. This is due to the
presence of at least 7 different promoters and alternative splicing events. Three full-length
variants exist (including the muscle isoform), which only differ in their first exon. In
addition to the muscle promoter expressed in skeletal muscle and cardiomyocytes, a brain
promoter drives expression in the cortical neurons and hippocampus of the brain and a
Purkinje promoter in the cerebellar Purkinje cells. Four internal promoters lead to the
production of shorter dystrophin proteins, lacking the actin-binding domains, expressed in
specific tissues. In addition, alternative splicing facilitates the expression of many more
dystrophins with a tissue-specific function (Muntoni et al., 2003).
a.) In the normal situation pre-mRNA is spliced to produce mRNA, which in turn is translated into the
dystrophin protein. This fully functional protein forms a bridge between the actin cytoskeleton and the
extracellular matrix. b.) In DMD mutations lead to a disruption of the open reading frame and
translation into protein stops prematurely. A truncated, non-functional dystrophin protein (which is
degraded) is formed and the bridge function is lost. c.) In BMD mutations do not disrupt the open
reading frame and translation into a shorter, but largely functional protein can occur. The bridge
function is maintained.
Fig. 2. The reading frame rule
2.2 Genetic defect in BMD

In contrast to DMD, suffering from a complete absence dystrophin, in BMD a shorter, but
partly functional, dystrophin protein is present. This discrepancy can be explained by the
type of mutation that affects the DMD gene. In DMD mutations cause a disruption of the
open reading frame or a premature stop codon, whereby the transcription of the gene stops
prematurely and no functional protein is formed. In BMD the open reading frame stays
intact (i.e. the size of the deletion in base pairs is divisible by 3), thereby translation can
continue and a shorter protein is formed (fig. 2). This reading frame rule holds for over 90%
of the cases (Aartsma-Rus et al., 2006b; Koenig et al., 1989). Only in-frame deletions that are
very large (>36 exons) or deleting essential parts of the protein (the complete actin-binding
domain or (part of) the cysteine-rich domain) lead to DMD. Furthermore, a small number of
mutations that do disrupt the reading frame, lead to BMD instead of DMD (2%). This is
probably due to correction of the reading frame at RNA level (Aartsma-Rus et al., 2006b).
2.3 Animal models for DMD

2.3.1 Mouse models for DMD
The most widely used model for DMD is the mdx mouse model (C57Bl/10ScSn-DMDmdx/J).
These mice have a single base substitution within exon 23, leading to a premature stop
codon, so a truncated, non-functional dystrophin protein is formed (Sicinski et al., 1989).
Despite the absence of dystrophin, the phenotype of the mdx mice is relatively mild
compared to human DMD patients. However, compared to wild-type mice, their muscles
are clearly dystrophic and functionally impaired (Chamberlain et al., 2007). Nevertheless,
their life span is only slightly reduced and the muscular weakness is mild. This is probably
due to compensatory mechanisms, like the upregulation of utrophin, a dystrophin
homologue, which can partly take over its function. Mice that lack both dystrophin and
utrophin (mdx/utrn-/-, double knock-out mice) show a very severe, progressive muscular
dystrophy. Their muscles display several signs of damage and are rapidly replaced by
fibrotic and adipose tissue. Furthermore, these mice are functionally impaired, have an
arched spine and a life span of 20 weeks at maximum (Deconinck et al., 1997). Due to the
very severe phenotype and short life span, mdx/utrn-/- mice are not practical as experimental
model. An intermediate model is the mdx mouse with haploinsufficiency for utrophin
(mdx/utrn+/-). Inflammation and fibrosis in both skeletal muscle and diaphragm are more
severe than in the mdx mouse, but less than in the mdx/utrn-/- mouse. Their life span is
significantly longer than that of mdx/utrn-/- mice (Zhou et al., 2008).
Next to the naturally occurring mutation in the mdx mouse, several DMD mutations have
been induced in mice. For example, treatment of mice with the chemical N-ethylnitrosourea
(ENU), a powerful mutagen in mice, resulted in several new mdx-like mouse models
(B6Ros.Cg-Dmdmdx–Cv/J). Mdx2Cv has a mutation in a splice site in exon 43 (causing
alternative splicing, resulting in out-of-frame transcripts), mdx3Cv a mutation in intron 65
(inducing a new splice site, resulting in out-of-frame transcripts), mdx4Cv a mutation in exon
53 (premature stop codon) and mdx5Cv a mutation in exon 10 (frame-shift by introduction of
a new splice site). All these mice have a phenotype comparable to the mdx mouse (Chapman
et al., 1989). In addition, several mouse models have been generated that only affect 1 or a
few of the different dystrophin isoforms.
2.3.2 Canine models for DMD

The Golden retriever muscular dystrophy (GRMD) dog is a spontaneously occurring canine
model for Duchenne muscular dystrophy. These dogs have a single base substitution in the
3’ consensus splice site of intron 6, resulting in skipping of exon 7, thereby introducing a
premature stop codon in exon 8. The course of the disease is more comparable to human
patients than that of the mdx mouse. The dogs display rapid and fatal muscular dystrophy,
characterised by muscle atrophy, myofibre degeneration, replacement by fibrotic and
adipose tissue and cardiomyopathy (Sharp et al., 1992). Most affected animals die within a
few years, mainly due to degeneration of the cardiac muscle (Howell et al., 1997). Although
phenotypically the GRMD dog seems a better model for DMD, it shows a lot of
interindividual variation in the severity of the pathology. Some animals die within days
after birth, whereas others appear almost normal and live for years (Ambrosio et al., 2008).
This makes the dogs less suitable for experimental use, due to standardisation problems.
Because of the large size of the golden retriever, the GRMD dog has been bred with a much
smaller beagle to generate the canine X-linked muscular dystrophy (CXMDj) model. These
dogs have a milder phenotype compared to GRMD dogs and therefore have a longer life
span (Shimatsu et al., 2003).
In addition to the above mentioned large phenotypical variation, experiments with dogs are
very costly. Dogs have a long breeding time and the availability is low (a heterozygous
breeding program is needed, due to the severity of the phenotype). Furthermore, for
therapeutic studies the size of the dogs requires large amounts of compound.
3. Antisense oligonucleotide-mediated exon skipping

3.1 Introduction antisense oligonucleotides
Antisense oligonucleotides (AONs) are small synthetic pieces of DNA or RNA (15-30 bp),
which are complementary to their target mRNA. Initially, DNA oligos were used for the
specific knockdown of gene expression. These DNA oligos bind to the RNA to form DNA-
RNA hybrids which activate RNase H. This enzyme cleaves the double-stranded mRNA,
thereby preventing the translation into protein, thus decreasing protein expression. DNA
oligos are fast degraded by endonucleases, therefore oligos with a phosphorothioate instead
of a phosphodiester backbone (PS DNA oligos) were developed, which are more
endonuclease-resistant. These led to very efficient expression knockdown of for example
genes (UL36 or IL2) involved in CMV retinitis (85-95%) (Baker & Monia, 1999). In addition
to activation of RNase H, AONs can also down regulate gene expression by inducing
translational arrest through steric hindrance of ribosomal activity, interference with mRNA
maturation by inhibiting splicing or destabilisation of pre-mRNA in the nucleus (Chan et al.,
2006). Later, 2’O modified RNA oligos were developed, which have a higher affinity for
mRNA and turned out not to induce RNase H-dependent cleavage (Sproat et al., 1989). The
activation of RNase H is useful when down regulation of gene expression is required, but
not when AONs are used for modulation of pre-mRNA splicing.
3.1.1 Antisense-mediated exon skipping for DMD

AON-mediated exon skipping for DMD is based on the reading frame rule (fig. 2), which
underlies the phenotypic differences between DMD and BMD. Furthermore, in some DMD
patients rare, dystrophin-positive (so-called “revertant” fibres) were found, which are the
result of spontaneous exon skipping or secondary mutations restoring the reading frame in
these fibres and allowing dystrophin production. Therefore it was hypothesised that using
AONs to induces skipping of specific exons could lead to the restoration of the reading
frame and thereby production of slightly shorter dystrophin proteins, as found in BMD and
revertant fibres (fig. 3) (van Ommen et al., 2008). This approach is mutation-specific and a
large variety in mutations exists among DMD patients. Fortunately, 2 “hotspots” (a major
around exon 43 to 53 and a minor spanning exons 2 to 20) exist, comprising a large
proportion of the mutations (Aartsma-Rus et al., 2006b). In this Chapter we will describe the
development of this therapeutic approach. We are aware that many excellent papers about
exon skipping for DMD exist. Due to space constraints it was not feasible to cover them all.
For a recent overview see Aartsma-Rus, RNA Biology 2010 (Aartsma-Rus, 2010).
In DMD mutations in the DMD gene lead to a disruption of the open reading frame (in this example a
deletion of exon 50), thereby preventing production of a functional dystrophin protein. Binding of an
exon-specific AON (in this example against exon 51) hides the exon from the splicing machinery. The
exon will be ‘skipped’ and not incorporated in the mRNA. Thereby the reading frame is restored and
translation of a shorter, but still largely functional dystrophin protein can occur, which is similar to the
proteins found in BMD.
Fig. 3. Antisense oligonucleotide-mediated exon skipping
3.2 Backbone chemistries

To prevent activation of RNase H the 2’-O position of the ribose was modified (2’-O-methyl
(2OME) or 2’-O-methoxyethyl (2OMOE)). Furthermore, various chemical modifications (fig.
4) have been developed, which differ in sugar and backbone chemistry and have different
biophysical, biochemical and biological properties. For a more detailed review see Chan et
al., Clin.Exp.Pharmacol.Physiol 2006 (Chan et al., 2006). The 2OMePS chemistry has an
increased affinity for RNA and nuclear uptake. Disadvantages are that the phosphorothioate
backbone is toxic to some extent and some sequences elicit an immune response. This is
partly counteracted by the 2OMe modification.
Peptide nucleic acids (PNA) contain a flexible, uncharged, achiral N-(2-aminoethyl)glycine
backbone to which nucleobases are attached via methylenecarbonyl linkages in stead of the
phosphodiester backbone of DNA oligos. PNAs have a high affinity for RNA, are not toxic
even at high concentrations, are peptidase-and nuclease-resistant and have a high sequence-
specificity. A disadvantage is the insolubility of PNAs, due to their hydrophobic nature,
which makes transfection difficult. This can be solved by the attachment of carrier groups,
which easily bind to the peptide backbone, or addition of cationic lysine residues to the C-
terminus. Another disadvantage is the rapid clearance of PNAs in vivo. Their mechanism of
action is mainly by steric hindrance (Larsen et al., 1999).
Locked nucleic acid (LNA) DNA oligos contain a 2’-O, 4’-C-methylene bridge in the β-D-
ribofuranosyl configuration. They have a high hybridisation affinity towards target mRNA
or DNA, thereby forming stable duplexes. This is an advantage, but also a disadvantage,
since LNAs longer than 15 base pairs show self-annealing and are not very sequence-
specific, which increases the chance of unwanted side effects (Aartsma-Rus et al., 2004b).
However, currently mainly LNA/2'-O-methyl oligonucleotide mixmers are used, which
show much more sequence-specificity (Fabani & Gait, 2008). LNAs have a good nuclear
uptake and are nuclease-resistant.
Ethylene bridged nucleic acids (ENA) contain an ethylene bridge between the 2’-O and the
4’-O-C of the ribose. They have similar properties to LNAs, but have a higher affinity to
RNA, are very stable and more nuclease-resistant (Morita et al., 2002; Yagi et al., 2004).
Phosphoroamidate morpholino oligomers (PMO) have a six-membered morpholino ring
instead of the ribose sugar and the phosphodiester bond is replaced by a phosphoroamidate
linkage. They do not activate RNase H, are very resistant to nucleases and are non-toxic.
Furthermore, they are uncharged, which prevents undesired binding to proteins. However,
this also results in limited nuclear uptake, where pre-mRNA splicing takes place. Their
neutral charge also makes them hard to transfect in cell cultures, but in vivo PMOs can be
taken up by tissues after local injection. This is probably due to the fact that the neutral
nature does not form interactions with other cellular components. In general, PMOs are
often a bit longer than 2OMePS AONs (25 nucleotides or more compared to around 20
nucleotides for 2OMePSs). They primarily act by steric prevention of ribosomal assembly
(Aartsma-Rus et al., 2004b; Chan et al., 2006; Heemskerk et al., 2009b). PMOs have been
linked to arginine-rich cell-penetrating peptides (pPMOs) to increase uptake and efficiency.
These conjugates indeed have higher efficacy, but there are toxicity concerns and the
peptide might evoke an immune response (Moulton & Moulton, 2010), though this has not
yet been observed. Conjugation of PMOs with a dendrimeric octaguanidine polymer (vivo-
morpholino) improves the delivery of the compound in vivo. Since this polymer is not a
peptide, the risk of an immune response is small and has not been observed so far (Wu et al.,
2009), though the polymer is toxic at higher concentrations as well.
Base Base Base

O O O
O H O O O H Base
N
O P S- O P S- O P S- O O
CH3
O NH
O O O CH3
PS DNA 2OMePS RNA 2OMOEPS RNA PNA
Base O Base O Base

O
N N
O O O O
O NH
O P O- O P N
N{(CH2)2OCN[(CH2)6NHCNH2]2}2
N
O O N N N
O NH
O N N{(CH2)2OCN[(CH2)6NHCNH2]2}2
LNA/ENA PMO Vivo-PMO

Phosphorothioate (PS) DNA, 2’-O-methyl phosphorothioate (2OMePS) RNA, 2’-O-methoxyethyl
phosphorothioate (2OMOEPS) RNA, peptide nucleic acid (PNA), locked nucleic acid (LNA), ethylene
bridged nucleic acid (ENA), phosphoroamidate morpholino (PMO) and dendrimeric octaguanidine
conjugated phosphoroamidate morpholino (Vivo-PMO).
Fig. 4. Chemical structure of different antisense oligonucleotides
3.3 AON design and targets

Target sites for exon skipping AONs are splice sites (SS), exonic splicing enhancer (ESE)
sites or exon inclusion sequences (EIS). Splice sites are required for the correct identification
of exons by the spliceosome, a catalytic complex that coordinates the splicing process and
consists of 5 small nuclear ribonucleoproteins (snRNP) and hundreds of other splicing
factors. The 5’ (donor) splice site (beginning of an intron), the branch point (just upstream of
the acceptor splice site) and the 3’ (acceptor) splice site (end of an intron) contain consensus
sequences that are bound by snRNPs and splicing factors to bring about the removal of
introns and ligation of exons. Blockage of splice sites or the branch point prevents
incorporation of the exon in the mRNA. Exon recognition is further facilitated by ESE sites,
which are exonic sequence motives to which certain splicing factors (Ser-Arg-rich (SR)
proteins) can bind. AONs targeting ESEs have been proposed to sterically hinder the
binding of SR proteins (Aartsma-Rus et al., 2005; Aartsma-Rus et al., 2009b; Kole et al., 2004;
Tanaka et al., 1994).
4. Antisense-mediated exon skipping in vitro

4.1 Single exon skipping
First proofs-of-principle for the feasibility of restoring the reading frame by exon skipping
have been shown in vitro in cultured primary human myoblasts, derived from DMD
patients and in mdx-cell cultures.
In the early nineties, a DMD patient (named “DMD Kobe”) was identified carrying a
deletion of 52 base pairs within exon 19, which led to the skipping of the whole exon. The
authors hypothesised that this sequence might be important for splicing. An AON targeting
part of this exon induced exon skipping in human control lymphoblastoid cells (Pramono et
al., 1996; Takeshima et al., 1995). In cells derived from a patient with a deletion of exon 20,
PS AONs (able to activate RNase H) against the aforementioned sequence, resulted in exon
19 skipping and the restoration of dystrophin in ~20% of treated cells (Takeshima et al.,
2001). By that time, exon skipping with 2OMePS AONs (unable to activate RNase H), had
also been explored. In 2 patients with an out-of-frame exon 45 deletion treatment with
AONs resulted in exon 46 skipping, which should restore the open reading frame. Exon
skipping levels were ~15%, which restored the synthesis of functional dystrophin in more
than 75% of the cells (van Deutekom et al., 2001). Subsequently, the skipping of different
exons has been reported for patient-derived cells with other deletions, point mutations and
duplications. For an overview see Aartsma-Rus, RNA Biology 2010 (Aartsma-Rus, 2010).
Restoration of dystrophin synthesis was detectable at the membrane and the (at least partial)
functionality of these BMD-like proteins was suggested by the reformation of the
dystrophin-glycoprotein complex, shown by increased membrane expression of DGC-
associated proteins. Another interesting finding were the higher exon skipping levels
observed in these patient cell lines, than previously seen in control cell lines. This can be
explained by nonsense-mediated decay (NMD) of the original out-of-frame transcripts,
which are less stable than the newly formed in-frame transcripts (Aartsma-Rus et al., 2003).
4.2 Double and multiple exon skipping

In theory, skipping of a single exon would be beneficial for approximately 64% of the
known mutations in DMD patients. However, there still is a large population which requires
the skipping of 2 or more exons for reading frame restoration (Aartsma-Rus et al., 2009a).
The theoretic applicability of exon skipping could be extended to 79% by double exon
skipping and around 90% of patients by multiple exon skipping. Feasibility of double exon
skipping was first shown in 2 different patient cell lines. One patient had a nonsense
mutation in exon 43, for which dystrophin synthesis could be restored by skipping of exon
43 and 44. The second, carrying an exon 46-50 deletion, was successfully treated with a
combination of AONs against exon 45 and 51. Dystrophin synthesis was found in 70% of the
myotubes, which is almost as high as after single exon skipping (75-80%) (Aartsma-Rus et
al., 2004a). Subsequently, successful double exon skipping has been proved by other groups
(reviewed in Aartsma-Rus, RNA Biology 2010 (Aartsma-Rus, 2010)). The dog model for DMD
needs double skipping to bypass the mutation and cells derived from these dogs have been
used to show double exon skipping in vitro (see below) (McClorey et al., 2006).
A surprising finding in control myotubes was that combinational treatment with 45AON
and 51AON caused the skipping of the entire stretch of exons from 45 through 51. This
would largely increase its therapeutic applicability for a number of different mutations.
Indeed the same result could be induced in patient cells with an exon 48-50 deletion
(Aartsma-Rus et al., 2004a). Skipping of other large stretches of exons (multiple exon
skipping) however turned out to be technically challenging and has had limited success so
far (Aartsma-Rus et al., 2006a). The use of several ratios of 45AON and 55AON in both
control as patient cell lines resulted in undetectable to very low exon 45-55 skipping
frequencies (van Vliet L. et al., 2008).
Exon skipping is in theory useful for the majority of patients. Exceptions are mutations that
involve regions in the gene that are essential for the function of the dystrophin protein: all
actin-binding N-terminal parts, the cysteine-rich C-terminal part (binding to the DGC-
complex), the promoter region or the first exon. Furthermore it is not applicable to
translocations. Fortunately these kind of mutations make up only a small part (~8%) of all
known mutations (Aartsma-Rus et al., 2009a). The largest part of mutations is made up by
deletions and small mutations. A minor part consists of exon duplications (double or
multiple). In the case of single duplications, skipping of one of these exons would in theory
generate wild-type dystrophin transcripts. However, this turned out to be challenging. In
cells with an exon 45 duplication this was indeed possible, but in other cases the skipping
was so efficient that both exons were skipped, leading to an out-of-frame transcript
(Aartsma-Rus et al., 2007). Skipping of an additional exon could restore the reading frame
again. For example for an exon 18 duplication, successful skipping of exon 17 and both exon
18s resulted in restoration of the reading frame (Forrest et al., 2010). Successful skipping of
multiple exon duplications has not yet been achieved (Aartsma-Rus et al., 2007). In total 6%
of patients could benefit from single or multiple skipping of exon duplications.
5. Antisense-mediated exon skipping in vivo in animal models

5.1 AONs in mouse models for DMD
5.1.1 AONs in the mdx mouse model
After the promising in vitro results, AONs have been tested in vivo in animal models. As
mentioned before, the mdx mouse is most widely used. The target site for exon 23 was first
optimised in mdx myotube cell cultures. This resulted in a 5’ splice site targeting AON with
a 2’-O-methoxyethyl phosphorothioate (2OMePS) backbone, which was tested locally in the
mdx mouse. A single intramuscular injection of this compound in the tibialis anterior of both
young (2 or 4 weeks old) and aged (6 months old) mice resulted in marked dystrophin
expression 2 weeks after injection, which persisted up to 3 months after injection. The
functionality of the dystrophin protein was suggested by the re-expression of dystroglycans,
sarcoglycans and nNOS at the membrane. It also resulted in partial restoration of
physiological function, maximum isometric titanic force, of the treated muscles. Importantly
no auto-immune response against the newly formed dystrophin protein was observed (Lu et
al., 2003). Of course, since DMD affects body-wide musculature, including heart and
diaphragm, injection of every muscle separately is not feasible and systemic treatment is
required. Three intravenous injections at weekly intervals resulted in dystrophin expression,
highest in gastrocnemius, intercostal muscles and the diaphragm, without signs of toxicity
or damage to other organs. However dystrophin could not be detected in the cardiac muscle
(Lu et al., 2005). To optimise delivery and efficiency, different administration routes have
been compared. Intravenous injection resulted rapidly in high plasma levels, which were
quickly cleared. Peak plasma levels were twofold lower after subcutaneous and
intraperitoneal injection, but clearance was much slower. Furthermore, intravenous injection
resulted in very high AON levels in the kidney and liver, which might induce toxicity after
long term treatment. Skipping levels were highest after intravenous injection and slightly
lower for both subcutaneous and intraperitoneal injection. Dystrophin expression followed
a similar pattern. Importantly, all 3 routes resulted in exon skipping and dystrophin
expression in the heart, albeit at low levels. Due to the better pharmacokinetic profile of
subcutaneous versus intravenous injection and slightly higher exon skipping compared to
intraperitoneal administration, subcutaneous injection seemed to be the delivery method of
choice. After subcutaneous treatment also a decrease in serum creatine kinase (CK) levels
was observed. Creatine kinase is an enzyme that leaks out of the muscles into the blood
stream when muscles are damaged, so a decrease indicates an improvement of muscle
integrity (Heemskerk et al., 2010).
Morpholino (PMO) AONs have been shown to be effective in vivo as well. Intramuscular
injection in the tibialis anterior elicited a dose-dependent increase in dystrophin expression
in the majority of muscle fibres and dystrophin protein levels up to 60% of levels found in
healthy muscle. Efficiency was comparable in both young (3 weeks old) and aged (6 months
old) mdx mice. Repeated systemic (intravenous) injections induced exon skipping and
expression of dystrophin protein body-wide, albeit with large variations between individual
muscles. Highest levels were found in the quadriceps, abdominal and intercostal muscles.
Lower levels were found in the tibialis anterior and diaphragm. CK levels were decreased
and muscle function was improved as well. As with 2OMePS AONs, targeting of the cardiac
muscle appeared difficult, since exon skipping and dystrophin expression were
undetectable (Alter et al., 2006). Wu et al. showed that dystrophin restoration could be
achieved (up to 30% of healthy levels) by systemic PMO treatment, although extremely high
doses (up to 3 g/kg bodyweight) were required (Wu et al., 2010). Furthermore, a dosing
regime of multiple low doses seems to be preferable above a few high doses to reduce the
risk of toxicity and increase the efficiency, since both AONs and dystrophin protein show an
accumulation over time (Malerba et al., 2009).
In the mdx mouse model PMOs appeared more effective and at lower doses compared to
2OMePS AONs. A direct comparison revealed that this was indeed the case for mouse exon
23 in the mdx mouse. Intramuscular injection of both AONs in the gastrocnemius, resulted in
much higher skipping levels for PMOs than for 2OMePS AONs at the same molar amount.
Systemic (intravenous) comparison in the mdx mouse showed, as had been noticed before,
that most of the 2OMePS AONs are taken up by the liver and kidney. However the PMOs
were almost exclusively taken up by the kidney. A possible explanation is that 2OMePS
AONs bind to serum proteins, which prevents renal clearance (Geary et al., 2001), whereas
PMOs do not, which explains their high renal clearance (Oberbauer et al., 1995). 2OMePS
AON uptake was higher for all skeletal muscles, diaphragm and heart. In contrast to the
biodistribution, exon skipping efficiency was much higher for the PMO AONs in skeletal
muscle and diaphragm (approximately 40% versus 10%). Skipping levels in the heart were
much lower and almost comparable between both compounds (2.5% for the PMOs versus
1.5% for the 2OMePS AONs). Protein levels followed the same pattern (Heemskerk et al.,
2009b).
A PMO conjugated to a cell-penetrating peptide (pPMO) showed to be more effective than

the naked PMO AON. Systemic (intravenous) treatment of mdx mice was very potent in
both skeletal muscle, diaphragm and, importantly, heart. pPMOs lead to a decrease in CK
levels (Jearawiriyapaisarn et al., 2008). Another study confirmed that the long term systemic
treatment with pPMOs was effective in restoring dystrophin expression in skeletal muscle,
improving muscle function and preventing heart failure (Wu et al., 2008). These pPMOs
were also able to rescue the severe mdx/utrn-/-- mouse model by systemic (intraperitoneal)
treatment. Considerable improvement of muscle function was observed, combined with
dystrophin expression in almost all muscles, except for the heart (Goyenvalle et al., 2010).
Peptides might elicit an immune response, but no signs of such a response or toxicity were
found in the mouse models so far. Unfortunately, when a pPMO compound was tested in
primates, there were toxicity concerns. In cynomolgus monkeys pPMO doses equivalent to
the ones used in mice, were not toxic, but also had little exon skipping effect. Higher doses
were effective, but also caused tubular degeneration in the kidneys, a sign of renal toxicity
(Moulton & Moulton, 2010). Yin et al. generated a chimeric fusion peptide consisting of a
muscle-targeting heptapeptide (MSP) fused to an arginine-rich cell-penetrating peptide (B-
peptide), which they conjugated to a PMO oligomer (B-MSP-PMO). These B-MSP-PMOs
were already efficient at very low doses in restoring high levels of dystrophin expression
body-wide (Yin et al., 2009). Novel cell-penetrating peptides have been discovered by
inducing modifications to a Drosophila melanogaster-derived R6-Penetratin peptide. These
peptides are called PNA or PMO internalisation peptides (Pips). A conjugate of Pip2b and a
PNA AON (Pip2b-PNA) resulted in approximately threefold higher dystrophin-positive
fibres compared to the naked AON after local injection in the tibialis anterior of mdx mice
(Ivanova et al., 2008). More and improved Pips have been developed. Pip5e fused with a
PMO (Pip5e-PMO) showed high exon skipping efficiency after a single intravenous injection
in the mdx mouse. Most importantly it also efficiently targeted the heart, leading to
dystrophin levels of more than 50% of wild-type levels (Yin et al., 2011).
Another modification of the PMO is conjugation to a dendrimeric octaguanidine polymer
(vivo-morpholino). This modification also significantly improved the delivery and
dystrophin production in mdx mice after intravenous injection. Repeated treatment resulted
in dystrophin expression in almost 100% of the skeletal muscle fibres and levels of protein
up to 50% of wild-type levels. Importantly, levels of ~10% of those found in healthy hearts
were found in the cardiac muscle. In these mice no signs of an immune response or toxicity
were observed (Wu et al., 2009).
5.1.2 AONs in the other mouse models

Both 2OMePS and PMO AONs have also been tested in the mdx4Cv mouse. These mice
require skipping of both exon 52 and 53 to remove the mutation and maintain the reading
frame. Immortalised myoblast cell cultures from these mice were used to design the most
effective AONs against exon 52 and 53, which were then tested in vivo in the mdx4Cv mice.
2OMePS AONs induced exon skipping in these cell cultures, but no dystrophin protein was
observed. Intramuscular injection of the cocktail of AONs in the tibialis anterior resulted in
sporadic exon skipping in this muscle, but no detection of dystrophin protein. A
combination of PMO AONs against both exons resulted both in vitro and in vivo (after
injection in the tibialis anterior) in exon skipping and restoration of dystrophin expression
(Mitrpant et al., 2009).
AONs are sequence-, and therefore species-, specific. So, to be able to test human-specific
AONs, a mouse containing the full-length human DMD gene was generated (hDMD). These
mice have a fully functional hDMD transgene integrated on mouse chromosome 5. The
functionality of the transgene was proven by rescuing the severe dystrophic phenotype of
the mdx/utrn-/- mouse after crossing of both models ('t Hoen et al., 2008). Intramuscular
injection (gastrocnemius) of 2OMePS AONs against exon 44, 46 or 49, induced specific
skipping of the targeted human exons. It also highlighted the sequence-specificity of the
AONs, since in the corresponding mouse sequences, with only 2 or 3 mismatches, no
detectable skipping was observed (Bremmer-Bout et al., 2004). As described before, PMOs
were more efficient in the mdx mouse than 2OMePS AONs. However in the hDMD mouse,
AONs targeting human exon 44, 45, 46 or 51 were comparably effective or only marginally
different between both chemistries. This indicated that the differences between PMO and
2OMePS AONs are probably more due to sequence differences than to chemistry
differences. Furthermore, it also suggested important differences in sequence-specificity.
2OMePS AONs with 2 mismatches had a greatly reduced efficiency, whereas PMO AONs
remained equally effective. This can increase the risk of off-target side effects (Heemskerk et
al., 2009b).
Studies in these hDMD mice revealed that the uptake of AON by the healthy hDMD muscle
fibres is much lower than by dystrophic mdx fibres. This can probably be explained by the
dystrophic nature of the mdx fibres: the lack of dystrophin results in damage to the muscle
fibres, leading to leakage of the muscle enzyme creatine kinase into the bloodstream. It has
been proposed that the AONs migrate into the muscle fibres through these same holes
(Hoffman, 2007). In this way the disease is facilitating delivery of the potential therapeutic
compound. Indeed AON uptake and skipping in the hDMD mouse is more difficult. The
exon skipping levels observed after intramuscular injection with either 2OMePS or PMO
AONs were lower than previously observed in the mdx mouse and in cell cultures
(Heemskerk et al., 2009a). A pilot experiment with systemic (intravenous) injection of
2OMePS AONs targeting exon 51 in the hDMD mouse resulted in very low or undetectable
exon skipping in the muscles (Heemskerk et al., 2010). Recently, vivo-morpholinos against
exon 50 were shown to be able to achieve high levels of exon skipping after systemic
(intravenous) injection in the healthy skeletal muscles of the hDMD mouse and even low
levels in the cardiac muscle. There were no large signs of toxicity or adverse effects, only a
small increase in serum CK levels, which could reflect a bit of membrane integrity
disturbance (Wu et al., 2011). The influence of the nature of the muscle fibres on AON
delivery efficiency might also explain why targeting of the heart is so difficult. The heart
muscle is structurally and pathologically different from skeletal muscle, since it is made up
of individual cardiomyocytes, which do not become ‘leaky’.
5.2 AONs in the canine models

First AON experiments with the canine model have been performed in vitro in myoblast cell
cultures of the GRMD dog. The nature of the mutation requires the skipping of 2 exons
(exon 6 and exon 8) to restore the reading frame, thereby making it more challenging. In
vitro, 2OMePS AONs induced higher exon skipping levels than the PMOs, but only for a
short term and without induction of detectable dystrophin protein. PMOs could restore a
low level of dystrophin production, but only at very high concentrations. pPMOs could
induce slightly higher exon skipping levels and restored dystrophin expression (McClorey
et al., 2006). Further testing of these AON cocktails in vivo by intramuscular injections,
revealed that the AONs targeting exon 8 were effective, but the AONs targeting exon 6,
which showed effectiveness in vitro, were not (Partridge, 2010). Another small experiment
(in a 6 months old and a 5 years old dog) with cocktails of 2OMePS AONs or PMOs,
resulted in high skipping levels of the desired exons and restoration of dystrophin protein to
near normal levels after a single injection in the tibialis anterior with the highest test dose.
The structure of the dystrophin-positive cells was reported to be improved. Furthermore,
both backbone chemistries showed comparable results and results were better in the
younger dog than in the older dog (Scheuerbrandt, 2009).
Systemic (intravenous) treatment of CXMDj dogs with a cocktail of 3 PMO AONs targeting
exon 6 (2 PMOs) and exon 8 (1 PMO), generated body-wide production of functional
dystrophin. In the heart there was only modest production of dystrophin, as observed in
mice. Furthermore, an interindividual variation between dogs and intra-individual variation
between different muscles of the same dog was seen. Functional improvement could be
shown too and no signs of toxicity were observed (Yokota et al., 2009).
6. Clinical trials with antisense-mediated exon skipping

6.1 Local treatment with AONs
After the promising preclinical results in vitro and in vivo, the first clinical trials were
initiated. These trials used local (intramuscular) injections to obtain proof-of-principle in
humans and examine possible adverse effects. Normally, the first human trials are done in
healthy volunteers (phase I). However, this is not possible in this case, since exon skipping
in healthy persons would result in disruption of the reading frame. Therefore this phase was
skipped and AONs were tested immediately in DMD patients (phase I). These first trials
focused on skipping of exon 51 for both 2OMePS (in 2006) and PMO AONs (in 2008), since
this would be applicable to the relatively largest group of known mutations (13%) (Aartsma-
Rus et al., 2009a).
A single injection in the tibialis anterior with 0.8 mg of a 2OMePS AON (called PRO051) in 4
patients resulted in specific exon 51 skipping without adverse effects. It restored dystrophin
expression at the sarcolemma in 64-97% of the myofibres and restored protein levels till 17-
35% of control levels. However, it also clearly indicated the importance of muscle quality
since the target of AONs, the dystrophin transcript, is only expressed in muscle fibres and
not in adipose and fibrotic tissue, which replaces the muscle tissue when the disease
progresses. The patient with the lowest dystrophin levels had the most advanced disease
state and relatively little muscle tissue left (van Deutekom et al., 2007).
For PMO AONs a placebo-controlled, single-blinded study was performed. Seven patients
received an injection with a PMO AON (called AVI-4658) into their extensor digitorum
brevis (EDB) and saline into the contralateral muscle. In 2 patients receiving the lowest dose
(0.09 mg) this resulted in low levels of exon 51 skipping, but no observed increase in
dystrophin expression. However, a clear dystrophin restoration was observed in the higher
dose (0.9 mg) group. As for the PRO051 study no adverse events, like an inflammatory
response, were observed. Immunofluorescent staining for dystrophin indicated 11-21%
higher intensity levels in the AON-treated muscle compared to the contralateral saline-
treated muscle, and levels of 22-32% of control dystrophin levels (Kinali et al., 2009). Since
both studies studied different muscles and used different techniques for quantifying
immunocytochemistry the results are not directly comparable (Aartsma-Rus & van Ommen,
2009). However both studies showed unequivocal effectiveness of the used compound in the
absence of side effects.
6.2 Systemic treatment with AONs

The next step towards clinical application of exon skipping are systemic clinical trials. The
first pilot experiment has been conducted in Japan. Takeshima et al. treated 1 DMD patient
intravenously with a weekly dose of 0.5 mg/kg bodyweight of a PS AON against exon 19
for 4 weeks. Only very low levels of exon skipping and dystrophin protein were observed in
a muscle biopsy (Takeshima et al., 2006). This is not surprising, as the dose used was very
low and the PS backbone chemistry is not ideal for exon skipping purposes (see above).
Furthermore, this was only 1 single patient, so no real, reliable conclusions can be drawn
from this experiment.
More extensive, open-label, dose-escalation, phase I/IIa studies have recently been
completed for both 2OMePS and PMO AONs. The first was a study with abdominal
subcutaneous injections of PRO051 (2OMePS AON, now called GSK2402968)) in 12 patients
testing 5 weekly doses (0.5, 2, 4 and 6 mg/kg bodyweight) in groups of 3 patients. Doses of 2
mg/kg bodyweight or higher resulted in specific exon 51 skipping. In 10 out of 12 patients
dystrophin expression in a tibialis anterior biopsy could be observed in 60-100% of the
muscle fibres at levels up to 15.6% of healthy levels in a dose-dependent manner. After
analysis of this first phase (6 to 15 months later), all patients entered an open-label extension
study in which they received weekly injections of the highest dose. After 12 weeks, this
resulted in functional improvement as measured by the 6-minute walk test. Since a placebo
group is lacking, interpretation of this improvement must be done with caution.
Nevertheless, the overall results are encouraging and only mild adverse events, like
irritation at the injection side and mild proteinuria, were observed (Goemans et al., 2011).
AVI-4658 (PMO AON, also called eteplirsen) was tested by 12 weekly intravenous infusions
of different doses (0.5, 1, 2, 4, 10 and 20 mg/kg bodyweight) in a total of 19 patients, without
serious adverse events. In a biceps biopsy, exon 51 skipping and restoration of protein
expression was observed starting at a dose of 2 mg/kg bodyweight, albeit variable between
individual patients. The responding patients showed dystrophin levels of 8-16% of healthy
controls by immunofluorescent staining. Notably, there were 3 patients who responded very
well, with up to 55% of dystrophin-positive fibres by immunofluorescent staining and
dystrophin levels up to 18% by western blot. In 4 other patients some improvement was
observed. Furthermore, the functionality of the newly formed proteins was confirmed by
the restoration of DGC-associated proteins at the sarcolemma. In addition, a reduction of
inflammatory infiltrates was observed in the highest dose group, which probably indicates a
reduction in necrosis and an increased resistance to mechanical load (Cirak et al., 2011). Not
all patients responded equally well, which may be explained by the short serum half-life of
PMOs. Since PMOs do not bind to plasma proteins (see above), they are rapidly filtered out
by the kidney (accounting for 40-60% of total plasma clearance). Thus, the amount available
for uptake by other tissues (e.g. muscles) is low. Therefore further optimisation (e.g. higher
doses) is needed.
The next steps are larger randomised, placebo-controlled studies and targeting of other
exons. For GSK2402968 a phase III study was initiated in January 2011. 180 ambulant
patients will receive 6 mg/kg bodyweight AON once weekly for 1 year or placebo
(http://clinicaltrials.gov/ct2/show/NCT01254019?term=GSK2402968&rank=1). This study
will tell us whether long-term treatment is safe and leads to functional improvement or
slowing down of disease progression (compared to placebo-treated patients). In parallel,
a study in non-ambulant patients with different AON doses, primarily to
determine the pharmacokinetical profile in older patients, and a study in
ambulant patients where different treatment regimes are compared, are conducted
(http://clinicaltrials.gov/ct2/show/NCT01128855?term=GSK2402968&rank=3 and
http://clinicaltrials.gov/ct2/show/NCT01153932?term=GSK2402968&rank=2). In addition
a clinical trial for AVI-4658 (eteplirsen) with higher doses (30 mg/kg and 50 mg/kg
bodyweight) for 24 weeks has been initiated to assess its efficacy and safety
(http://clinicaltrials.gov/ct2/show/NCT01396239?term=eteplirsen&rank=1). These trials
focus on skipping of exon 51, applicable to the relative largest group of patients. Skipping of
exon 44 would be useful for another large group of patients (6.2%) (Aartsma-Rus et al.,
2006b). A phase I/IIa study with PRO044 (2OMePS AON against exon 44)
with the same set-up as the phase I/IIa study for PRO051 is currently ongoing
(http://clinicaltrials.gov/ct2/show/NCT01037309?term=PRO044&rank1). Furthermore,
preclinical studies with other 2OMePS AONs (against exon 45, 52, 53 and 55) are performed
by Prosensa Therapeutics. In addition to this, preclinical tests with AVI-5038 (pPMO AON
against exon 50) are ongoing, although toxicity issues with this pPMO have been reported
(http://investorrelations.avibio.com/phoenix.zhtml?c=64231%20&p=irol-
newsArticle&ID=1406001&highlight=).
7. Improvement of AON delivery and efficiency

The efficacy of AONs depends partly on the amount of AON that reaches its target, i.e. the
muscle fibre nuclei. Several strategies to improve muscle-specific uptake are under
investigation, like muscle-homing peptides and cell-penetrating peptides (see above). Due to
AON clearance and turnover, the effect of AONs is only temporarily, thus repeated, life-long,
injections are required, should this approach prove to be efficacious. The first clinical trials
showed that the average serum half-life was 29 days for 2OMePS AONs and around 1.5 hours
for PMOs. A way to allow a more prolonged effect is the use of viral vectors stably expressing
modified small nuclear ribonucleoprotein (snRNP) genes, in which the normal antisense
sequence is replaced by an antisense sequence of choice. snRNPs are small protein-RNA
hybrids that are amongst others involved in pre-mRNA splicing and histone processing. The
U1 and U7 snRNPs have been used most in splicing modulation experiments (Brun et al.,
2003). Exon 51 targeting U1 snRNPs induced effective skipping of exon 51 and rescue of
dystrophin synthesis in a patient-derived cell line (De Angelis et al., 2002). Adeno-associated
viruses (AAVs) are very efficient at transferring genes into skeletal muscles. Injection of AAV
vectors expressing U7 or U1 snRNPs targeting mouse exon 23 resulted in sustained production
of functional dystrophin in the mdx mouse after intramuscular injection and body-wide
dystrophin expression and reduced muscle wasting after systemic treatment (Denti et al., 2008;
Goyenvalle et al., 2004). However serious problems with the use of AAV vectors are the
possibility of an immune response against the viral capsid and the difficulty to produce them
on a large scale under good manufacturing practice (GMP), necessary for implementation in
the clinic. Another problem is the translation from mice to larger animals or humans. In mice it
is feasible to treat a whole muscle, but transfection of whole muscles body-wide is more
challenging in larger animals and humans.
8. Conclusion
In summary, Duchenne muscular dystrophy is caused by genetic defects in the gene
encoding the dystrophin protein. These mutations cause a premature stop codon or disrupt
the reading frame, leading to a non-functional protein. In most cases this can be overcome
by specific skipping of the mutated exon with AONs, to produce a slightly shorter, but
largely functional dystrophin protein, as found in the related, but much milder Becker
muscular dystrophy. Over the past years major steps have been made in development of
this therapy. Proof-of-principle has first been shown in vitro in cultured muscle cell lines and
in vivo in several animal models (e.g. mdx mice and GRMD dogs). Recently the first clinical
trials with AONs of 2 different chemistries, targeting exon 51, applicable to the largest group
of patients, have been completed with positive results. Larger trials are ongoing or planned
for the near future. Although the results obtained in the past few years are very
encouraging, precaution is needed and several problems still exist. First of all, this is not a
cure, but a potential treatment that will hopefully lead to an improvement of the phenotype.
Secondly, the approach is mutation-specific, i.e. requiring different AONs for different
mutations. Luckily most mutations cluster in 2 hotspots (see above). However, development
and application in the clinic of the therapy for rare mutations will be difficult, since at the
moment each AON is considered as a new drug, therefore has to go through all (pre)clinical
steps before it can be registered. For these rare mutations simply not enough patients are
available for these studies. At the moment efforts to discuss this with the regulatory
authorities are coordinated by the TREAT-NMD Network of Excellence. For example, it may
be possible to reduce the toxicity trials for an AON with similar backbone chemistry, if 1 or
2 of this kind have been proven to be safe (Muntoni & Wood, 2011). Thirdly, the approach
will not be useful for mutations affecting the essential parts (actin-or dystroglycan-binding
domains) of the protein. Fortunately these make up only a small percentage of all known
mutations. Furthermore, restoration of the reading frame is more challenging when double
and especially multiple exon skipping is required. Finally, the preclinical studies and first
clinical trials have shown that muscle quality is very important for the therapeutic success,
since dystrophin transcripts are only produced in muscle cells and not in the fibrotic and
adipose tissue that replaces the muscle cells when the disease progresses. Therefore early
start of treatment will probably be required.
In conclusion, AONs are currently a promising therapeutic approach for DMD and major
steps towards clinical implementation have been made over the past years, but further
improvements are necessary for increasing therapeutic effectiveness and more research for
broader clinical application of the technique.
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4
Psychosocial Support
Needs of Families of Boys with
Duchenne Muscular Dystrophy
Jean K. Mah1,* and Doug Biggar2
1Alberta Children’s Hospital, University of Calgary, Calgary, Alberta,
2Bloorview Kids Rehab, University of Toronto, Ontario,
Canada
1. Introduction
Duchenne muscular dystrophy (DMD, OMIM #310200) is the most common form of
muscular dystrophy in childhood, with an incidence of approximately 1 per 3,500 live-born
males [Emery, 1991]. It is caused by mutations of the DMD gene located on Xp21 which
codes for dystrophin, a 427-kDa protein that is expressed at the sarcolemma of skeletal
muscle. The dystrophin gene contains 79 exons, which includes an actin-binding domain at
the N-terminus, 24 spectrin-like repeat units, a cysteine-rich dystroglycan binding site, and a
C-terminal domain [Hoffman et al, 1987; Koenig et al, 1988]. The large size of the dystrophin
gene results in a complex mutational spectrum (>4,700 different mutations) as well as a high
spontaneous mutation rate [Aartsma-Rus et al, 2006]. Large deletions account for
approximately 65% of DMD mutations while duplications occur in up to 10% of males with
DMD. The remaining 25% include small deletions, insertions, point mutations, or splicing
mutations. About two-thirds of DMD cases are inherited from mothers carrying the
mutations, with the remaining one-third occurring as spontaneous mutations [Laing, 1993].
According to Monaco et al, DMD-causing mutations are typically associated with an out-of-
frame mutation leading to a loss of functional gene product, whereas in-frame mutations
that allow synthesis of an internally truncated but functional protein result in a milder
Becker muscular dystrophy (BMD) phenotype [Monaco et al, 1988].
Dystrophin is an integral component of the dystrophin glycoprotein complex. It stabilizes
the muscle membrane by bridging the basal lamina of the extracelluar matrix to the inner
cytoskeleton of the contractile elements [Rybakova et al, 2000]. It also serve as a
transmembrane signalling complex which is essential for cell survival [Chen et al, 2000].
Loss of dystrophin results in excessive membrane fragility, unregulated influx of calcium
ions into the sarcoplasm, mitochondrial dysfunction, and increased oxidative stress, leading
to progressive muscle degeneration, fibrosis, and fatty replacement [Wallace & McNally,
2009]. Early presenting features in DMD include developmental delay, proximal muscle
weakness as evident by Gowers’ sign and waddling gait, as well as varying degree of
cognitive impairment and learning disability [Fitzpatrick et al, 1986; Leibowitz & Dubowitz,
1981]. Serum creatine kinase is usually markedly elevated due to on-going muscle damage
and regenerative failure. Progressive muscle weakness leads to loss of independent
ambulation by early teens, scoliosis, quadriplegia, respiratory insufficiency,
cardiomyopathy, and death around the third decade of life.
Detection of DMD mutations include multiplex polymerase chain reaction (PCR) that
examines the most commonly deleted regions of the gene, or other molecular genetic assays
that interrogate all 79 exons, such as multiplex ligation-dependent probe amplification
(MLPA) and comparative genomic hybridization (CGH) microarray. If the presence of a
disease-causing deletion or duplication is not identified by a state-of-the-art DNA diagnostic
technique, complete gene sequencing is needed to define the precise mutational event
[Baskin et al, 2009; Takeshima et al, 2010]. A muscle biopsy can also be obtained for
confirmation of dystrophin deficiency by immunostaining plus extraction of cDNA and
RNA for further genetic testing [Mah et al, 2011].
Recent scientific advances have led to potentially new disease modifying treatments for
many neuromuscular diseases including DMD [Wagner, 2008; Fairclough et al, 2011]. The
main therapeutic strategies include: a) muscle membrane stabilization and up-regulation of
compensatory cytoskeleton proteins such as biglycan and utrophin [Amenta et al, 2011;
Tinsley et al, 2011]; b) enhancement of muscle regeneration via up-regulation of insulin
growth factor (IGF-1) and modulation of members of transforming growth factor-beta such
as myostatin [Schertzer et al, 2008; Morine et al, 2010]; c) reduction of the inflammatory
cascade by selective nuclear factor-kappa B (NF-κB) inhibition [Tang et al, 2010]; and d) gene
therapy including the use of adeno-associated virus microdystrophin [Trollet et al, 2009],
nonsense suppression therapy [Welch et al, 2007; Malik et al, 2010], and exon-skipping to
restore partial dystrophin protein production [Muntoni et al, 2005; van Deutekom et al,
2007]. Effective treatment of DMD will likely require multiple interventions targeting
different disease processes, and updated information about DMD clinical trials is available
at http://www.clinicaltrials.gov. The success of new and emerging therapeutic strategies
depends on early diagnosis and precise mutational analysis for boys with DMD, the creation
of a national or global disease-specific patient registries, plus on-going advocacy and
interdisciplinary collaboration.
2. Current management strategies

Until there is a definitive cure for DMD, current treatment strategies focus on promoting
well-balanced diet and physical activity as tolerated, delaying the onset of complications via
pharmaceutical treatments, and optimizing health outcomes through appropriate medical
and psychosocial support. Therapeutic interventions include the use of corticosteroids (such
as prednisone or deflazacort) for skeletal muscle weakness and afterload reduction (such as
angiotensin converting enzyme inhibitor or beta-blocker) for cardiomyopathy.
Corticosteroid therapy offers benefit to DMD boys by improving muscle strength and
function [Mendell et al, 1989; Griggs et al, 1991], prolonging independent ambulation
[Biggar et al, 2001; Schara et al, 2001], plus slowing the progression of cardiomyopathy
[Markham et al, 2008] and scoliosis [Kinali et al, 2007]. As well, the introduction of non-
invasive positive pressure ventilation has prolonged the survival of individuals with DMD
[Bach & Martinez, 2011].
Psychosocial Support Needs of Families of Boys with Duchenne Muscular Dystrophy 83
A number of recent publications have provided comprehensive reviews on the diagnosis

and multidisciplinary management of DMD, including the use of prednisone or deflazacort
to preserve muscle strength [Bushby et al, 2004; Moxley et al, 2005], optimizing growth and
development, surveillance for spinal deformities [Muntoni et al, 2006], managing
respiratory complications [Finder et al, 2004; Birnkrant et al, 2010], and treating
cardiomyopathy [American Academy of Pediatrics, 2005; Baxter, 2006]. As well, bone health,
nutrition, learning disability, behaviour problems, access to wheelchair and other adaptive
technology should be included as part of the comprehensive treatment plan [Bushby et al,
2010a; Bushby et al, 2010b]. As standard of care guidelines typically focus on medical
management and there are no systematic strategies to meet the psychosocial needs of boys
with DMD and their families, the remaining of this paper will present some of our results on
pediatric HRQOL, parental experience, and family-centered care approach to DMD that
may help to identify the needs and incorporate psychosocial support strategies into clinical
practice. We propose the use of a modified Family Needs Survey for DMD (DMD-FNS) to
help clinicians to address needs and tailor services for each family across the different stages
of the disease.
3. DMD and health-related quality of life

Chronic neurological disorders such as DMD have a significant impact on pediatric
health-related quality of life (HRQOL) and functional ability. Both medical services and
community-based programs are often required to address their physical, emotional,
social, and educational needs. A large prospective study led by Dr. Craig McDonald and
his colleagues will provide valuable longitudinal data on the natural history of DMD,
associated HRQOL, and health services utilization; this 5-year study includes more than
three hundred boys with a confirmed diagnosis of DMD from 20 participating CINRG
centers in the United States and other international sites (personal communication). Given
the lack of information on the processes of care and health outcomes of children with
chronic neurological disabilities in Canada, a brief 3-month cross-sectional pilot survey
was performed at the Alberta Children’s Hospital, a tertiary pediatric neurosciences
center in Calgary, Alberta to explore the use of health services and HRQOL among DMD
and other pediatric neurosciences patients. Specifically, parents of 278 children (165 male,
mean age = 11  4.5 years) were asked to describe their child’s functional ability, health-
related quality of life (HRQOL), and use of health services including access to medical
professionals, rehabilitation programs, education, and social support in their
communities. The children were followed because of chronic neurological diseases
including brain tumour (n=33), traumatic brain injury (n=23), hydrocephalus (n=46),
myelomeningocele (n=29), refractory epilepsy (n=89), or neuromuscular disease (n=58),
including 14 boys with DMD. As part of the study procedure, the parents completed
questionnaires regarding their socio-demographic status, their experience with
rehabilitative and supportive services, their child’s functional ability using the Functional
Independence Measure (FIMTM/WeeFIM®), and their child’s HRQOL using the PedsQLTM
(version 4.0) generic core.
The FIM and WeeFIM are designed to measure functional abilities and limitations in
activities of daily living. The FIM is used for persons seven years of age or older, while the
WeeFIM is designed for children between six months to seven years in age. Both versions
measure independent performance in self-care, sphincter control, transfers, locomotion,

communication, and social cognition. Response to each of the items ranges from 1 to 7, with
higher scores indicating more independence. A total score is calculated by combining scores
from all eighteen items, and ranges from 18 to 126. The psychometric properties of the FIM
have been described in previous studies [Chau et al, 1994; Msall et al, 1994; Ottenbacher et
al, 1997].
The PedsQL (version 4.0) generic core scale is a self-report multidimensional instrument
designed by Varni et al to measure pediatric HRQOL [Varni et al, 1999]. The raw score for
each item is transformed to a 0 to 100 scale, with a higher score indicating better quality of
life. It has been validated for use in children [Varni et al, 2001]. The study was approved by
the University of Calgary Conjoint Health Research and Ethics Board.
Among the 278 children, close to one-half (49%) had some limitations in daily activities, as
reflected by their mean total FIM score of 90.6 (SD 34.4, max FIM score = 126).
Approximately 25% were severely disabled and totally dependent on caregivers for self-
care, sphincter control, and transfer. Nearly 40% of patients received regular (weekly to
monthly) rehabilitation therapy. The majority of health services were financed by
government health care program; 73 (27%) families reported additional out-of-pocket
expenses. As anticipated, the use of supportive health services such as physiotherapy or
occupational therapy was related to the child’s diagnosis, degree of functional ability, and
his/her HRQOL (see Table 2). On the other hand, socio-demographic variables such as
parental age, marital status, education, employment, and place of residence were not
significantly associated with health services utilization, except that parental income was
associated with varying degree of funding support from the government. Only a small
proportion (32%) of these families had access to regular respite, and the frequency of respite
correlated with the severity of disability. Having a designated care coordinator was
consistently associated with increased use of health services (OR 2.3 to 3.4).
Even though many pediatric neurosciences patients experienced significant functional
limitations and required rehabilitative services, the majority (83%) of parents in this study
felt that there was adequate medical, educational and financial support in their
communities. However, almost half (49%) of the families indicated need for more
psychosocial support, despite adequate medical, rehabilitative, and educational services.
Parents from visible minority groups, those with English as a second language, and those
who reported poor mental health were more likely to express need for more social
support.
Overall, the physical and psychosocial HRQOL scores for this group of children were lower
than published healthy controls; their mean PedsQL physical and psychosocial scores were
63.2 (SD 30.1) and 65.9 (SD 22.4) respectively (maximum PedsQL score = 100). Children with
refractory epilepsy had the lowest mean psychosocial scores, while those with DMD and
other neuromuscular diseases scored lowest on the physical scale (see Table 1). This
suggests that despite their physical limitations, children with neuromuscular diseases
enjoyed better HRQOL than those with refractory epilepsy. As seen in a subsequent study,
children with DMD and other progressive neuromuscular diseases experienced further
decline in their HRQOL, especially when they required the use of assisted mechanical
ventilation at home [Mah et al, 2008].
Mean SD Frequency
Physical functioning (/100)
 Neuromuscular Disease 52.49 30.59 57
 Myelomeningocele 58.92 26.87 29
 Hydrocephalus 68.56 31.13 45
 Brain Injury 85.64 21.69 23
 Brain Tumour 83.09 20.26 33
 Refractory Epilepsy 53.99 30.81 88
Psychosocial functioning (/100)
 Neuromuscular Disease 68.05 21.10 58
 Myelomeningocele 69.61 18.33 29
 Hydrocephalus 68.25 23.89 45
 Brain Injury 72.32 16.63 23
 Brain Tumour 80.96 17.90 33
 Refractory Epilepsy 54.10 21.36 89
Table 1. Comparison of Pediatric Health-Related Quality of Life Scores among children with
chronic neurological disorders
Dependent variable Independent variables Odds Ratio Wald’s test p value 95% CI
1. Utilization of Child’s age 0.911 -2.90 0.004 0.855 – 0.970
Medical Surgery 2.672 3.29 0.001 1.488 – 4.799
specialists Psychosocial HRQOL† 0.979 -3.13 0.002 0.965 – 0.992
Care coordinator 3.407 4.03 0.000 1.877 – 6.184
2. Utilization of Diagnosis
Allied Health Myelomeningocoele 0.295 -2.09 0.037 0.094 – 0.927
Professionals Hydrocephalus 0.069 -3.92 0.000 0.018 – 0.263
Brain injury 0.025 -3.13 0.002 0.002 – 0.251
Brain tumor 0.261 -2.06 0.039 0.073 – 0.935
Epilepsy 0.207 -3.13 0.002 0.077 – 0.555
Child’s age 0.851 -3.76 0.000 0.783 – 0.926
FIM‡ score 0.969 -5.03 0.000 0.957 – 0.981
Psychosocial HRQOL 0.978 -2.39 0.017 0.961 – 0.996
3. Utilization of FIM score 0.975 -3.64 0.000 0.961 – 0.988
Educational Psychosocial HRQOL 0.960 -3.69 0.000 0.939 – 0.980
Services Parental education 2.521 2.09 0.037 1.060 – 5.998
4. Access to Social FIM score 0.961 -6.96 0.000 0.950 – 0.972
Support Care coordinator 2.294 2.62 0.009 1.232 – 4.272
5. Access to Psychosocial HRQOL 0.977 -2.46 0.014 0.959 – 0.995
Funding Support Family income 2.375 2.37 0.018 1.160 – 4.864
† Health-related quality of life
‡ Functional Independence Measure
Table 2. Multiple regression analysis of rehabilitation and supportive services utilization by
children with chronic neurological disorders
4. Impact of home mechanical ventilation on HRQOL

The purpose of this study was to explore the impact of the use of life-sustaining assisted
technologies such as home mechanical ventilation (HMV) on children and adolescents with
NMD. We compared the HRQOL and parental stress among pediatric neuromuscular
patients with or without home mechanical ventilation, and again boys with DMD (n = 24)
were included as part of the study. Parents completed the Parenting Stress Index or the
Stress Index for Parents of Adolescents, depending on their child’s age. The Parenting Stress
Index is a 120-item questionnaire that has been standardized for use with parents of children
aged 1 month to 12 years [Abidin, 1993]. Each item is rated on a 5-point Likert-type scale
that ranges from 1 (strongly agree) to 5 (strongly disagree). A Total Stress score, a Child
Domain score, and a Parent Domain score are calculated from the responses. The 112-item
Stress Index for Parents of Adolescents is an upward extension of the Parenting Stress Index
for parents of adolescents aged 12 to 18 years [Sheras et al, 1998]. The Stress Index for
Parents of Adolescents examines the relationship of parenting stress to adolescent
characteristics, parent characteristics, the quality of adolescent-parent interactions, and
stressful life circumstances. A Total Stress score, an Adolescent Domain score, a Parent
Domain score, an Adolescent-Parent Relationship Domain score and a Life Stress score are
calculated from the responses. Support for the content, convergent and discriminant validity
of both versions of the Parental Stress Index is available. The PedsQL (version 4.0) generic
core was again used to measure the HRQOL of children with neuromuscular disease.
109 families participated; 19 (17%) of them had a child with neuromuscular disease
requiring HMV. Relative to healthy children and other chronically ill children, the pediatric
neuromuscular patients in this study displayed poorer physical and psychosocial HRQOL.
In addition, children on HMV had significantly lower mean total PedsQL scores than non-
ventilated children (47.9 vs. 61.5 respectively, p=0.013) (see Table 3); the difference was
likely the consequence of a more severe disease process in children requiring assisted
ventilation. Furthermore, the opportunities that these children have to be involved in social
activities outside of home and at school may be limited by the lack of portability of the
assisted ventilation devices and/or availability of trained caregivers. However, no
significant difference in mean total stress scores was found between parents of pediatric
neuromuscular patients with or without HMV. We postulated that these parents had been
living with the constant demands of caring for their child with neuromuscular disease
requiring home mechanical ventilation and that over time, these caretaking demands had
become part of “normal” life and were not identified as creating additional stress.
Mean PedsQL* Scores HMV† Number Mean Standard p value

Status deviation
Physical Non-HMV 92 54.85 27.53 0.001
HMV user 14 28.82 22.38
Psychosocial Non-HMV 87 63.22 18.89 0.028
HMV user 13 51.06 13.87
Total Non-HMV 91 61.54 18.91 0.013
HMV user 13 47.93 12.01
* PedsQL refers to Pediatric Quality of Life Inventory; † HMV refers to Home Mechanical Ventilation
Table 3. Comparison of Mean Pediatric Quality of Life Inventory scores between Mechanically
Ventilated and Non-Ventilated Pediatric Neuromuscular Subgroups [Mah et al, 2008a].
Reproduced with permission.
5. Understanding the parental experience

In order to further understand parental stress and psychosocial support needs of families
caring for children with DMD and other neuromuscular diseases (NMD), a qualitative
research study based on phenomenology was used to describe the experience of parents
caring for children affected by NMD requiring HMV [Mah et al, 2008]. Data was collected
from interviews in parents’ homes. The interviews were subsequently modified based on an
iterative approach to identify the core of the parents’ caregiving experience (see Figure 1).
Fig. 1. Parental experience in caring for a child with neuromuscular disease [Mah et al, 2008b].
Reproduced with permission.
Given the emphasis by parents on providing the best possible care and ensuring optimal
HRQOL for their child with NMD, the rest of the family unit’s needs including those of the
siblings, the spouse, and the primary caregiver tended to become secondary priorities. In
addition being their child’s primary caregivers, parents also took on the various functions of
health care professionals (HCP) such as nursing and respiratory therapy. Given sufficient
practice, they soon became experts on their child’s care and the child’s NMD. For most
parents, the demand of caring for their child with NMD was disruptive to family life; they
found it hard to spend quality time together. Over time, these demands became part of their
normal daily routine. One parent summed up major losses such as friendship, income,
privacy, and personal identity. The loss was not solely related to the child’s NMD and
declining health, but also due the impact of the parents’ decision to give up their careers,
passions, and personal desires to meet their child’s needs. Parents lived with uncertainty in
anticipation of future losses and limitations that their children might experience, as well as
anxiety as to how their children would react to those losses.
Despite a recurring sense of loss, many parents opted to look beyond the negatives and
focused on the positive aspects of their lives. Most families accepted the reality of caring for
their child with NMD, and worked through the experience in order to move forward to live
their lives as best they could. Living for the present helped parents to accept their changed
lives and to live with the uncertainty that became their “new” normal. Most families also
lived with the hope that there would be some improvement, a new treatment, or a cure
around the corner that could benefit their children with NMD.
The core of the parental experience can be summarized as “being the lifeline” for their child
with NMD Being the “lifeline” symbolized the vital role and the weight of the responsibility
that parents had assumed to ensure the survival and well-being of their child with NMD. The
core experience conveyed the love and devotion of parents for their child, and their desire for
their child to live and to enjoy good quality of life despite the physical and sometimes
cognitive limitations. The lifeline also embodied the mutually dependent and nurturing
relationship that existed between the parents and their child with NMD. Most parents in this
study acknowledged that they were receiving as much or more from their child than what
they were giving to their child. Despite the many challenges and hardships these parents dealt
with on a daily basis, they could not imagine life without their child, as he/she was also their
“lifeline.” Therefore, the “lifeline” theme serves as an important reminder to HCP in regards to
to the parents’ key role in safe guarding their child’s life and ensuring their child’s quality of
life. Awareness of this reciprocal “lifeline” relationship between the parents and the child with
NMD should also facilitate the recognition of parents as experts and key partners in decisions
related to the child’s medical management.
This study also highlights the importance of support from HCP, extended family, and
community agencies. As consistent with results by van Kesteren and his colleagues [van
Kesteren et al, 2001], families with NMD children requiring continuous assisted ventilation
in our study were more likely to experience increased stress, particularly when support was
inadequate. Potential gaps in the health care system that were identified by these parents
included insufficient funding for essential supportive equipment, lack of appreciation for
the “whole” child and the entire family unit, and unavailability of respite workers due to
suboptimal wages and manpower shortages in our health regions. Families who perceived a
lack of support were burdened with the responsibility of being the sole caregivers for their
child, and might therefore be at higher risk for stress-related illnesses and adverse
psychological outcomes. Specific strategies to improve support for these families will
require greater coordination of services, reliable access to respite personnel, and an
individualized approach to address each family’s needs and priorities.
6. Family-centered care approach to DMD

The management of boys with DMD may benefit from a family centered model of care that
promotes communication and consensus-building among HCP, administrative staff, and
community agencies, with each family being an integral part of the interdisciplinary team
[Ivey et al, 1988]. Accordingly, family-centered practice perceives “the entire family as the
unit of attention” and provides services in a collaborative fashion based on informed choice,
in accordance with each individual family’s strengths, needs, and goals. Family centered
care (FCC) acknowledges the importance of the family in meeting the physical,
psychosocial, and developmental needs of children [Bissell et al, 2004; American Academy
of Pediatrics, 2004]. The premise for a family-centered model of service delivery is based on
the assumption that “parents know their children best and they want the best for their
children”[Bamm & Rosenbaum, 2008]. An essential element of this model of care is to align
the clinical practice with the needs of patients and families, as each family may not want the
same degree of participation in their health care due to social and cultural factors [Boon et
al, 2004; Deber, 1994a; Deber, 1994b; Deber et al, 1996]. As needs may change over time, it is
also important to identify the support needs of individuals and families at different stages of
the illness [Trivette et al, 1993]. In addition, children thrive within a supportive family and
community environment. Thus, the purpose of FCC is to empower the caregivers and to
enhance their well-being in order to maximize positive health and developmental outcomes
for their children. This model of care reflects a paradigm shift away from the traditional
paternalistic model of physician-patient relationship towards an equal partnership between
families and HCP in order to arrive at mutually agreed goals. Early anticipatory guidance
may help families cope with disease progression (see Table 4) [Dawson & Kristjanson, 2003].
The main guiding principle of FCC is to align the clinical practice with the needs of the
families and to enable each family to be involved in making decisions for their child’s health
care. In order to accomplish this goal, special attention should be paid to the service
providers’ interactions with the families as well as the organizational approach to service
delivery. From an interpersonal level, the practice of FCC will require the service providers
to: a) show respect for the family’s perspective, values, and cultural diversity; b) identify
family strengths, needs, and priorities on an on-going basis; c) provide information about
their child’s condition in a way that matches the family’s needs; d) involve families in
decision-making; and e) develop services that are flexible to the needs of individual families.
From an organizational or institutional level, the delivery of family centered services will
require the managers and policy-makers to provide: a) service coordination and integration
within and between sectors; b) expedients for family-to-family support; c) family-friendly
physical environments; d) high quality general and illness-specific information; and e)
opportunities for family involvement in decision-making at all levels of the organization.
Previous studies of FCC effectiveness have focused primarily on the impact on FCC
practices on parental outcomes, such as a reduction in caregivers’ stress, an improvement in
their overall well-being, or an increase in satisfaction with care [Dunst et al, 2007]. In 2008,
Dempsey and Keen summarized the findings of 35 studies published during 1993 to 2004
pertaining to the processes and outcomes of family centered services for children with
disabilities [Dempsey et al, 2009]. Most of these studies examined health care providers’
interpersonal strategies such as the provision of help-giving practices or other processes of
care. The impact on parent outcomes included: a) a mild to moderate increase in
psychological well-being; b) an increase sense of empowerment; and c) a greater degree of
satisfaction with services. The effects on child outcomes were less evident, and included
some (albeit inconsistent) degree of improvement in child development or health. Recently,
Moore et al examined the relationship of processes of care to children’s HRQOL [Moore et
al, 2009]. The study included 187 caregivers of children from the pediatric neurosciences
clinics at the Alberta Children’s Hospital; 44 (24%) of these children suffered from a
neuromuscular disease. FCC was found to be a significant predictor of parent-reported
children’s physical, psychosocial, and total HRQOL, independent of the illness severity. The
provision of family-centred care practices by service providers had a positive impact on the
quality of life of children with neurological disorders.
Key Stages & Early to late ambulatory stage Early non-ambulatory Late non-ambulatory
FCC Strategies (4 to 10 years old) stage (10 to 16 years old) stage (>16 years old)
Family Discuss: Discuss: Discuss:
knowledge: DMD natural history & genetics Nutrition Transition to adult care
Show respect for Role of corticosteroids Complications of DMD Options for long-term
the family’s Research studies (scoliosis, cardiac, and ventilation support
perspective & respiratory)
expertise Genetic counselling referral Complications of Nutritional support
Carrier testing if indicated corticosteroids (i.e. gastrostromy tube)
Identify family’s
needs, strengths, Provide written material, Symptoms of nocturnal End-of-life counseling
& priorities on an websites &peer support hypoventilation and advance medical
on-going basis information Options for long-term directive
ventilation assistance
Provide Muscular Dystrophy (i.e. BiPAP, CPAP) Review previous
information that Association (MDA) & Parent Medical management of topics
matches the Project contact information cardiomyopathy if present
family’s needs School & social support
Facilitate family- Respite & financial issues
to-family support Adolescent needs &
quality of life
Review previous topics
Professional Medical consultations: Medical consultations Medical consultations
Support Genetics (as before, plus) (as before)
Involve families in Respirology Endocrinology
decision-making Orthopaedics (night splints, (osteoporosis,
scoliosis) bisphosphonate therapy)
Develop services
Cardiology
that are flexible to Teach:
Neurology / Physiatry
the needs of Chest physiotherapy to
individual families Ophthalmology (cataracts) family
Allied health support: Breath stacking, cough assist
Provide service
coordination and Clinic Nurse - Dietician Seating for wheelchair
integration within Physiotherapist - Psychologist Passive & active exercises
and between Occupational therapy
sectors Social worker
MDA community liaison
Medical Immunizations: Review previous topics Review previous
Therapy: Varicella vaccine topics
Provide high Pneumococcal vaccine Interventions (as required):
quality general Influenza vaccine Angiotensin converting
and illness-specific enzyme inhibitor and/
information Corticosteroids
Deflazacort (0.9 mg/kg/d) or or beta-blocker
Establish Prednisone (0.75 mg/kg/d) (cardiomyopathy)
opportunities for
Physiotherapy: Diuretics (congestive heart
family
Passive stretching, night splints failure)
involvement in
decision-making at Antibiotics (respiratory
Bone health:
all levels of the tract infections)
organization Calcium supplementation
Vitamin D supplementation Sitting ankle-foot orthosis
Other: Scoliosis surgery (pre-op
Behavioral intervention Cardiology, Respirology &
Weight management Anaesthesiology consults)
Key Stages & Early to late ambulatory stage Early non-ambulatory Late non-ambulatory
FCC Strategies (4 to 10 years old) stage (10 to 16 years old) stage (>16 years old)
Clinical / Weight, height, & blood pressure Same as before, except: Same as before
Laboratory Formal muscle function &
Monitoring: ECG, echocardiogram
strength test
Create family- (yearly)
ECG, echocardiogram (every
friendly physical 2 year)
environments Pulmonary function testing
Wrist x-ray for bone age
Bone densitometry scan
25-hydroxyvitamin D level Same as before, plus: Same as before
PCO2 measurement
as needed
Clinical review: 6 to 12 months 3 to 6 months 1 to 3 months
Table 4. Summary of Family Centred Care (FCC) Strategies for Duchenne Muscular
Dystrophy [McMillan et al, 2010]. Reproduced with permission.
Thus, currently available evidence suggests that interpersonal strategies of FCC are
positively associated with parental well-being, satisfaction, and empowerment. There is
limited evidence of positive impact of family centered services on children’s health and
development. Further studies are needed to determine the key outcome variables as well as
the longer-term effects of FCC strategies on parent and child outcomes. Subsequent studies
should also examine if family centered services affect pediatric health outcomes directly or
indirectly through improving parent outcomes, and how the practice can be incorporated as
standard of care for children with severe neuromuscular disorders such as DMD.
7. Challenges related to unmet support needs

Similar to the reports from caregivers of children with other neuromuscular diseases, parents
of DMD boys may experience frustration due to poor communication and fragmentation of
care within the health care system. It is therefore important for clinicians to understand the
priority support needs of individuals with DMD and their families across different stages of
the disease. Accordingly, the natural history of DMD can be summarized into five main stages,
including: a) the pre-symptomatic phase; b) the early ambulatory phase; c) the late ambulatory
phase; d) the early non-ambulatory phase; and e) the late non-ambulatory phase [Weidner,
2005]. The purpose of this next study was to explore the unmet support needs of families of
boys with DMD at different stages of the disease. We adapted the Family Needs Survey
[Bailey 1990] by adding items specific to DMD, and administered it to a representative sample
of parents of boys with DMD from two tertiary pediatric neuromuscular clinics in Canada, a
country where health care is publicly funded. We hypothesized that the number of unmet
needs might increase over time due to progression of the disease and vary by parental
sociodemographic characteristics such as ethnicity or education.
7.1 Methods
This was a mixed method study with participation from parents of children and youth with
DMD. For the purpose of this study, individuals were considered to have DMD if they
fulfilled all of the following criteria: a) onset of weakness before age 5; b) male gender; c)
evidence of proximal muscle weakness; d) increased serum creatine kinase; and e)

confirmed mutation in the dystrophin gene or dystrophic muscle biopsy with marked
deficiency in dystrophin immunostaining consistent with a diagnosis of DMD. Families with
limited English comprehension or those who were unable to provide informed consent were
excluded. Written informed consent from caregivers and assent from children was obtained
prior to enrolment. The study was approved by the institutional review boards from the two
participating centers.
The Family Needs Survey (FNS) was developed by Bailey and Simeonsson as a
parsimonious approach to identify specific family needs and to elicit parents’ priorities for
services in children with disabilities [Bailey & Simeonsson, 1990], and it has been adapted
for use across different cultures [Chen et al; 1994; Hendriks et al, 2000]. The original version
contained 35 self-report items grouped into seven general categories, including the need for:
1) information; 2) family and social support; 3) financial support; 4) explaining to others; 5)
child care; 6) professional support; and 7) community services. Parents who indicate “yes,”
to each item are given a score of 1, and other responses (no, or not sure) are scored as 0
[Bailey et al, 2004]. Previous studies have indicated strong inter-item reliability, with a
reported Cronbach’s alpha coefficient of 0.91 for the total score [Sexton et al, 1992]. Good
agreement was found between mothers and fathers, and the responses were stable within a
six-month period [Bailey & Simeonsson, 1988]. Permission from the authors was obtained to
modify the Family Needs Survey for this study. The DMD Family Needs Survey (DMD-
FNS) contained an additional 31 items exploring disease specific information and support
needs of families caring for individuals with DMD, reflecting current clinical practice
guidelines. The maximum score of the DMD Family Needs Survey was 66, with higher
scores indicating more unmet needs. In addition, families were asked to rate the importance
of each unmet need on a 5-point Likert scale, with a score of 1 indicating a “somewhat
important” need, and a score of 5 indicating a “very important” need. The questionnaire
also included items on the caregivers’ socio-demographic characteristics and their child’s
current health status.
The DMD-FNS was reviewed by six paediatric neuromuscular clinic staff (including
physicians and allied professionals) for content validity, and then piloted with five parents
of boys with DMD for input regarding the area of needs, the appropriateness of items on the
scale, the wording, and other content issues. Upon completion of the pilot, a cover letter and
the revised DMD Family Needs Survey were distributed to the rest of the parents of DMD
boys followed at the Alberta Children’s Hospital in Calgary, Alberta and the Bloorview Kids
Rehab in Toronto, Ontario. Both centers provide care for individuals with DMD in a similar
multidisciplinary team setting, including assessments by paediatrics, social work, nursing,
occupational therapy, physiotherapy, orthopaedic surgery, dietician, respirology and/or
cardiology on the same clinic day [McMillan et al, 2010].
Parents who consented to participating in the study completed the questionnaire on their
own and then returned it by mail or in person in a self-addressed and stamped envelope. A
minimum sample size of 60 responses from the DMD Family Needs Survey was planned,
with at least 10 to 15 families representing each of the four stages of DMD, including: a) at
diagnosis (< 8 years); b) near cessation of ambulation (8 - 12 years); c) during adolescence
(13 - 18 years); d) at advanced stage of the disease (> 18 years). Descriptive statistics were
used to summarize the characteristics of the study participants and their priority support
needs. Categorical variables were expressed as frequencies and percentages, and bivariate
comparisons were made using Pearson’s chi-square or Fisher’s exact test. Continuous
variables were reported as means with standard deviations or as medians with interquartile
ranges if the data was skewed, and comparisons were made using unpaired Student’s t-tests
or one-way analyses of variance. All tests were two-tailed, and p values less than 0.05 were
considered to be statistically significant.
In addition, parents who completed the DMD-FNS at the Bloorview Kids Rehab were
invited to participate in a focus group meeting. The focus group was an ideal setting to
verify the survey results, to explore ideas on how to address the identified priority needs,
and to provide mutual support for the participants based on shared experiences [Kitzinger,
1995]. Written consent was obtained prior to the start of the meeting. Discussion from the
focus group was audio-recorded and then transcribed verbatim. The analysis was
performed in accordance with the phenomenological method of inquiry, by engaging in
repeated immersions in the data prior to descriptive coding, and then using topic and
analytic codes to identify themes that were central to the parents’ experience and needs in
caring for their child with DMD [Coffey & Atkinson, 1996].
7.2 Results
A total of 61 (59.8%) out of 102 eligible families participated in the DMD-FNS. Forty-five
(74%) of the respondents were mothers, and the mean age was 45.3 (standard deviation 7.5,
range 32-59) years. Fifty-four (89%) respondents were married; 49 (80%) respondents had
post-secondary education, and the majority (46 families, 75%) were from Bloorview Kids
Rehab program. The mean age of the boys with DMD was 11.8 (standard deviation 6.4,
range 1 - 25) years; they were diagnosed at a mean age of 4.2 (standard deviation 2.3, range 0
to 12) years. Thirty-four (66%) boys were walking independently, 10 (16%) required the use
of bi-level positive airway pressure ventilatory support, and the majority (51 boys, 84%)
were on deflazacort as disease modifying treatment for DMD. There was no significant
difference between the study participants and study non-responders in regards to the
child’s age, ambulatory status, need for assisted ventilation, or use of corticosteroids.
7.2.1 Unmet family support needs

The mean DMD-FNS total score was 25.1 (standard deviation 15.0), reflecting a large number
of unmet family support needs. Cronbach alpha for the total score was 0.95, which suggested
a high level of inter-item reliability. We found no significant differences between the mean
number of needs and the stage of the disease by age group (see Table 5). The categories with
the largest numbers of unmet needs overall, and for which a majority of parents expressed
unmet needs were related to information, financial, and psychosocial supports. All items that
the majority of families (i.e., >50%) indicated were unmet needs are listed in Table 6. Each of
these items had mean Likert rating scores greater than 4, confirming that these were
“important” or “very important” needs for the parents. There were no significant differences
between the mean number of needs and the child’s characteristics such as age, ambulatory
status, need for ventilation support, and other co-morbidities such as learning disability,
behavioural problems, or scoliosis. Similarly, socio-demographic factors including the parent’s
age, ethnicity, marital status, education, and place of residence (Ontario versus Alberta) were
not associated with significant differences in the mean number of identified needs.
Unmet Needs All ages < 8 yrs 8 – 12 yrs 13 – 18 yrs >18 yrs p value
(n = 57*) (n = 19) (n = 14) (n = 8) (n = 16)
Information
Mean (SD†) 11.5 (6.4) 11.8 (6.8) 10.8 (6.2) 14.6 (5.1) 10.2 (6.6) 0.44
Family and social support
Mean (SD) 4.1 (3.8) 3.3 (4.0) 4.6 (3.2) 4.6 (3.4) 4.4 (4.3) 0.75
Financial support
Mean (SD) 3.5 (3.0) 2.8 (3.5) 3.9 (2.2) 3.7 (3.0) 4.0 (3.2) 0.63
Explaining to others
Mean (SD) 1.4 (1.5) 1.9 (1.7) 1.3 (1.3) 1.2 (0.7) 0.8 (1.6) 0.17
Child care
Mean (SD) 1.1 (0.9) 0.9 (1.1) 1.4 (0.6) 1.0 (0.8) 1.0 (0.9) 0.56
Professional support
Mean (SD) 1.3 (1.8) 1.3 (2.4) 1.1 (1.1) 1.2 (1.4) 1.7 (1.8) 0.82
Community services
Mean (SD) 2.0 (1.3) 2.2 (1.5) 1.6 (1.1) 2.0 (1.2) 2.2 (1.4) 0.51
Total
Mean (SD) 24.9 (15.2) 24.2 (18.3) 24.6 (13.2) 28.5 (10.7) 24.4 (15.8) 0.92
* Four had incomplete responses and were removed from the analyses of variance
† SD referred to standard deviation of the mean
Table 5. Comparison of total mean number of unmet needs by different age categories of
boys with DMD
Number of
Percent
Respondents
General Information Needs
Information about services presently available for my child 74† 61
Information about services for parents and siblings* 74† 61
How my child will grow and develop 64† 59
Information about services my child might receive in the future 62 61
Reading materials or websites about other families who have a child
59 61
like mine
DMD Specific Information Needs
Improving my child’s bone health* 66† 60
Issues related to spinal deformity or scoliosis* 62 61
Helping my child to be more physically active* 61 61
The diagnosis of DMD and what it means for my child and my family* 54 60
Stretching exercises, night splints or orthotics* 54 61
Issues related to my child’s lung function* 54 60
Use of corticosteroids and/or other treatment* 51 61
Use of bi-level positive airway pressure or other assisted breathing
51 60
devices*
Number of
Percent
Respondents
Financial Support Needs
Paying for medications, treatment or equipment that my child needs 56 61
Paying for complementary or alternative therapies for my child* 54 61
Paying for expenses related to modifications in our home and or
51 61
vehicle*
Psychosocial Support Needs
Meeting and talking with other parents who have a child like mine 67† 61
Helping my child to make new friends* 56 61
Locating babysitters or respite care providers who are willing and
53 61
able to care for my child
* New items specific for DMD are marked with an asterix
† Indicated the top five most frequently expressed needs in the DMD Family Needs Survey
Table 6. Unmet information, financial and psychosocial support needs identified by the
majority of the parents of boys with DMD
7.2.2 Needs across stages of the illness

Participants of the 3-hour DMD focus group meeting included eight (3 dads, 5 moms)
parents of boys (aged 6 to 21 years) with DMD. The main interview questions were: 1) When
you first learned your son had DMD, what did you need? 2) How did your needs change
over time? The responses of participants confirmed that information, financial support, and
psychosocial supports were important needs across the course of the illness. However, the
types and intensity of supports needed varied according to the stage of the illness, and
according to each family situation. Themes emerged for the different stages of the illness,
and these are described below.
7.2.2.1 Needs at diagnosis
Parents described their needs for information and emotional support at the time of
diagnosis. They emphasized that the diagnosis should be given by a knowledgeable and
empathetic physician, and immediate psychosocial support should be available, preferably
by connecting with other parents who had gone through the same experience. However,
some families were not ready to discuss their information needs soon after the diagnosis,
due to the overwhelming sense of grief. One parent expressed it as a need to “take the time to
grieve over it first.” The ideal time for discussion might occur much later for these families.
7.2.2.2 Needs during adolescence
This period is marked by progressive loss of mobility for boys with DMD. Therefore it is not
surprising that a dominant need during this time is financial assistance for equipment,
transportation, and modifications to the family home. Parents identified their struggles with
bureaucracy and the lack of financial support from public and private sources. They
indicated that there was a lack of coordination and information about services and financial
support, as articulated by one parent: “There isn’t a single body that can sort of bring all of these
things together and say, ‘okay look, this is where you need to go; this is what you need to do, and
these are the people you need to get money from … All those agencies, none of them talked to each
other.” Parents talked about how this forced them into an advocacy role in order to get
necessary supports and services. They reported that lack of coordination and the subsequent
need for them to act as advocates resulted in much wasted time, time that could be spent
caring for their family.
7.2.2.3 Needs at advanced stage of the disease
At this point, parents’ needs for information and psychosocial supports seemed to decrease.
Parents of young adults with DMD described how they had accepted the reality that their
child could die soon. Despite the relentless progression of the disease, these parents were able
to offer meaningful support, encouragement, and practical advice to younger families, as
summed up by one parent: “I think it really teaches you that … the moment is the most important;
this day is wonderful, … you learn a lot from your child actually, because they have this sort of innate
strength that is quite remarkable.”
Across all the stages parents indicated that they were very interested in participating in
research, particularly if it would eventually lead to a cure. Those that had been actively
involved in research activities or fundraising indicated that it gave them hope for the future,
and helped them feel as if they were helping others.
8. Discussion
Consistent with previous research, our study found that parents of boys with DMD have
many unmet needs, despite living in a country like Canada where health care is publically
funded [Abresch et al, 1998; Buchanan et al, 1979; Firth et al, 1983]. Their needs may be
unmet due to a lack of awareness or inability of available resources to adequately target
their children needs. In this study we did not find a significant difference in the mean
number of unmet needs across key stages of the illness, which suggests that families have
needs throughout the course of the illness. As well, there was no significant difference in
the mean number of needs by disease severity or parental socio-demographic
characteristics.
Although the number of needs did not vary, the results of the group interview indicated
that types of needs within the categories of information, financial, and psychosocial
supports varied according to the stage of the illness and family situation. By using the
DMD-FNS during clinic visits, health care professionals may be in a better position to
understand each family’s unique priority needs and strengths, instead of having to second
guess what they might be or be influenced by clinician’s personal bias [Gibson, 2001; Kinali
et al, 2007]. The revised DMD-FNS that was used in this study incorporates topics specific to
the care of individuals with DMD, and therefore may serve as an ideal prompt for parents to
discuss these issues during their child’s regular clinic visits. For example, it is important to
acknowledge the frequent use of complementary or alternative therapies and the resultant
financial burden on families of children with severe neurological disorders such as DMD
[Soo et al, 2005]. The parents rated each identified need as very important, so the Likert scale
did not provide additional information and we recommend it be removed from subsequent
needs surveys for this population.
As the families’ ability to cope during the course of the illness may be modified by their
interaction with HCP, a major implication of our results is that HCP should make it a
priority to provide information to families about DMD that is accessible and customized to
their situation [Fitzpatrick & Barry, 1986; Steele, 2002]. A second priority pertains to the
coordination of community based services to assist families to access financial supports for
equipment and housing modifications in a timely fashion. A third priority is the provision
of ongoing psychosocial supports, which may include individual counselling or family peer
support programs.
A limitation of the DMD-FNS study relates to the small sample size. The mixed
methodology compensated for the low numbers by using a group interview to verify and
extend the results of the mailed survey. Future studies could recruit a larger sample to
further explore differences across stages of the illness and across family demographics. A
second limitation was that we relied on parent report and did not directly survey older
children and youth for their perceived needs. During the pilot we found that most boys in
the initial pilot phase of the study did not have the ability to work independently through a
lengthy questionnaire like the DMD Family Needs Survey. However, previous research
indicates that the needs of adolescents may vary significantly from their parents, and it is
important to give the youth a voice [Mah et al, 2006]. Future studies could use an
abbreviated DMD youth survey to clarify the changing needs of adolescents and young
adults with DMD over time. Lastly, our survey was limited to families of boys who were
currently living with DMD and may not provide a complete picture of family needs at the
final stage of the illness. It may be helpful to interview families after their child has passed
away.
Parents who participated in the group interview reflected that they appreciated the
opportunity to share and to meet each other and were glad to participate in a research
project. They indicated that participation in research projects gave them hope for the future.
Based on this experience we recommend that parents of boys with DMD be included in
future research initiatives as they have an important perspective and stake in the outcomes
of such research.
9. Implications for clinical practice

Individuals with DMD and their families have to adjust to many challenges because of the
progressive nature of the disease. The family resilience framework developed by Dr. Froma
Walsh, Co-Founder and Co-Director of the Chicago Center of Family Health, can be applied
to the neuromuscular population to serve as a guide to target and strengthen key processes
that will encourage optimal adaptation of children and adolescents with DMD [Walsh,
2003]. Resilience involves a dynamic process that enables individuals “to withstand and
rebound from disruptive life challenges, becoming strengthened, and more resourceful”
[Rolland & Walsh, 2006]. Resilience is not innate or restricted to certain people only, and it
can be learned over time. A resilience framework for supporting boys with DMD targets on
strengths rather than problems, partnership instead of paternalism, and families (rather than
the clinicians) as the center of attention. It acknowledges the family as the unit of operation,
with tremendous potentials for growth and transformation. Each family in turn has unique
perspectives, resources, strengths, and challenges.
According to Walsh, the key processes in family resilience focus on: 1) beliefs system,
including making meaning of adversity, contextualizing distress, having a positive outlook,
and developing transcendence and spirituality; 2) organization pattern (in partnership with
community agencies, schools, healthcare, workplace and other larger systems) that provides
flexibility, connectedness, social and economic resources; 3) communication strategy, with
emphasis on clarity, open emotional expression, and collaborative problem-solving.
Relational attributes of this framework include peers, extended family members, and other
mentors. The goal of the resilience framework is to promote strong and enduring
relationships, to help shape and sustain them to meet life challenges.
In practice, integration of the beliefs system should include: a) assessing family network and
their prior experience; b) providing peers and extended family support; c) establishing
routines for young children and their siblings; and d) offering genetic counselling to
alleviate parental guilt. Positive outlook can be fostered by a) presenting research and
current available supporting treatment as opportunities for hope; b) affirming the child’s
potentials and encouraging the family to look forward to college and beyond; and c)
celebrating successes, initiatives, and perseverance, using life examples such as Jesse’s
Journey and other parent support organizations. In regards to transcendence and
spirituality, it is helpful for family to: a) see the bigger picture and purpose, as one family
said that they were “chosen to live a better life”; b) embrace spiritual domain of being
human, which includes suffering and injustice; c) learn to living with paradox, to make the
best out of the worst of times; and d) offer spiritual and inspirational support as necessary.
Using Walsh’s conceptual approach, clinicians may be in a better position to help
adolescents and their families to gain insight about their illness experience, to appreciate the
strengths and vulnerabilities of each family member and the emerging adolescent
developmental needs, and to recognize key family beliefs that explain their illness narratives
and relationships with healthcare professionals. Clinicians can also foster the development
of resilience through their direct interactions with DMD patients and their families. The
discussion regarding the diagnosis and management of DMD should take place with both
the child/adolescent and parents present, and they should be encouraged to participate in
all treatment decisions. The treating physician should provide written information about the
illness and realistic expectations regarding potential benefits of potentially new disease-
modifying therapies. Financial resources including funding for adaptive equipments should
be offered regardless of parental employment status or family income.
Parents should encourage their teenagers to meet age-appropriate developmental goals,
including gradual transfer of decision-making authority over time. A resilience-oriented
approach also draws upon extended family and peer resources as potential mentors and
positive role models in mediating adolescent adjustment to DMD. Clinicians can help
families resolve conflicts, identify coping strategies, develop realistic goals, and seek help
when needed. Periodic family meetings and multidisciplinary consultations for anticipated
transitions, including going away for college and/or transfer to adult services, can facilitate
proactive planning and alleviate unnecessary anxiety.
10. Conclusion
DMD is a challenging chronic disease that requires multidisciplinary collaboration of
healthcare professionals and individualized treatment approach for the adolescent patients
and their families. The modified Family Needs Survey for DMD is a useful tool for needs
assessment, continuing dialogue with families, and tailoring services to address individual
families’ needs. It may be used as part of a family-centered approach to the care of boys with
DMD, in order to promote family resilience and their increase their capacity to deal with the
challenges related to this devastating disease.
11. Acknowledgements
The authors would like to thank the families who participated in the research studies, the
contribution of Dr. Melanie Moore, other collaborators, research assistants, and the
paediatric neuromuscular clinic staff in Calgary and Toronto for their on-going support.
Funding was provided in part by the Alberta Center for Child, Family, and Community
Research, the Stichting Porticus Foundation, the Cooperative International Neuromuscular
Research Group, and the Alberta Children’s Hospital Foundation. The Duchenne muscular
dystrophy Family Needs Survey (DMD-FNS) is available by request.
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5
Comparison Between Courses of

Home and Inpatients Mechanical Ventilation
in Patients with Muscular Dystrophy in Japan
Toshio Saito1 and Katsunori Tatara2
1Division of Neurology, National Hospital Organization Toneyama National Hospital
2Division of Pediatrics, National Hospital Organization Tokushima National Hospital
Japan
1. Introduction
In Japan, 27 hospitals specialize in treatment of muscular dystrophy patients, including
inpatient care, of which 26 belong to the National Hospital Organization, and the other is
the National Center of Neurology and Psychiatry. Since 1999, Japanese muscular dystrophy
research groups investigating nervous and mental disorder have been developing a
database of cases treated at these 27 institutions. In that regard, we conducted a survey of
inpatients and home-mechanical ventilation patients (HMV patients) with muscular
dystrophy and other neuromuscular disorders based on data collected by the National
Hospital Organization and National Center of Neurology and Psychiatry.
Herein, we examined data obtained in order to evaluate efficacy of mechanical ventilation
therapy for HMV patients and mechanical ventilation-dependent inpatients (MV inpatients)
with those wards.
2. Subjects and methods

The database includes numbers of inpatients, gender, age, diagnosis, respiratory condition,
nutritional state, number of death cases, causes of death, and other relevant findings from
data collected annually on October 1 every year since 1999. Additionally we collected the
data of HMV patients from 27 institutes for this study.
By using the database and newly collected HMV data, we analyzed the courses of HMV
patients group and those of MV inpatients of wards. We compared data of these two
groups. Examination points are mechanical ventilation periods, outcome of these two
groups, and caregiver for HMV patients.
2.1 Objective diseases

Objective diseases of this study were muscular dystrophy and spinal muscular atrophy, in
particular Duchenne muscular dystrophy and myotonic dystrophy. Amyotrophic lateral
sclerosis was not included.
2.2 Patients introduced HMV after 1999

The data which we requested 27 institutes specializing muscular dystrophy care was as
follows; the number of patients introduced HMV after 1999, diagnosis of disease, gender,
age at being introduced HMV, type of mechanical ventilation, such as non-invasive positive
pressure ventilation (NPPV) or tracheostomy intermittent ventilation (TIV), present status,
death cause for death case, main caregiver, and so on.
2.3 Patients introduced MV in muscular dystrophy wards after 1999

We selected data of newly MV introduced inpatients after 1999 from the database of the
muscular dystrophy wards.
3. Results
3.1 Demographic features of HMV patients group and MV inpatients
3.1.1 HMV patients group
HMV patients group included 434 patients from 14 institutes. Gender was male: 356, female:
78. The number of representative disease were as follows; 262 patients with Duchenne
muscular dystrophy, 60 myotonic dystrophy, 17 Becker muscular dystrophy, 16 limb-girdle
muscular dystrophy, 14 spinal muscular atrophy, and so on (Table 1-1).
BMD, Becker muscular dystrophy; CMD, congenital muscular dystrophy; DMD, Duchenne muscular
dystrophy; EDMD, Emery-Dreifuss muscular dystrophy; FCMD, Fukuyama congenital muscular
dystrophy; FSHD, facio-scapulo-humeral muscular dystrophy; LGMD, limb-girdle muscular dystrophy;
MD, Myotonic dystrophy; MG, myasthenia gravis; SMA, spinal muscular atrophy; SPMA, spinal
progressive muscular atrophy, UCMD, Ullrich congenital muscular dystrophy
Table 1-1. Details of disease（HMV: from 14 institutes）
Comparison Between Courses of Home and Inpatients
Mechanical Ventilation in Patients with Muscular Dystrophy in Japan 107
3.1.2 MV inpatients group

MV inpatients group included 915 inpatients. Gender was male: 718, female: 197. The
number of representative disease were as follows; 476 Duchenne muscular dystrophy, 222
myotonic dystrophy, 35 Becker muscular dystrophy, 58 limb-girdle muscular dystrophy, 19
spinal muscular atrophy, and so on (Table 1-1).
3.1.3 Mean age at starting mechanical ventilation and type of ventilation

The range of mechanical ventilation introduction age for HMV patients was 6.3~72.8 years
old (mean 25.9), and that of MV inpatients was 0.0~78.0 years old (mean 33.2). The number
of NPPV introduction cases of HMV patients was 420, and that of MV inpatients was 517
(Table 1-2). Fifty of NPPV cases of HMV group were switched to tracheostomy during the
course.
Table 1-2. Mean age at starting mechanical ventilation and type of ventilation
3.2 Survival analysis of HMV patients group and MV inpatients

We performed survival analysis of those two groups. The endpoint for HMV patients was
death or transition to hospitalization, and that for MV inpatient was death. Kaplan-Meier
analysis showed that 75% life time of HMV patients was 1,689 days, while that of inpatients
was 2,988 days (Log Rank (Mantel-Cox) p<0.01) (Fig. 1).
Fig. 1. Comparison between HMV Patients and Mechanical Ventilation Inpatients (Total)
Endpoint for HMV patient: death or transition to hospitalization
Endpoint for MV inpatient: death
3.3 Analysis data of Duchenne muscular dystrophy and myotonic dystrophy

As the number of patients with Duchenne muscular dystrophy and myotonic dystrophy
was great in these two groups, we analyzed the data of Duchenne muscular dystrophy and
myotonic dystrophy separately.
3.3.1 Mean age at starting mechanical ventilation and type of ventilation of patients
with Duchenne muscular dystrophy
Mean age at starting mechanical ventilation of Duchenne muscular dystrophy was 19.8
years old, ranged from 11.5 to 39.9 years old. While that of inpatient with Duchenne
muscular dystrophy was 21.5 years old, ranged from 10.0 to 42.0 years old. There was no
significant difference. The number of NPPV introduction cases of HMV patients with
Duchenne muscular dystrophy was 220, and that of MV inpatients was 338 (Table 2).
Table 2. Mean age at starting mechanical ventilation and type of mechanical ventilation
(Duchenne muscular dystrophy )
3.3.2 Type of nutrition of patients with Duchenne muscular dystrophy

The number of patients who required tube feeding, including a nasal or oral nutrition tube,
and undergoing a percutaneous endoscopic gastrostomy (PEG) was apparently greater in
MV inpatients group than HMV group (Table 3).
Table 3. Type of nutrition (Duchenne muscular dystrophy )
3.3.3 Survival analysis of two Duchenne muscular dystrophy groups

We performed survival analysis of those two Duchenne muscular dystrophy groups. The
endpoint for HMV patients was death or transition to hospitalization, and that for MV
inpatient was death. Kaplan-Meier analysis showed that 75% life time of HMV patients
was 1,562 days, while that of inpatients was 3,739 days (Log Rank (Mantel-Cox) p<0.01)
(Fig. 2).
Fig. 2. Comparison between HMV Patients and Mechanical Ventilation Inpatients

(Duchenne muscular dystrophy )
Endpoint for HMVpatient: death or transition to hospitalization
3.3.4 Mean age at starting mechanical ventilation and type of ventilation of patients
with myotonic dystrophy
Mean age at starting mechanical ventilation of myotonic dystrophy was 46.8 years old,
ranged from 15.8 to 72.8 years old. While that of inpatient with myotonic dystrophy was
50.6 years old, ranged from 12.0 to 76.0 years old. There was no significant difference
between two groups. The number of NPPV introduction cases of HMV patients with
myotonic dystrophy was 55, and that of TIV was 5. The number of NPPV case was greater
than TIV. While the number of NPPV introduction cases of MV patients with myotonic
dystrophy was 108, and that of TIV was 114. In MV patients with myotonic dystrophy, the
number and proportion of NPPV and TIV were almost equal (Table 4).
Table 4. Mean age at starting mechanical ventilation and type of mechanical ventilation
(myotonic dystrophy )
3.3.5 Type of nutrition of patients with myotonic dystrophy

The trend of nutrition was similar to Duchenne muscular dystrophy. The number who
required tube feeding in MV inpatients group was apparently greater than HMV group
(Table 5).
Table 5. Type of nutrition (myotonic dystrophy )
Fig. 3. Comparison between HMV Patients and Mechanical Ventilation Inpatients

(myotonic dystrophy )
Endpoint for HMVpatient: death or transition to hospitalization
3.3.6 Survival analysis of two myotonic dystrophy groups

Similarly, we performed survival analysis of those two myotonic dystrophy groups. The
endpoint for HMV patients was death or transition to hospitalization, and that for MV
inpatient was death. Kaplan-Meier analysis showed that 75% life time of HMV patients was
1,557 days, while that of inpatients was 1,972 days. There was no significance (Fig. 3).
3.4 Death case

The total number of death cases was 215 (Table 1-1). As the number of death case of
Duchenne muscular dystrophy and myotonic dystrophy was the majority, we analyzed the
data of Duchenne muscular dystrophy and myotonic dystrophy separately.
3.4.1 Cause of death of Duchenne muscular dystrophy

The number of death cases of HMV patients was 29, and that of MV inpatients was 67.
The most frequent cause of death was heart related disorders, such as heart failure and
arrhythmia, accounting for 16/29 for HMV group and 33/67 for MV inpatient group.
Frequency was not significantly different between two groups. In MV inpatient group,
respiratory related disorders, such as respiratory failure and respiratory infection,
accounted for 23/67．HMV group included more sudden death cases than MV inpatient,
and had an accidental case (Table 6).
Table 6. Cause of death (Duchenne muscular dystrophy )
3.4.2 Cause of death of myotonic dystrophy

The majority of death case of myotonic dystrophy was reported from MV inpatient group.
The most frequent cause was respiratory related disorders, such as respiratory tract
infection and respiratory failure, which accounted for 29/56. Sudden death case was
conspicuous in HMV group, accounting for 3/6(Table 7).
Table 7. Cause of death (myotonic dystrophy )

3.5 Outcome of HMV patients and MV inpatients with Duchenne muscular dystrophy
and myotonic dystrophy
One hundred ninty four cases with Duchenne muscular dystrophy among 262 cases continued
HMV, while 46 cases with myotonic dystrophy among 60 cases continued HMV (Table 8).
Twenty two cases with Duchenne muscular dystrophy were switched to hospitalization.
DMD MD
HMV Inpatient HMV Inpatient
Continuing HMV 194 - 46 -
Continuing hospitalization - 407 - 151
Death 29 67 6 56
Transition to hospitalization 22 - 3 -
Introduction to other
10 - - -
institution
Withdrawing MV - - 3 -
Unknown 7 2 - -
Others - - 2 15
total 262 476 60 222
Table 8. Outcome (Duchenne muscular dystrophy and myotonic dystrophy )
3.6 Caregivers for HMV patients

Caregivers for most of HMV patients with Duchenne muscular dystrophy were patients'
families (Table 9). In particular, patients’ mothers were playing important role in continuing
HMV. Similarly, caregivers for HMV patients with myotonic dystrophy were patients'
families. On reflecting their age, some caregivers were patient’ spouse (Table 9).
Caregiver DMD MD
Mother 94 6
Parents 22
Father 3 2
Family 3
Mother/sibling 1
Mother/uncle 1
Mother/grandmother 1
Grandmother 1
Husband 2
Wife 1
Sister 1
daughter 1
foundation 2
Helper 2 2
(Response) (134/262) (17/60)
Table 9. HMV-continuing cases main caregiver (Duchenne muscular dystrophy and
myotonic dystrophy)
3.7 Summary of results of Duchenne muscular dystrophy and myotonic dystrophy

Proportion of TIV was higher in MV inpatients group than HMV group. And proportion of
tube feeding was also higher in MV inpatients group than HMV group. Namely, respiratory
condition and nutritional status were more severe in MV inpatients group than HMV group
(both Duchenne muscular dystrophy and myotonic dystrophy).
In Survival analysis, outcome of patients with Duchenne muscular dystrophy of MV
inpatients group was better than HMV group. Meanwhile in that of myotonic dystrophy,
HMV group was better than inpatient group.
In MV inpatient group of Duchenne muscular dystrophy, respiratory related death was
remarkable.
In HMV group, some sudden death cases and accidental death case were conspicuous.
Caregivers of HMV group were constructed by patients’ families, centrally mother.
4. Conclusion
Approximate 2500 beds for patients with muscular dystrophy and related disorders are now
provided among 27 institutions in Japan. In accordance with progress in therapeutic
strategies for respiratory failure (American Thoracic Society Documents, 2004) and heart
failure (Ishikawa, 1999; Matsumura, 2010), the life span of patients with muscular dystrophy
prolonged (Bushby 2010a, b). Now, most inpatients admitted to muscular dystrophy wards
have severe general conditions and many are assisted by mechanical ventilation (Tatara,
2006; 2008), which is accordance with our data of MV patients in this study.
In recent two decades, social welfare systems and home medical care systems in Japan have
been changing gradually. HMV has been penetrating into home medical care (Joseph, 2007).
The number of HMV patients has been increasing (Tatara, 2006). Stable mechanical
ventilated patients have been getting back home.
Our study demonstrated that the course of HMV patients was fairly good, although there
was difference between Duchenne muscular dystrophy and myotonic dystrophy in long
term outcome. However, the support system for patients and caregivers is not perfect. Our
study also showed that burden of caregivers was supposed to be severe. The system for
patients and caregivers should be adjusted (Dybwik, 2011). And safety net systems also
should be adjusted to avoid accidental event leading to patient’s death.
The muscular dystrophy wards may be requested to offer the circumstances for those who
have difficulties in continuing HMV. There is necessarily needs for hospitalization of HMV
patients (Windisch, 2008).
Study limitation: This study has limitation on bias of collecting patients’ information.
Specifically, information of HMV patients were reported from 14 institutes among 27
institutes, and MV inpatient information is the result of extraction from muscular dystrophy
wards database. Extracted data from database has some ambiguous points in connection
with obscure time-sequential analysis.
On analysis of institutes-restricted HMV patients group and MV inpatients group,

differences in regard to therapeutic conditions among institutions may be problem.
5. Acknowledgments
This study was supported by a Research Grant for Nervous and Mental Disorders from the
Ministry of Health, Labour and Welfare of Japan.
We are grateful to the members of the FUKUNAGA (1999-2005) and SHINNO (2006-2011)
muscular dystrophy research groups of the National Hospital Organization for the data
collection.
Institutions specializing in muscular dystrophy treatment in Japan (Fig.4)
Fig. 4. Institutions specializing in muscular dystrophy treatment in Japan

National Hospital Organization:

Asahikawa Medical Center, Yakumo Hospital, Aomori National Hospital,
Akita National Hospital, Nishitaga National Hospital, East Saitama National Hospital,
Shimoshizu National Hospital, National Hakone Hospital, Niigata National Hospital,
Iou National Hospital, Nagara Medical Center, Suzuka National Hospital,
Nara Medical Center, Utano Hospital, Toneyama National Hospital,
Hyogo-cyuo National Hospital, Hiroshima-Nishi Medical Center, Matsue Medical Center,
Tokushima National Hospital, Oomuta Hospital, Nagasaki Kawatana Medical Center,
Kumamoto Saishunso National Hospital, Nishibeppu National Hospital,
Miyazaki Higashi Hospital, Minami Kyushu National Hospital, Okinawa National Hospital
National Center of Neurology and Psychiatry
6. References
American Thoracic Society Documents (2004). Respiratory Care of the Patient with
Duchenne Muscular Dystrophy. ATS Consensus Statement American Journal of
Respiratory and Critical Care Medicine, Vol 170, pp 456–465.
Bushby K, Finkel R, Birnkrant DJ, Case LE, Clemens PR, Cripe L, Kaul A, Kinnett K,
McDonald C, Pandya S, Poysky J, Shapiro F, Tomezsko J, Constantin C, for the
DMD care considerations working group (2010a). Diagnosis and management of
Duchenne muscular dystrophy, part 1: diagnosis, and pharmacological and
psychosocial management. The Lancet Neurology, Vol.9, pp 77-93.
Bushby K, Finkel R, Birnkrant DJ, Case LE, Clemens PR, Cripe L, Kaul A, Kinnett K,
McDonald C, Pandya S, Poysky J, Shapiro F, Tomezsko J, Constantin C, for the
DMD care considerations working group (2010b). Diagnosis and management of
Duchenne muscular dystrophy, part 2: implementation of multidisciplinary care.
The Lancet Neurology, Vol.9, pp 177–189.
Dybwik.K, Nielsen.E.W,Brinchmann. B. S (2011).Home mechanical ventilation and
specialized health care in the community: Between a rock and a hard place. BMC
Health Services Research, Vol. 11, pp 115-123.
Ishikawa Y, Bach JR, Minami R (1999). Cardioprotection for Duchenne’s muscular
dystrophy.American Heart Journal Vol.137, pp 895–902.
Joseph S. L, Peter C. G (2007). Current Issues in Home Mechanical Ventilation. Chest, Vol.
132, pp 671-676.
Matsumura T, Tamura T, Kuru S, Kikuchi Y, Kawai M (2010)．Carvedilol can prevent
cardiac events in Duchenne muscular dystrophy. Internal Medicine Vol. 49, pp 1357-
1363.
Tatara K, Fukunaga H, Kawai M (2006). Clinical survey of muscular dystrophyin hospitals
of National Hospital Organization. IRYO, Vol. 60, pp 112-118.
Tatara K, Shinno S (2008). Management of mechanical ventilation and prognosis in

Duchenne muscular dystrophy. IRYO, Vol. 62, pp 566–571.
Windisch W; Quality of life in home mechanical ventilation study group (2008). Impact of
home mechanical ventilation on health-related quality of life. Eur Respir J. Vol. 32,
pp 1328-1336.
6
Myopathy in Autoimmune Diseases –

Primary Sjögren’s Syndrome
and Dermatomyositis
Fumio Kaneko1,2,*, Ari Togashi2, Erika Nomura2,
Teiji Yamamoto3 and Hideo Sakuma4
1Institute of Dermat-Immunology and Allergy,
Southern TOHOKU Research Institute for Neuroscience
2Dermatology, Southern TOHOKU General Hospital,
3Neurological Institute, Southern TOHOKU Research Institute for Neuroscience
4Pathology Department, Southern TOHOKU Research Institute for Neuroscience
Japan
1. Introduction
Myopathy, which clinically shows muscular pain (myalgia), weakness, cramps, stiffness
and spasm, is one of neuromuscular disorders due to inflammation and/or dysfunction of
muscle fibers. “Myositis”, which is a general term for inflammation of the muscle, is
pathologically an inflammatory myopathy seen seen mainly in autoimmune disorders
including dermatomyositis (DM). The myopathy is classified by National Institute of
Neurological Disorders and Stroke (NINDS) as indicated in Table 1 (1). We here focus
myopathy on primary Sjögren’s syndrome (pSjS) associated with myalgia “mimicking
DM”, as previously reported (2), and the inflammatory myopathy of DM (Table 2). Most
of SjS is a secondary disorder to systemic autoimmune diseases including systemic lupus
erythematosus (SLE), systemic sclerosis, DM, and so on. However, SjS, which is not
associated with other autoimmune diseases, is considered to be an idiopathic primary
disorder characterized by sicca symptoms. It is known that pSjS may be associated
with fever, fatigue, myalgia, arthralgia, cutaneous vasculitis, etc. in addition to sicca
symptoms (4-8).
DM is also characterized by myalgia, muscular weakness and fatigue due to inflammatory
myopathy that ultimately progresses to muscle degeneration and the cutaneous
involvements. The skin manifestations include helio-trope-like colored erythema and
swelling on the eye-lids, cheeks, neck and upper extremities of the sun-exposed areas and
Gottron’s papules on the dorsa of the hand fingers (3). Although the etiology of DM remains
unknown, internal maligmant disorders including lung and/or other organ cancers are
frequently associated. Generally DM is classified as shown in Table 3 (9).
Congenital myopathies: characterized by developmental delays in motor skills; skeletal

and facial abnormalities are occationally evident at birth
Muscular dystrophies: caused by progressive weakness in voluntary muscles; sometimes
evident at birth
Mitochondrial myopathies: caused by genetic abnormalities in mitochondria, cellular
structures that control energy; include Kearns-Sayre syndrome,
Glycogen storage diseases of muscle: caused by mutations in genes controlling enzymes
that metabolize glycogen and glucose (blood sugar); include Pompe’s, Anderson’s and
Cori’s disease
Myoglobulinurias: caused by disorders in the metabolisum of a fuel (myoglobulin)
necessary for muscle work; include McArdle, Tarui and DiMauro diseases
Dermatomyositis: an inflammatory myopathy and skin lesions
Myositis ossificans: characterized by bone growing in muscle tissue
Familiar periodic paralysis: characterized by episodes of weakness in arms and legs
Polymyositis inclusion body myositis and related myopathies: inflammatory
myopathies of skeletal muscles
Neuromyotonia: characterized by alternating episodes of twiching and stiffness
Stiff-man syndrome: characterized by episodes of rigidity and reflex spasms
Common muscular cramps and stiffness and tetany: characterized by prologed spasms
of the arms and legs
(National Institute of Neurological Disorders and Stroke, National Institutes of Health, USA1)
Table 1. Classification of myopathy
Age Muscle Auto- Observation Compli-

Patient Gender Disease Enzyme Outcome
years biopsy antibody term cation
ANA nv
No
1. F 37 pSjS myopathy SSA 61.4 3.0 y no remission
abnormatities
SSB 21.6
CK 147 ANA 20
2. M 32 pSjS myopathy 8m no remission
ALD 5.8 SSB 15.7
CK 883
3. F 29 DM myositis nv 2.6 y no remission
ALD 11.2
CK 212 intestinal
4. F 42 DM nd nv 4.3 y remission
KL-6 2485 peumonia
CK 302
5. M 45 DM myositis nv 3.8 y no remission
ALD 8.4
6. F 55 DM SLD 5.7 nd nv 3.11 y no remission
7. F 60 DM CK 364 nd nv 2.0 y no remission
CK 1706
ALD 8.2
pneumonia
8. M 66 DM KL-6 1876 myositis ANA 20 2.0 y death
and cancer
myoglobin
29.7
ALD: aldolase, ANA: anti-nuclear antibody, CK: creatine kinase, DM: dermatomyositis,
F: female, M: male, nd: not done, Nv: negative, pSjS: primary Sjögren’s syndrome,
SSA: anti-SjS A antibody, SSB: anti-SjS B antibody
Myopathy: non-inflammatory myopathy, Myositis: inflammatory myopathy
Table 2. Myopathy and myositis in primary Sjögren’s syndrome (pSjS) and dermatomyositis
(DM)
Myopathy in Autoimmune Diseases – Primary Sjögren’s Syndrome and Dermatomyositis 119
 Dermatomyosistis
 Without muscle weakness (amyopathic dermatomyositis or dermatomyositis
sine myositis)
 With muscle weakness
 Adult
 associated with cancer
 not associated with cancer
 Pediatric
 Polymyositis
 Adult
 Pediatric
 Inclusion-body myositis
 Overlap (myositis associated with a connective tissue disease)
Drake LA, et al9.: Guidelines of care of dermatomyositis. J Am Acard Dermatol 1996; 34: 824
Table 3. Classification of Dermatomyositis/ Polymyositis
2. Cases
pSjS: A 37-year-old woman (Case 1 in Table 2) was suffered from fever around 37.5℃,
fatigue, proximal muscle pain and weakness in her limbs and arthralgia since a week before
her visiting our hospital. She presented herself with swelling and helio-trope-like colored
erythema on the eye-lids (Fig. 1a,b), purpurish erythema-spots on the elbows, thin-reddish
erythema patches on the legs (Fig.1c) and red palms. On the dorsa of the hand-fingers, the
eruption looked like Gottron’s papules was seen and thin purpuric spots were also noted on
the paronychial areas. The electromyography showed low amplitude motor units (less than
1 mV) from muscles of the upper extremities that were suggestive myopathy. We suspected
the patient had DM and the skin biopsy was taken from the erythematous patches on the
left leg. The histology revealed so-called “lymphocytic vasculitis” which showed swollen
a)
b)
c)
Fig. 1. a,b) Close-up view of the right upper eye-lid showing slightly swollen and helio-
trope-like colored erythema (Case 1 in Table 2). c) Gottron’s nodule-like eruption on the
dorsa of the fingers and thin-reddish erythematous patches on the lower legs.
vascular walls surrounded by mainly monocytes and a few of neutrophils in the middle and
deep dermis (Fig. 2a,b). No deposit of IgG, IgA, IgM and C3 was seen at the dermo-
epidermal (D-E) junction and vascular walls in the dermis by immunofluorescent
microscopy. The immunochemical histology revealed CD4+>CD8+>CD56+ cells distributed
around vessels in the deep dermis. A muscle biopsy was performed from the biceps muscle
of the left-upper arm where the patient was complaining of pain. No features of
inflammation associated the “muscle fiber degeneration” could be found though slight
vascular infiltration was seen in the interstitial tissue.
a) b)
Fig. 2. a) A skin biopsy from the left side of the lower leg revealed, a. vascular infiltration with
lymphoid cells and a few neutrophils in the middle and deep dermis (H&E stain, x40). b) The
magnified view showed swelling of the vascular endothelial cells with slight degeneration
infiltrated by lymphoid cells, suggesting so-called “lymphocytic vasculitis” (x 200)
Laboratory examinations revealed within normal-limit (WNL) ranges of white blood cells
(WBC), red blood cells (RBC) and serum AST (aspartate aminotransferase), ALT (alanine
aminotransferase), and CK (creatine kinase) (28 IU/L, WNL: 48~259) and aldolase (ALD)
(2.2 IU/L, WNL: 2.5~5.6) were rather lower than WNL. The serum levels of complement
were high in CH50 (58.4 u/ml, WNL: 31.0~48.0) but levels of C3 and C4 were WNL.
Although auto-antibodies (auto-Abs) including anti-nuclear Ab (ANA), anti-Jo-1, anti-DNA
and anti-acetylcholine receptor Abs and RA factor were negative, anti-Sjögren’s syndrome A
(anti-SSA) and anti-SSB Abs showed the titers of 61.4 and 21.6 (WNL: less than 1.0 ),
respectively, which were highly positive in detection by ELISA. Serum carcinoembryonic
antigen (CEA) was not detected. Urinalysis revealed no abnormalities except detection of
acetone body. The chest X-ray and positron emission tomography (PET) with 18FDG (2-
deoxy-2-fluoro-D-glucose) were performed but no abnormal uptakes were detected except
for an enlarged lymphnode at the right-side neck and slight enlargement of the liver and
spleen. Ophthalmological examinations revealed positive Schirmer’s test (10mm/6mm) and
fluorescein test which showed dry-eyes, although the amount of saliva was 3.5 ml/10 min
which seemed to be low But WNL. The pain of visual analog scale (VAS) score was 75 mm
when she initially visited our clinic.
The patient was diagnosed as having pSjS with myalgia mimicking DM, which may be
classified as the extraglandular type. She was treated with prednisolone (PSL) 20mg/day
and non-steroidal anti-inflammatory drugs (NSAIDs). The symptoms including the
cutaneous manifestations completely disappeared and pain VAS score also gradually
decreased to 55 mm in a week. The patient was quickly recovered from fatigue, subfebrile
state, myalgia and arthralgia two weeks after treatment by oral steroid. However, PSL
administration of within 10 mg/day was needed to keep her well condition, although more
than two years have been passed since her first visit.
Although the other 32 year-old male patient (Case 2) complained of dry eyes, mild fever,
myalgia and muscle weakness of the upper extremities for more than one year, we initially
suspected DM and examined for possibility of his having SjS regardless of absence of a DM-
like eruption. Ophthalmologically he was suggested to have SjS. The blood examination
revealed ALT 40 U/L (WNL: 6-36), ALD 5.8 IU/L, titers of ANA 20x (speckled type) and
anti-SSA Ab 15.7 which were relatively high. However, a biopsy from the biceps muscle of
the left upper arm was free from inflammation, and no internal malignancy was associated
through examinations including PET with 18FDG. He has been followed as pSjS similarly to
the Case 1 for the duration of more than half a year.
DM: A 29 year-old female (Case 3) visited our clinic for helio-trope-like eruptions on the
sun-exposed areas including upper eye-lids, cheeks and V-neck area (Fig. 3a), swollen
fingers with periungual hemorrhage of the hands (Fig. 3b) and myalgia of the upper
extremities. The examination revealed a rise of AST and ALT (65 and 46 U/L; WNL: 35-11
and 39-6, respectively), CK 883 U/L and ADL 11.2 IU/L, but no auto-Abs including ANA,
anti- SSA and SSB Abs were found. No internal malignancies were found. However, a
biopsy from left biceps muscle revealed the typical myositis with intersititial vascular
infiltration (Fig. 4a). The immunochemistry of infiltrated cells around the interstitial vessels
of the muscle tissue revealed CD4+> CD8+> CD68+ cells and little of CD20+ cells as similarly
seen in the cutaneous findings of Case 1 (Fig.4b). We made a diagnosis of early stage of DM.
a) b)
Fig. 3. a) A 29 year-old female with dermatomyositis (DM) (Case 3). Swollen helio-trope-like
erthema on the upper eye-lids and cheeks. b) Swollen erythema on the dorsa of the hands
and periungual hamorrhage of the fingers.
a) b)
Fig. 4. a) A biopsy specimen of muscle tissue from the left biceps muscle of patient with
dermatomyositis (DM) (Case 3). Lymphoid cell infiltration around the vessels was found in
the interstitial tissue (HE, 200x). b) Immunohistology of CD4+T cells in the interstitial
perivascular infiltration of the biceps muscle (Avidin-biotin stain, 20x). The infiltrated cells
are CD4+>CD8+>CD56+ mononuclear cells.
A 66 years old man (Case 8) was referred to our clinic for sudden episode of helio-trope-
like colored erythematous eruption on the sun-exposed areas including the face, V-neck
area, upper back and upper extremities associated with “myopathy” exhibiting muscle
weakness and myalgia (Fig. 5). The patient had heavily smoked cigarettes a pack or more
a day. He was initially suspected to have photosensitive dermatitis due to some
photosensitizer and/ or DM and the examinations including skin and muscle biopsy from
left-upper arm were performed. Laboratory examinations revealed WBC 11,070 /μl, RBC
327 x 104 /μl , CRP 14.28 mg/dL (WNL: 0.30), WNL of serum transaminases (AST and
ALT), high levels of CK 1,706 U/L (WNL: 259-2.5) , ALD 8.2 IU/L (WNL: 5.6-2.5),
myoglobulin-U 29.7 ng/mg (WNL: 10~0) and KL-6 1876 U/mL (WNL: 499-0). The titers of
auto-Abs showed WNL as to anti-DNA, anti-Jo-1, anti-RNP, Sm, and anti-SSA and anti-
SSB Abs except for ANA 20x (speckled type). Although CEA, CA15-3, AFP-L3, -L2,-L2, 3
and CA602 were negative, we suspected the patient might have an association with lung
carcinoma after the chest X-ray and CT examination. The skin histology of the helio-trope-
like erythema revealed as SLE-like findings exhibiting liquefaction degeneration of the D-
E junction and edema of the upper dermis with a little lymphoid cell infiltration (Fig. 6)
and immunohistologically, IgG, IgM and complement C3 were linearly deposited at the
D-E junction. The muscle biopsy from the biceps of the left arm exhibiting myalgia shows
a tiny interstitial perivascular infiltration between the muscle bundles, suggesting
“myositis”, although obvious muscular-degeneration was not found. The symptoms of
the skin rash and myalgia of the extemities were improved temporary after treatment
with oral PSL and NSAIDs. However, the patient died by lung cancer 2 years after his first
visit to our clinic.
Fig. 5. A 66 years old patient with DM (Case 8) associated with lung cancer. Helio-trope-like
erythema can be seen on the face and upper breast (so-called sun exposed areas).
Fig. 6. A biopsy specimen of the helio-trope-like erythema from the upper chest.
Liquefaction degeneration can be seen at the D-E junction and edema and a few lymphoid
cell infiltration are present in the upper dermis (HE, 200x).
3. Discussion
It is rare to see the cases of pSjS with myalgia in Japan, but about 30 % of pSjS patients are
reported to be associated with muscle involvement known as fibromyalgia in US and
European countries (5, 6). The main cutaneous involvement is purpura, annular shaped
erythema and/or macules, erythematous papules and ischemic ulcers due to microvasculitis
in pSjS (7, 8). In this patient (Case 1 in Table 2), the cutaneous eruptions including the
swollen and helio-trope-like colored erythema on the eye-lids, thin-reddish macules on the
limbs, purpuric spots and Gottron’s papule-like eruption on the dorsa of the fingers were
recognized and quickly disappeared after administration with low dose of PSL. Although
the clinical signs-like DM did not reappear by the treatment, the continuous treatment with
PSL seems to be still needed. As reported that this disorder is a bothersome and slowly
progressive disease (10-12), we should follow the clinical course whether the patient might
develop lymphoproliferative disorders in a near future because the enlargement of the
lymphnode and hepatosplenomegaly was noted initially. Regarding Case 2, the clinical
symptoms and laboratory examination were suggestive of DM associated with SjS without
the skin manifestations. We considered him as having pSjS associated with myopathy
because dry-eye symptoms, positive anti-SSA Ab and no cutaneous symptom of DM were
noted. Although these 2 cases of pSjS were associated with myalgia, the cause of their
myopathy is not clear because no inflammation was found in the biopy specimens from
their biceps muscle. However, it is reported that the myopathy might be due to small-vessel
injury by auto-Abs or circulating immune complexes because electrondence deposits were
noted (13). As to the infiltrated cells around the vessels in the cutaneous lesion, the CD4+ T
cells were dominant as similar to the findings in myositis of patients with DM.
DM is an idiopathic inflammatory disorder characterized by inflammatory myopathy,
indicating myositis, and skin manifestations and it can be associated with the secondary SjS
sometimes. The etiology is still unknown and the prevalence is estimated as 1-10 cases per
million population, but in children 3.2 cases per million which are distributed in the whole
world (3). The clinical types of DM are classified in Table 3 and the internal malignancies are
frequently associated in the adult type of DM. The risk is reported to be a 6.5-fold higher
than ordinary persons after 45 years of age (14). Regarding myopathy in DM patients it
might be characterized by inflammatory myopathy progressing to myositis and
degeneration of muscle fibers, and the helio-trope-like eruptions on the sun-exposed areas
showed SLE-like changes histologically. On the other hand, there are the cases associated
without myogenic symptoms in DM, which is called as “amyopathic DM” (DM sine
myositis). However, these cases should be considered as “pre-myopathic DM” because they
might Be rather early diagnosed (15). Though the direct cause of myopathy is still unknown,
there are some pathogeneses reported, such as the presences of myositis- specific auto-Abs
(15,16) and inflammatory cytokines from T cells including interleukin (IL)-17 and IL-23 in
early stage of patients with DM (18). The study regarding Th1/Th2 balance showed that Th2
cell predominance was suggested in patients with active stage of DM (19). In plasma of
patients with DM and/or polymyositis, microparticles derived from CD14+ mononuclear
cells, CD3+ T cells and CD19+ B cells were found to be elevated by electron microscopic
examination, which suggests these diseases were immunological disorders (20). It is
reported that CD19+CD23+ cells are increased and that CD4+CD45RO+ cells are decreased in
the peripheral blood of patients with DM, suggesting reduction of regulatory T cells (21). It
was also suggested that CD4+CD25+ cells, forkhead/winged helix transcription factor (Fox
P3)+, transforming growth factor+ and IL-10+ cells were reduced in peripheral blood of
patients with DM (21). Actually, CD4+CD8+ cells were significantly distributed around
vessels in the interstitial tissues of the muscle bundles in our patients with DM. These cells
might be CD4+CD 28+ (null) cells and CD8+CD28+ (null) cell infiltration, as reported, and it
is of interest that circulating CD4+CD28+ cells and CD8+CD28+ cells were significantly
increased in seropositive individuals, responded to human cytomegalovirus antigen
stimulation and correlated with disease duration (22).
As to treatment for myopathy of patients with pSjS and DM, adequate doses of NSAIDs
and/or oral steroids were mainly used in corresponding to their clinical severities and these
were considered to be effective. However, in addition to these drugs, the combination with
immunosuppressive agents such as azathioprine, cyclosporine, mycophenolate or
methotrexate should be used for the autoimmune diseases, if they were not clinically
controlled. The biological agent, rituximab, and tacrolimus may offer additional benefit to
some patients and emerging agents against T cells, B cells, transmigration or transduction
molecules may be discussed as New treatments (23).
4. Conclusion
Myopathies are neuromuscular disorders exhibiting myalgia and muscular weakness due to
dysfunction of muscle fibers which are frequently seen in autoimmune diseases. We here
discussed about the non-inflammatory myopathy seen in patients with pSjS and the
inflammatory myopathy, that is myositis, found in patients with DM is suggested to be
Immunological dysfunction in pathogenesis. Although the mechanism of the myopathy is still
unclear, it might be due to inflammatory cytokines released from CD4+CD 28+ (null) cells and
CD8+CD28+ (null) cells infiltrated around vessels in the muscles of patients with MD.
5. Abbreviations
Ab, antibody; ALD, aldolase; ANA, anti-nuclear antibody; anti-SSA Ab, anti- Sjögren’s
syndrome A Ab; anti-SSB Ab, anti- Sjögren’s syndrome B Ab; CK, creatine kinase; D-E
junction, dermo-epidermal junction; DM, dermatomyositis; IL, interleukin; NSAID, non-
steroidal anti-inflammatory drug; pSjS, primary Sjögren’s syndrome; PSL, prednisolone;
VAS, visual analog scale; WNL, within normal limit
6. References
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USA, December 10, 2010.
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syndrome with myalgia mimicking dermatomyositis. J Dermatol 2010; 37: 837-839.
[3] Koler RA, Montemarano A: Dermatomyositis, Am Farm Physician 2001; 64: 1565-1573.
[4] Tishler M, Barak Y, Paran D, Yaron M. Sleep disturbances, fibromyalgia and primary
Sjögren’s syndrome. Clin Exp Rheumatol 1997; 15: 71-74.
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[6] Lindvall B, Bengtsson A, Ernerudh J, Eriksson P. Subclinical myositis is common in

primary Sjögren’s syndrome and is related to muscle pain. J Rheumatol 2002; 29:
7-7-25.
[7] Eriksson P, Andersson C, Ekerfelt C, et al. Sjögren’s syndrome with myalgia associated
with subnormal secretion of cytokines by peripheral blood mononuclear cells. J
Rheumatol 2004; 31: 729-735.
[8] Ramos-Casals M, Anaya J-M, Garcia-Carrasco M, et al. Cutaneous vasculitis in primary
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[10] Molina R, Provost TT, Alexander EL. Two histopathologic prototypes of inflammatory
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rheumatoid factor and antibodies to Ro (SS-A) and with hypocomplementemia.
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[12] Champey J, Corruble E, Gottenberg JE, et al. Quality of life and psychological status in
patients with primary Sjögren’s syndrome and sicca symptoms without
autoimmune features. Arthritis Rheum 2006; 55: 451-457.
[13] Ringle SP, Forestot JZ, Tan EM, Wehling C, Griggs RC, Butcher D. Sjögren’s syndrome
and polymyositis or dermatomyosistis. Arch Neurol 1982; 39: 157-163.
[14] Airio A, Pukkala E, Isomaki H. Elevated cancer incidence in patients with
dermatomyositis: a population based study. J Rheumatol 1995; 22: 1300-1303.
[15] Gerami P, Schope JM, McDonald L, Walling HW, Sontheimer RD. A systemic review of
adult-onset clinically amyopathic dermatomyositis (dermatomyosistitis sine
myositis): a missing link within the spectrum of the idiopathic inflammatory
myopathies. J Am Acad Dermatol 2006; 54: 597-613.
[16] Mammen AL. Dermatomyositis and polymyositis: clinical presentation, autoantibodies
and pathogenesis. Ann N Y Acad Soc 2010; Jan: 1184; 134-153.
[17] Gherardi RK. Pathogenic aspects of dermatomyositis and overlap myositis. Press Med
2011; Apr: 40: e209-218.
[18] Shen H, Xia L, Lu J, Xiao W. Interleukin-17 and interleukin-23 in patients with
polymyositis and dermatomyositis. Scand J Rheumatol 2011; 40: 217-220.
[19] Ishii W, Matsuda M, Shimojima Y, Iyoh S, Sumida T, Ikeda S. Flow cytometric analysis
of lymphocyte subpopulations and Th1/Th2 balance in patients with polymyositis
and dermatomyositis. Internal Medicine 2008; 47: 1593-1599.
[20] Baka Z, Senolt L, Vencovsky J, Mann IT, Simon PS, Kiltel A, Buzas E, Nagy G. Increase
serum concentration of immune cell derived microparticles in polymyosisitis/
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[21] Antiga E, Kretz CC, Klembt R, Massi D, Ruland V. Characterization of regulatory T
cells in patients with dermatomyositis. J Autoimmun 2010; 35: 342-350.
[22] Fasth AE, Dastmaich M, Rahbar A, Saiomonsson S, Pandya JM, Lindroos E, Nennesmo
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7
Dermatomyositis
Fred van Gelderen
Radiology Department, Dunedin Hospital,
Southern District Health Board & Clinical Senior Lecturer,
University of Otago, Dunedin,
New Zealand
1. Introduction
1.1 Dermatomyositis is an autoimmune inflammatory myopathy with diffuse nonsuppurative
inflammation of the skin and striated muscles. {In polymyositis, skeletal muscles only are
involved.]
1.2 The disease is uncommon, occurs twice as often in female patients, and most present
between 40 and 60 years of age, with a smaller peak between the ages of 5 and 15. There is a
two-to-seven fold increase in the frequency of malignancy, especially in older patients in the
adult age group (about 21% for dermatomyositis and 15% for polymyositis) (Hansell, et al.,
2005).
2. Clinical features
2.1 Nomenclature and classification
These different classifications are included:
2.1.1 Polymyositis and dermatomyositis (Hansell, et al., 2005)

 Primary idiopathic polymyositis
 Primary idiopathic dermatomyositis
 Amyopathic dermatomyositis
 Polymyositis/dermatomyositis associated with:
i. malignant disease
ii. other collagen vascular disease (overlap syndrome)
 Polymyositis/dermatomyositis of childhood
2.1.2 Inflammatory disease of muscle (Resnick & Kransdorf, 2005)

Idiopathic inflammatory myopathies:
 Polymyositis
 Dermatomyositis
 Juvenile (childhood) dermatomyositis
 Myositis associated with malignancy

 Inclusion body myositis
Other inflammatory myopathies:
 Myositis associated with eosinophilia
 Myositis ossificans
 Localized (focal) myositis
Myopathies caused by infection
Myopathies caused by drugs and toxins
2.1.3 Further classification (Resnick & Kransdorf, 2005)

Type I. Typical polymyositis (most common, 35% of patients)
Type II. Typical dermatomyositis (25% of patients)
Type III. Typical dermatomyositis with malignancy. (Malignancy occurs in 15-25%)
Type IV. Childhood dermatomyositis (20% of patients)
Type V. Acute myolysis (3% of patients)
Type VI. Polymyositis in Sjögren’s syndrome and other connective tissue diseases (5%).
2.2.1 The most constant clinical finding is muscle weakness, the initial symptom in about
50% of patients. (Resnick & Kransdorf, 2005). Symmetric involvement of the proximal
muscles is most characteristic. Clinical presentation may be with an acute, subacute or
chronic illness, with progressive symmetric weakness of the girdle and neck muscles. In the
acute form, muscle pain and tenderness are common features. Low grade fever and fatigue
are further manifestations.
2.2.2 In children the acute form is more common with clinical features of fever, joint pain,
lymphadenopathy, splenomegaly and subcutaneous oedema. The skin changes tend to be
very severe, and prognosis is poor.
2.2.3 In adults the onset is often more insidious with periods of spontaneous remission. On
relapse, skin changes are the first symptom in 25% of patients. These are more severe and
more frequent in children. There are no skin changes in polymyositis, however, in
dermatomyositis the changes are characteristic, with a heliotrope periorbital rash and
violaceous/red papular rash over bony prominences.
2.2.4 In addition to the typical proximal muscle weakness and the skin rash, the raised
muscle enzymes and characteristic electromyography and muscle biopsy, also contribute to
characteristic clinical criteria.
2.2.5 Further clinical features include: Arthralgia and arthritis, with typical symmetrical
involvement of the small joints of the fingers, the wrists and the knees. Permanent
involvement is uncommon.
2.2.6.1 Visceral involvement due to dermatomyositis may include pharyngeal and
oesophageal symptoms with dysphagia, pulmonary disease due to respiratory muscle
weakness with aspiration pneumonia and/or interstitial lung disease. (Pulmonary
Dermatomyositis 131
involvement occurs in 50% of patients and contributes directly to death in about 10% of
patients.)
2.2.6.2 Other systemic involvement includes myocardial disease, pericarditis, renal,
neurological and ocular abnormalities.
2.2.7 In addition to typical muscular involvement with bilateral symmetric superficial
oedema and palpable sheetlike confluent calcifications, especially in the thigh muscles, there
may also be pointing and resorption of the terminal tufts of the fingers with distal soft tissue
loss. The ‘floppy-thumb’ sign has been described as a common feature (Resnick &
Kransdorf, 2005).
2.2.8 The aforementioned clinical features may be readily diagnosed on physical
examination of the patient.
2.3 After effective treatment for dermatomyositis, the soft tissue oedema may decrease or
disappear altogether, though fibrosis, muscle atrophy and contractures may become
apparent in the later stages of the disease. With constant aggressive prednisone treatment,
the development of progressive muscular weakness, contractures and disabling
calcifications occur in less than 20% of patients with childhood dermatomyositis (Hesla, et
al, 1990).
2.4 Polymyositis/dermatomyositis may precede, accompany or follow malignant disease,
though usually found within one year of diagnosis. The course of the myopathy often
follows the course of the malignancy, improving when the malignancy is treated, and
increasing with relapse, suggesting that it is a true paraneoplastic symptom (Hansell, et al.,
2005). There is an increased prevalence of malignant neoplasms of the breast, prostate, lung,
ovary, gastrointestinal tract and kidney (Dähnert, 2007).
2.5.1 Furthermore for many patients, the manifestations of the disease process are
incompatible with a single diagnosis. These patients appear to have more than one collagen
vascular disease, and the diagnosis of an overlap syndrome (mixed connective tissue
disease) is suggested to correlate the diverse clinical, imaging and laboratory findings. As
many as 85% of patients with connective tissue disease may be included in this category.
The existence of this entity is not universally accepted (Resnick & Kransdorf, 2005).
2.5.2 The overlap syndrome includes features similar to dermatomyositis, scleroderma,
lupus erythematosus and rheumatoid arthritis, although Sjögren’s syndrome and
polyarteritis nodosa could also be included.
2.6 There is no cure for dermatomyositis, but the symptoms can be treated. Options include
medication (e.g. corticosteroids or immunoglobulins), physical treatment (e.g. removal of
calcium deposits that may cause nerve pain and recurrent infections), exercise, heat
treatment, orthotics and assisting devices, and rest.
2.7 Other inflammatory diseases of muscles (Resnick & Kransdorf, 2005) include
2.7.1 Inclusion body myositis, occurs more often in men older than 55 years, the clinical
findings resemble those of polymyositis, but there are distinctive microscopic findings with
inclusion bodies noted.
2.7.2 Focal nodular myositis is a benign inflammatory muscle disorder, mostly affecting the
thigh or lower extremity, and patients present with a painful, localised intramuscular mass.
The histology of the small nodules or pseudotumours is similar to polymyositis, and the
disease may progress to a more generalised distribution typical of polymyositis.
2.7.3 Eosinophilic myositis may present with an eosinophilic inflammatory infiltrate in
skeletal muscle as a localised disorder, or as a generalised disease.
2.7.4 Drug-related myositis may vary from acute inflammatory changes to chronic fibrosis,
the latter may appear as a consequence of direct intramuscular injection of drugs in the
deltoid or quadriceps muscles. Alcohol, aspirin, penicillin and sulphonamides may also lead
to myopathic changes.
3. Case reports
Three cases are included to highlight diverse and protean manifestations, also to
demonstrate specific radiological investigations, with more advanced and specific tests for
dermatomyositis now being available at many larger centres.
3.1 Case 1
A 17-year-old teenager was known to have dermatomyositis, having been diagnosed in 1978
at age 13. He had been treated since that time with prednisone (corticosteroid), alas, with
little improvement. In 1981 he was referred for chest and pelvis X-rays, with increasing
weakness, atrophy and contractures of the upper extremities. He furthermore experienced
loss of strength in his legs and neck. The patient had extensive skin changes consistent with
dermatomyositis and in addition was very emaciated. No clinical history of tuberculosis
was elicited. The PA (posteroanterior) chest X-ray (Fig. 1a) demonstrated minimal left basal
areas of opacification due to active lung disease; infective, inflammatory or due to
aspiration. Hairline thickness fibrotic changes were identified in the left upper lobe due to
longstanding disease, probably previous tuberculosis.
In the left supraclavicular region, the skin was noted to be retracted with soft tissue loss, and
a subtle 2 cm long thin linear calcification was detected. (Fig.1b, magnified image). This
finding is most suggestive of dermatomyositis, whereas the pulmonary changes are
non-specific. [These images predate readily available high-resolution CT (computed
tomography) of the chest.]
An AP (anteroposterior) view of the pelvis (Fig. 1c) demonstrated minimal and subtle
calcification of the inner upper thighs, however, the diagnosis of dermatomyositis with
multiple coarse linear calcifications overlying the outer aspect of the left iliac bone was
clinched by observing this latter feature. There was an undisplaced fracture of the medial
part of the left superior pubic ramus; this observation was unrelated to the known
dermatomyositis.
3.2 Case 2
A 41-year-old woman with known dermatomyositis for many years (though not known
whether she had had dermatomyositis as a child) was referred for radiographs of the chest,
hands and thighs. She presented with cellulitis/myositis of the posterior aspect of the left
Dermatomyositis 133
thigh, with a possible abscess, despite 1 week of treatment with antibiotics. A shell of
curvilinear calcification was noted around the chest on the PA chest radiograph (Fig. 2a).
Predominant calcification was seen of the lateral chest wall, the axillary region and within the
neck, superior and parallel to the first rib, with bilateral changes. Some tramline-like
calcifications were detected overlying the peripheral midzones on both sides, thereby
mimicking pleural or pulmonary parenchymal disease. However, these rather coarse
calcifications were situated in the superficial soft tissue and superimposed on the lung fields.
No bony abnormality was observed. No cardiac or pulmonary abnormalities were detected.
a. b.
c.
Fig. 1. a.,b.,c. Case 1. A 17–year-old teenager with known dermatomyositis was referred for
chest and pelvis radiographs. There is slight left based patchy opacification. Furthermore
there is a minimal linear calcification of the left side of the neck (Fig. 1a,b). (Fig. 1b is a
magnified image to demonstrate the calcification). The AP pelvis X-ray demonstrates
extensive linear plaque-like calcification overlying the outer aspect of the left iliac bone (Fig.
1c). The radiological features correlate exactly with the clinical diagnosis of
dermatomyositis.
a. b.
c.
Fig. 2. a.-c. Case 2. A 41-year-old woman with known clinical manifestations of
dermatomyositis was referred for radiographs of the chest, hands, and thighs. Ultrasound of
the thighs was also performed. The PA chest X-ray demonstrates a thick shell of plaque-like
calcifications within the superficial soft tissue (Fig. 2a). The PA radiograph of the hands
shows more discrete and dense calcific areas, and also soft tissue loss relating to the tips of
some of the fingers (Fig. 2b). Radiography of the thighs reveals multiple dense calcified
plaques involving the muscles of both thighs (Fig. 2c).
A PA radiograph of the hands (Fig. 2b) demonstrated a number of discrete, yet heavily
calcified, foci in the soft tissue, involving both wrist areas (especially overlying the distal
radius), intermetacarpal in position, and even more marked relating to the webspace
between the left 1st and 2nd metacarpals. Juxtaarticular osteopaenia was noted, but no
erosive articular changes were seen. Loss of soft tissue relating to the terminal tufts of the
distal phalanges was detected, especially affecting the index fingers.
Dermatomyositis 135
Layered dense plaques of calcification were observed relating to both thighs, both in the
skin and in the deeper tissues, more extensive on the left posteriorly (Fig 2c). Ultrasound
examination (US) of both thighs confirmed extensive subcutaneous and intermuscular
plaque-like calcifications with marked shadowing from the superficial calcifications (Fig.
2d). Within the deeper tissues of the left thigh posteriorly, a flattered tubular, anechoic area
was noted, with a long fluid level and high level echoes below the level (Fig. 2e). The
hyperechoic material below the level was disturbed with transducer pressure. When the
examination was subsequently continued in the erect position, a shorter fluid calcium level
formed, along the short dimension of the collection.
The above features were reported as a fluid-calcium level because of the known
dermatomyositis, but as the area was tender, a localized intermuscular abscess could not be
excluded. Aspiration of the lesion yielded sterile, yellowish-white fluid with the consistency
of toothpaste. After aspiration the signs and symptoms relating to the left thigh resolved
and the patient made an uneventful recovery.
d. e.
Fig. 2. d.-e. Case 2. US of the thighs again demonstrates the superficial plaques with typical
shadowing consistent with calcification. Fig. 2d shows the US appearance of the right thigh.
Within the deep tissue on the left side, with the patient in the prone position, a flattened
anechoic area was detected with a long fluid level and high level echoes below this level,
due to a fluid-calcium level (Fig. 2e).
3.3 Case 3
A 46-year-old woman presented with severe proximal muscle weakness. An electromyogram
demonstrated an active myopathy with neurophysiologic features of marked myopathic
changes in the right deltoid muscle.
The diagnosis of dermatomyositis was made due to concomitant skin changes. The patient
had also had difficulty swallowing. A limited speech language therapy barium swallow was
performed. No abnormality was detected, except for uncoordination and slight aspiration
into the trachea (Fig. 3a). Subsequent chest radiographs and high-resolution CT of the chest
did not reveal an abnormality. MRI (magnetic resonance imaging) of the brain did not
demonstrate any abnormal features of consequence.
a.
b. c.
d. e.
Dermatomyositis 137
f. g.
h.
Fig. 3. a.-h. Case 3. A 46-year-old woman was referred with typical skin lesions of
dermatomyositis and dysphagia. A speech language therapy barium swallow reveals slight
aspiration into the trachea (Fig. 3a). Four station STIR MRI (Fig. 3b-e) demonstrates features
consistent with dermatomyositis, especially involving the shoulder girdles and trapezius
muscles, the quadriceps musculature particularly the left vastus lateralis and the lateral
head of the left gastrocnemius muscle. Subsequent X-ray mammography revealed a
carcinoma in the superolateral quadrant of the left breast with typical minute malignant
microcalcification (Fig. 3f,g). At the time of further follow-up, six years later, the patient
experienced right shoulder girdle pain. No abnormality was demonstrated, except for a few
small rounded superficial areas with faint rim calcification (Fig. 3h).
Four station whole body STIR (short tau inversion recovery) and T1-weighted MRI was
performed on four occasions over a three year period. The later STIR MRI demonstrated
more widespread low grade oedema within the muscles when compared to previous MRI.
Initially the patient was treated with steroids, and later with methotrexate/plaquenil. The
initial STIR MRI demonstrated marked increase in signal within the muscles of both
shoulder girdles and trapezius muscles and to a lesser extent of the psoas muscles.
Furthermore relatively symmetrical increased signal was noted in the quadriceps
musculature, especially the left vastus lateralis. There was high signal intensity in the lateral
head of the left gastrocnemius muscles. (Fig. 3b-e).
The patient had continued to be afflicted by severe dermatomyositis, with little response to
treatment, and had had follow-up clinical management by the departments of rheumatology
and neurology. There was concern that there might have been a concomitant underlying
undetected malignancy; she had noted some tenderness of the left breast, though no lump
had been palpable.
The patient was therefore referred for priority X-ray mammography and US of the breasts.
Within the superolateral aspect of the left breast there was a group of dense linear casting
type calcifications, but more concerning were some associated smaller, ill-defined,
calcifications, the latter probably malignant. The magnification mediolateral oblique view
(Fig. 3f) and craniocaudal view (Fig. 3g) demonstrated the microcalcifications to better
advantage. No soft tissue mass, superficial skin thickening or retraction, or other features of
malignancy were noted. US had not demonstrated a mass. Core biopsies were obtained of
the calcifications under stereoradiographic guidance. The diagnosis of a carcinoma was
confirmed and local excision of the tumour was performed (T1 No, grade III). Following on
surgery the patient developed infective changes of the superolateral quadrant of the left
breast; these resolved with antibiotic treatment.
At a later stage the clinical diagnosis of a right ischial abscess had been considered, with the
right buttock having become swollen, red and painful with point tenderness. However, US
had demonstrated subcutaneous induration and oedema only (as compared to the opposite
side) and no abscess or collection had been detected.
CT of the chest, abdomen and pelvis had not shown metastases from the breast carcinoma
or other abnormality, except for postoperative appearances of the left breast. Specifically no
soft tissue calcification had been seen relating to the subcutaneous tissues or muscles.
Six years after the initial diagnosis of dermatomyositis, the patient had experienced
tightness and aching of the right shoulder girdle. Radiography of the shoulder had not
revealed a bony abnormality or supraspinatus tendon calcification. However, multiple,
small, rounded peripherally calcified lesions had been detected especially on the axial view
of the shoulder (Fig. 3h). One of the larger calcifications anterior to the shoulder had
measured 6 mm in long axis. These had been thought to be due to early changes of
dermatomyositis, though rather atypical in shape and configuration.
At the same time as the shoulder pain, a palpable lump had been discovered clinically in the
lateral part of the right breast. MRI, before and after the intravenous administration of 20 cc
of gadolinium, had demonstrated the post surgical appearances of the left breast, and in
addition a very small 4 mm simple cyst within the superolateral quadrant of the right breast.
Dermatomyositis 139
Therefore, six years after the initial diagnosis of left breast cancer and dermatomyositis, no
further malignant disease had been detected. The clinical and radiological features of
dermatomyositis, however, had not improved, and appeared to be refractory to treatment,
as had been shown at multiple follow-up STIR MRI.
4. Radiographic abnormalities
4.1 Musculoskeletal system
4.1.1 Soft tissue abnormalities
4.1.1.1 Soft tissue calcifications may be preceded by oedema of the subcutaneous tissue and
muscle, causing increased muscular bulk and radiodensity, thickening of subcutaneous
septa and poor definition of the subcutaneous tissue-muscle interface. These features may
be detected on radiographs specifically exposed to show soft tissue to better advantage.
Present day digital radiography generally shows the soft tissue far more optimally, as
compared to film radiography, and even an incidental diagnosis of subtle changes of
dermatomyositis may be established more readily with modern digital imaging (Fig. 3h). CT
is more sensitive than MRI for demonstrating soft tissue calcifications, however, CT is rarely
indicated.
4.1.1.2 The changes are more prominent in the proximal musculature, axilla, chest wall,
forearms, thighs and calves (Fig. 3b-e).
4.1.1.3 Following on effective treatment, the soft tissue oedema may decrease or disappear
entirely. However, fibrosis, muscle atrophy and contractures may develop later. There tends
to be decreased soft tissue and muscular bulk, increased translucency of the soft tissue,
osteopaenia, calcification and sometimes eventual contractures.
4.1.1.4 Soft tissue calcification occurs in 30—70% of children and 10% of adults, and may
occur within the first year of the illness (Moses, 2008). The extent of calcification, especially
within the muscles, appears to increase with the severity of the illness. Small or large
calcareous intramuscular fascial plane calcification is distinctive of dermatomyositis and
polymyositis, though subcutaneous calcification is more common. The large muscles of the
proximal parts of the extremities are more frequently affected. Sheetlike confluent
calcifications especially occur in the thigh (particularly the vastus lateralis) (Fig. 2c), the
pelvic girdle, the upper extremity (deltoid muscles, especially), and the flexor muscles of the
neck. Further areas include the elbows, knees, hands, chest and abdominal wall, axillary and
inguinal regions.
4.1.1.5 There are four distinct patterns of soft tissue calcifications that occur in childhood
dermatomyositis; deep calcareous masses, superficial calcareous masses, deep linear
deposits and lacy, reticular, subcutaneous collections that encase the torso. The deep
deposits are more commonly encountered (Resnick & Kransdorf, 2005).
4.1.1.6 The amorphous calcifications of dermatomyositis should be differentiated from the
bone formation in myositis ossificans, where native bone with immature trabecular bone
centrally surrounded by compact bone may be seen.
4.1.1.7.1 The term ‘milk of calcium’ has been used to describe calcium-laden fluid collections
in the gall bladder and kidney and more recently by US, in the soft tissue of the
subcutaneous and intermuscular regions of the thigh and calf in two patients with
childhood dermatomyositis (Hesla, et al., 1990). Case 2 (Fig. 2e) presents similar features
except that fluid-calcium layering (the sedimentation sign) was also demonstrated with an
unusually long level indicating the flattened elongated shape of the collection. There was
also localized tenderness and this prompted aspiration, even though from a US point of
view the fluid-calcium level militated against a soft-tissue abscess.
4.1.1.7.2 Complications of diagnostic and therapeutic aspiration of such collections include
introducing secondary infection and secondly the formation of a chronic sinus tract. The
latter could result especially if a large bore needle was used to penetrate the frequently hard,
brittle subcutaneous calcified tissues. If possible, formal surgical incision and drainage
should therefore also be avoided.
4.1.1.7.3 Most conventional radiographic studies fail to show the layering as they are not
taken with a horizontal ray beam.
4.1.1.7.4 The diagnosis of fluid-calcium layering can also be established by CT or MRI, when
associated bony changes can also be assessed. However, in the absence of skeletal changes
on conventional radiographs, US is thought to be more expeditious, less expensive, readily
available and no ionizing radiation is involved, especially in childhood dermatomyositis.
(Van Gelderen, 2007).
4.1.1.8 Abnormal accumulation of technetium polyphosphate in affected muscle (nuclear
medicine study) was a useful technique, however this has now been superceded by MRI,
with MRI more accurate and not employing ionizing radiation. Signal intensity would
alternate according to the activity of the disease, and therefore changes in the signal pattern
were useful to monitor response to treatment. MRI may allow the correct diagnosis of
dermatomyositis (or polymyositis) to be made where muscle involvement is not detected
clinically (Resnick & Kransdorf, 2005). T2-weighted imaging may be used, but fat-
suppressed imaging and STIR-MRI are particularly optimal (Fig. 3b-e). The calcific mass
might be of low signal but the affected muscle and perimuscular oedema would be
hyperintense, and return to normal after treatment. Follow-up STIR MRI had shown no
improvement in Case 3. Phosphorus-31 MR spectroscopy may be used for quantitative
characterisation of inflammatory disease. (Park, et al., 1990). MRI may also aid in the clinical
dilemma of differentiation between myositis from persistent steroid dermatomyositis.
4.1.2 Articular abnormalities

4.1.2.1 Transient radiographic features with soft tissue swelling and periarticular
osteopaenia may be present, but bony erosive changes are uncommon and may involve the
metacarpophalangeal and interphalangeal joints. Periosteal and soft tissue calcifications
with flecks or small clumps of calcium may be detected on radiographs of the hands. (Fig.
2b). Rheumatoid-like changes are, however, uncommon. The ‘floppy-thumb’ sign may be
detected with radial subluxation or dislocation of the interphalangeal joint of the thumb.
4.1.2.2 Acroosteolysis with pointing and resorption of the terminal tufts of the fingers may
occur uncommonly, but reduced soft tissue relating to the tips of the fingers is less
infrequent. (Fig. 2b). Flexion contractures and soft tissue ulceration may involve the fingers,
though larger joints may be involved.
Dermatomyositis 141
4.1.2.3 Arthralgias and arthritis are present in 20-50% of patients with the wrists, knees and
small joints of the fingers affected symmetrically. Permanent joint changes are infrequently
seen.
4.2 Pulmonary involvement

4.2.1 Lung changes will occur in up to 50% of patients, and aspiration pneumonia is
probably the most common finding seen on chest X-rays (Fig. 1a). Aspiration is due to
cough impairment, dysfunction of the pharynx and general weakness relating to body
movement (Fig. 3a). Weakness of the respiratory muscles is associated with stiffness of the
lungs, small lung volumes and diaphragmatic elevation with basal plate atelectasis. The
myositis may, furthermore, affect the diaphragm directly.
4.2.2 Pulmonary arterial hypertension, with large main and proximal pulmonary arteries,
may occur as a complication of interstitial lung disease, hypoventilation or vasculitis,
however, may also be seen in isolation.
4.2.3 Interstitial fibrosis was first described in 1956, is now well recognised and occurs in 5-
10% of patients (Hansell, et al., 2005). (It correlates strongly with the presence of anti-Jo-1, a
myositis specific autoantibody.) The illness may be acute, rapidly fatal and resistant to
therapy, or benign, indolent and asymptomatic, with favourable response to steroid
treatment.
4.2.4 The more acute patients may demonstrate airspace opacity or even widespread
groundglass shadowing, with alveolar opacities earlier in the course and more likely to be
steroid responsive. These changes are likely to be predominantly due to organising
pneumonia.
4.2.5 Radiographic changes often consist of symmetric reticulonodular changes, mostly in
the base of the lungfields. In time the entire lungfields may be involved and a fine
honeycomb pattern may form.
4.2.6 The chest X-ray may be normal, despite the presence of confirmed clinical disease.
Multifocal dystrophic pulmonary ossifications, which have been demonstrated
pathologically, are not detected radiographically.
4.2.7 High-resolution CT changes consist principally of groundglass opacification, diffuse
but patchy, mostly peripheral, and also parenchymal bands and consolidation.
Bronchiectasis occurs in 40% of patients, though honeycombing was uncommon. Pleural
thickening and irregularity was frequently encountered.
4.3 Cardiac abnormalities

4.3.1 The myocardium may be affected in a similar way to the involvement of skeletal
striated muscle. Cardiac complications include arrhythmias, congestive cardiac failure, and
pericarditis (O’Brien & Kelleher, 2008).
4.4 Gastrointestinal abnormalities

4.4.1 Patients may complain of dysphagia and a barium swallow may reveal disordered
peristalsis involving the upper oesophagus, that portion with striated muscle. [The lower
oesophagus has smooth muscle, and is more likely to be affected by scleroderma.] Because
of the progressive weakness of the proximal striated oesophageal muscle, there tends to be
atony and dilatation. Aspiration into the tracheobronchial tree may occur during barium
swallow examination (Fig. 3a). Atony of the small intestine and colon may furthermore be a
feature. It should be emphasized that involvement of the gastrointestinal is not a common
manifestation of dermatomyositis.
5. Conclusion
5.1 Some of the protean radiological manifestations of dermatomyositis in childhood and
adults are illustrated, with the aid of various radiological examinations.
The superficial soft tissue changes may be very extensive and florid. In recent years MRI has
become more important to demonstrate activity of disease.
The effect of treatment, for example, with corticosteroids, can be monitored by four-station
STIR MRI. The very extensive disease with deformities and contractures, seen previously,
are now less common as a consequence of more optimal management.
6. References
Dähnert, W. 2007. Radiology Review Manual, 6th Ed. pp. 64-65, Wolters Kluwer, ISBN 0 7817
6620 6, Philadelphia
Hansell, D., Armstrong, P., Lynch, D., & McAdams, H. 2005. In: Imaging of Diseases of the
Chest, pp. 581-585, Elsevier Mosby, ISBN 0 3230 36600, Philadelphia
Hesla, R., Karlson, L, & McCauley, R. 1990. Milk of calcium collection in dermatomyositis :
ultrasound findings. Pediatr Radiol, 20:, pp. 344-346
Moses, S. 2008. Dermatomyositis. Family Practice Notebook.com. 2008
O’Brien, J., & Kelleher, J. 2008. Calcinosis associated with dermatomyositis. J. Belge de Radiol.,
91. pp. 27
Park, J., Vansant, J, Kumar, N., Gibbs, S., Curvin, M., Price, D., Partain, C., & James, A. 1990.
Dermatomyositis : correlatiive MR imaging and P-31 MR spectroscopy for
quantitative characterisation of inflammatory disease. Radiology, 177(2), pp. 473-479
Resnick, D., & Kransdorf, M. 2005. Bone and Joint Imaging, 3rd Ed., pp. 337-343; 349-352.
Elsevier Saunders, ISBN 0 7216 0270 3, Philadelphia
van Gelderen, W., 2007. Fluid-calcium level in the thigh versus clinical diagnosis of a soft
tissue abscess : ultrasound features of dermatomyositis. Australasian Radiol, 51, pp.
B83-B85
8
Interstitial Pneumonia in Dermatomyositis

Tohru Takeuchi, Takuya Kotani and Shigeki Makino
Osaka Medical College
Japan
1. Introduction
Dermatomyositis (DM) and polymyositis (PM) are types of autoimmune inflammatory
muscle disease that mainly damage proximal limb muscles, with DM involving
characteristic skin findings such as Gottron's sign and heliotrope eruption (Bohan & Peter,
1975a, 1975b). Interstitial pneumonia (IP) is often associated with DM/PM and is one of the
important prognostic factors. Above all, rapidly progressive IP (RPIP), which has the worst
prognosis, is resistant to corticosteroid drugs and is strongly associated with clinical
amyopathic DM (CADM), which is unlikely to show myositis (Kameda & Takeuchi, 2006).
In response, combination therapies of corticosteroid drugs and immunosuppressive drugs
have recently been administered early in the onset of IP, and outcomes have been improved.
Here, we review the pathogenesis, the clinical and laboratory findings, and treatment of IP
associated with DM/PM.
2. IP Associated with DM/PM

IP occurs in association with DM/PM in 40-50% of patients and is an important prognostic
factor of DM/PM (Hidano, 1992, Marie, 2002, Fathi, 2004). In 2002, the American Thoracic
Society and the European Respiratory Society jointly advocated classifying idiopathic IP into
7 types (American Thoracic Society & European Respiratory Society, 2002), which are
applied to IP associated with connective tissue disease. Many cases of IP associated with
DM/PM comprise one of 3 types: nonspecific interstitial pneumonia (NSIP), cryptogenic
organizing pneumonia (COP), or diffuse alveolar damage (DAD) (Douglas, 2001, Fujisawa,
2005). Prognoses vary according to these types: cases of DAD are the most critical, but some
cases of NSIP and COP also progress to unfortunate outcomes. IP is classified according to
clinical course into 1 of 3 groups: acute/subacute IP (A/SIP) with rapidly progression over
several weeks or months, chronic IP (CIP) with slowly progression over years, and
asymptomatic type with only minor abnormalities on chest CT or in respiratory function
tests (Frazier & Miller, 1974).
The histological features of muscle biopsies in DM and PM are different, as are the
pathological features of the IP associated with each disease. PM mainly is associated with
slowly progressive CIP, which histologically presents as fibrotic NSIP and which responds
to corticosteroids. A/SIP also is associated with COP or cellular NSIP and shows good
response to corticosteroids in many cases. In contrast, almost 50% of DM cases are
associated with A/SIP, which histologically presents as fibrotic NSIP or DAD (Hirakata &
Nagai, 2000). It often evolves into corticosteroid-resistant RPIP, often progressing to acute or
subacute disease in several weeks or months, and many patients die in spite of strong
immunosuppressive therapies. There are many unclear points as to how certain cases evolve
into RPIP. Some cases that were identified histologically as NSIP change to DAD. In
addition, pathological findings can be mixed within the same patient, and the histological
picture may vary according to the site of tissue sampling.
3. Laboratory findings
3.1 Pulmonary function tests
Pulmonary function tests (PFT) provide objective evaluation of respiratory symptoms and
are important in determining the disease activity and therapeutic effects. However, in
patients with severe respiratory failure such as that in RPIP, the tests cannot be performed
or the results are not determined. Typically, a restrictive ventilatory impairment is present,
and total lung capacity (TLC), vital capacity (VC), forced vital capacity (FVC), and the
diffusing capacity for carbon monoxide (DLco) are decreased (Fathi, 2008). A decrease in
DLco is one of the most sensitive indices showing a decrease in gas exchange. These
abnormalities are improved by treatment. In cases without IP but with decreased FVC, it is
necessary to also consider a decrease in ventilatory muscle strength.
3.2 Diagnostic Imaging

For imaging assessment of IP, the sensitivity of the chest X-ray is lower than that of high-
resolution CT (HRCT) using less than 3-mm slices (Figure 1). When PM/DM or IP
associated with PM/DM is suspected, the lung should be assessed by HRCT. However,
because the chest X-ray is easy to use and radiation exposure is low, it is useful for following
the course of the disease and for diagnosing complications such as infection.
HRCT findings observed in PM/DM are diverse. The most frequently observed findings are
reticular opacity or ground-glass opacity with subpleural curvilinear shadow that is
predominantly distributed just below the bilateral dorsal regions of the lungs, and the
findings sometimes accompany consolidation (Mino, 1997, Douglas, 2001, Arakawa, 2003,
Bonnefoy, 2004, Hayashi, 2008). Ground-glass opacity and consolidation are improved by
treatment. The decreased lung volume and traction bronchiectasis (TBE) are sometimes
observed, but patients with honeycomb lung are rare. It is difficult to predict the prognosis
of IP associated with DM/PM and to select treatment based only on HRCT findings.
However, HRCT are useful for the assessment of disease activity and therapeutic effect. IP
that is distributed through a wide area of the lungs and accompanies TBE at the early onset
or exacerbation has a poor prognosis.
3.3 Biomarkers of IP
Autoantibodies to various cell components are detected in 50 to 80% of PM/DM patients
(Reichlin & Arnett, 1984, Love 1991). Myositis-specific autoantibodies such as anti-aminoacyl
transfer RNA synthetase (ARS) antibody and anti-signal recognition particle (SRP) antibody
are specifically detected in PM/DM, and myositis-related antigens, such as anti-Ku
antibody and anti-U1-RNP antibody, are also detected in connective tissue diseases other
Interstitial Pneumonia in Dermatomyositis 145
Fig. 1. Chest HRCT of IP associated with DM. (A) ground-glass opacity (open arrow) and
consolidation (arrow); (B) subpleural curvilinear shadow (arrow); (C) Traction bronchiectasis.
than PM/DM. Patients from whom these autoantibodies are detected have respective
clinical characteristics. Anti-ARS antibodies are detected in 25 to 30% of PM/DM patients,
and of these anti-ARS antibodies, anti-Jo-1 antibody is most frequently detected and is
closely related with myositis. Antibodies related to IP include anti-PL-12 antibody and anti-
KS antibody (Friedman, 1996, Hirakata, 2007). Patients who test positive for anti-SRP
antibody are considered to have fewer complications from IP (Targoff, 1990). Patients with
CADM frequently complicate RPIP with poor prognosis and have been found to frequently
test negative for antinuclear antibody. Recently, anti-CADM-140 (mda-5) antibody has been
detected in the serum of patients with CADM (Sato, 2005). In the future, if a relation
between this antibody and pathogenesis/clinical presentation is revealed, selection of
treatment and prognosis are expected to improve.
Krebs von den Lungen-6 (KL-6) and surfactant D (SpD), which are produced and secreted
on the epithelial surface by alveolar type II cells and bronchial epithelial cells, are useful
markers for IP. These makers increase in the serum of patients with IP associated with
PM/DM. The levels of these markers are inversely correlated with DLco and are useful in
judging therapeutic effect (Kubo, 2000, Bandoh, 2000, Ihn, 2002). Not all patients with IP
associated with PM/DM show increases in KL-6 and SpD, and there are patients without
increased levels of KL-6 and SpD, especially in the acute phase.
Ferritin is the major molecule of iron storage, and it was reported that serum ferritin level
increases in A/SIP associated with DM (Gono, 2010). Serum ferritin level is also useful as a
predictive factor for onset of A/SIP and is related to its prognosis. Although it is not
altogether clear why serum ferritin increases in A/SIP, it is considered to be related to
activation of alveolar macrophages.
4. Treatment of IP
Therapy with massive doses of corticosteroids is used in the treatment of DM/PM-
complicated IP. Although it is often effective in PM, IP associated with DM, especially in the
initial treatment of RPIP, is often refractory to corticosteroid therapy . Nawata et al. reported
on the prognosis of the treatment of IP in 31 cases of DM/PM using corticosteroid drugs
along with pulse therapy (Nawata, 1999). The first-year survival rate after beginning the
treatment was 50% in 20 patients with DM and 90% in 11 patients with PM. In addition, in
all patients who died, death occurred within 12 weeks and was due to an exacerbation of IP
or infection. Fujisawa et al. reported initial survival rates in 12 patients with DM and 16
patients with PM of 58% and 81%, respectively, when combining corticosteroids with an
immunosuppressive agent such as cyclophosphamide (Fujisawa, 2005).
The combination of corticosteroids with immunosuppressive agents is currently the
preferred method of treatment of DM/PM-complicated IP, especially in the early treatment
of RPIP. Nagasawa et al. surveyed 32 facilities nationwide that specialize in the treatment of
connective tissue diseases. The group analyzed clinical data from 38 patients with acute IP
in DM/PM who were treated for 2 or more weeks with cyclosporine (Nagasawa, 2003).
Among 25 patients who were initially treated for 2 weeks or longer using only
corticosteroids following the addition of cyclosporine, the 2-year survival rate was 32%.
Among the other13 patients who were treated with cyclosporine within 2 weeks of starting
corticosteroid treatment, the average survival rate 2 years later was 69%. Takada et al.
reported that when comparing the results from 20 active cases of DM/PM-complicated IP,
in which only additional immunosuppressive agents were added if corticosteroid alone did
not result in a favorable response, with 14 additional cases in which immunosuppressive
agents were combined with corticosteroids, the combination therapy led to a higher survival
rate (Takada, 2007). Other clinical trials reported similar results (Yamasaki, 2007, Kotani,
2008). These reports indicate that early combined therapy is more effective than combining
additional agents at a later time; as a result, this maximizes the effectiveness of the
immunosuppressant.
4.1 Immunosuppressants available for DM/PM-complicated IP

Currently, positive clinical trials are going forward for the following immunosuppressive
drugs used in the treatment of DM/PM-complicated IP: cyclophosphamide, cyclosporine,
and tacrolimus, amongst others. It is important to introduce treatment with the
immunosuppressive agent at an early stage before remodeling the lung tissues, and the
dosage and the mode of administration can also greatly influence the therapeutic effect. In
addition, because of possible side effects, it is necessary to monitor renal function and
carefully consider the dosages and effects of possible drug combinations. Specifically,
infectious diseases are a critical side effect of each type of medicine. As reported by Kameda
et al. and Kotani et al., through careful monitoring and early detection of infection,
preventative treatments can be administered at an early stage leading to a decreased
number of deaths due to infectious diseases (Kamdeda 2006, Kotani, 2008). In our facility,
factors such as leukocyte count (lymphocyte count), CRP, IgG, β-D-glucan, CMV-C7-HRP,
procalcitonin, are regularly measured, and Trimethoprim-sulfamethoxazole is administered
to prevent Pneumocystis jiroveci.
4.2 Cyclosporine
Cyclosporine is a metabolic product of fungi and a hydrophobic cyclic polypeptide. When it
is incorporated into T-lymphocytes, it binds to cyclophilin to form a complex, and when this
complex inhibits the activity of calcineurin, expression of cytokine genes such as IL-2 and
early activation genes is down-regulated. In DM/PM-complicated IP, because involvement
of T-lymphocytes has been suggested from the lung biopsy and lymphocyte subset analysis
of bronchoalveolar lavage fluid, concomitant therapy with steroids and cyclosporine has
been conducted and has been shown to be efficacious (Nawata, 1999, Nagasawa, 2003,
Kameda, 2005, Kotani, 2008). However, these various reports indicate variability in
therapeutic effect as the reported survival rates range from 42 to 78%.
Cyclosporine is likely to be affected by food and the amount of bile acid secreted, and the
absorbed amount of cyclosporine varies within and between individuals. Because the
therapeutic efficacy of cyclosporine depends on the concentration of the drug in the body
and not on the dose, therapeutic drug monitoring (TDM) to determine the method of
administration based on the concentration of the drug in the blood of individual patients
has been recommended. In the treatment of DM/PM-complicated IP, cyclosporine has
been administered at doses between 100 and 300 g/day (3 to 5 mg/kg/day) and at a
serum trough concentration (C0) between 150 and 250 ng/mL, but there are no specific
guidelines.
Recently, Nagai et al. conducted and reported on TDM in 15 IP patients complicated with
DM to determine the optimal method of cyclosporine administration (Nagai, 2010). It is
known from organ transplantation that the immunosuppressive effect of cyclosporine
correlates best with the area under the blood concentration curve (AUC), but this is not so
suitable for use in daily management because frequent blood sampling is required.
Therefore, the concentration of cyclosporine in the blood was determined before and after
administration to determine which concentration correlates best with the AUC. As a result,
the blood concentration at 2 hours after administration (C2) was the highest among all the
patients, correlated best with AUC, and was considered to be an index of
immunosuppressive effect (Figure 2). However, C0 did not correlate with the AUC.
Moreover, when comparing between two postprandial doses and one preprandial dose,
there was no difference in C2, but C0 was significantly lower when cyclosporine was
administered once daily breakfast (Figure 3). Because the incidence of adverse events with
cyclosporine increases when cyclosporine is used for a long time at a C0 of 200 ng/mL or
higher (Min, 1998), the utility of the administration of one preprandial dose has been
reported.
Fig. 2. Correlation of AUC0-6 with C0, C2 and C4 of cyclosporine. C0 presents the serum
trough concentration. C2 and C4 present the blood concentration at 2 and 4 hours after
administration, respectively. Closed and Open circles represent patients with preprandial and
postprandial administration, respectively. Reproduced with permission from Nagai K, et al.,
Therapeutic drug monitoring of cyclosporine microemulsion in interstitial pneumonia with
dermatomyositis. Mod Rheumatol, 2010 (21): 32-36.
Fig. 3. Comparison of blood cyclosporine level between postprandial daily administration in

two doses and preprandial, once daily administration; Pre preprandial, once daily before
breakfast in a single dose; Post postprandial, twice daily in a divided dose. Reproduced with
permission from Nagai K, et al., Therapeutic drug monitoring of cyclosporine
microemulsion in interstitial pneumonia with dermatomyositis. Mod Rheumatol, 2010 (21):
32-36.
Adverse events to cyclosporine include infection as well as renal disorders, hypertension,

diabetes mellitus, and hepatic disorders. Because the onset of adverse events is
concentration-dependent, the dose is adjusted so that the C0 is 200 ng/mL or less, but it may
be impossible to reduce the dose because of the high activity of IP. Nagai et al. reported that
when the C2 was 1222.6±523.8 ng/mL, the C0 was 157.3±41.4 ng/mL (Nagai, 2010), so
cyclosporine can be used relatively safely if the C2 is maintained at about 1200 ng/mL. If
cyclosporine is used for a long time, however, the serum creatinine value gradually
increases. Thus, monitoring of both C2 and C0 are required for the assessment of
immunosuppressive effects and adverse events. Moreover, because cyclosporine is
metabolized at cytochrome P450 (CYP) 3A4, concomitant use with tacrolimus, bosentan,
pitavastatin, and rosuvastatin is contraindicated, and it is also necessary to pay attention to
concomitant use with aminoglycoside antibiotics and amphotericin B, which have been
known to induce renal disorders.
It has been reported that the immunosuppressive effect of cyclosporine reaches its
maximum effects if the C2 exceeds 1000 ng/mL. The ideal dose of cyclosporine in the
treatment of DM/PM-complicated IP has not been established yet. The dose is reported to
be variable, which may affect its therapeutic effect. In the future, it will be necessary to
evaluate not only dosage and C0 but also C2. Recently, Kotani et al. reported that the C2 of
cyclosporine correlated with the HRCT findings and improvement of respiratory function
instead of C0 (Kotani, 2011).
4.3 Tacrolimus
Tacrolimus is a metabolic product of an actinobacteria, Streptomyces tsukubaensis, and has a
macrolide skeleton. When it is incorporated into T-lymphocytes, it forms a complex with the
FK506-binding protein. As a cyclosporine, this complex shows immunosuppressive effects
by inhibiting the activity of calcineurin. The activity of tacrolimus is 30- to 100-times higher
than that of cyclosporine in vitro, and it inhibits mixed lymphocyte culture reaction,
production of IL-2, expression of IL-2 receptor, and production of IFN-γ. Clinically,
tacrolimus is used for inhibition of rejection after transplantation of kidneys, liver, heart,
lung and pancreas and in rheumatic diseases such as systemic lupus erythematosus,
rheumatoid arthritis, Behçet’s disease, and myasthenia gravis.
Oddis et al. reported the utility of tacrolimus in 8 patients with refractory PM associated
with IP (Oddis, 1999). When tacrolimus was orally administered to maintain the C0 at 5 to
20 ng/mL, recovery of muscle strength was observed in all 8 patients, and among 5 patients
complicated with IP, 3 showed improvement, and 1 was stabilized. Thereafter, Wilkes et al.
reported 13 patients with anti-tRNA synthase antibody-positive refractory DM/PM who
were treated with tacrolimus (Wilkes, 2005). It was possible to rescue all the patients, to
improve respiratory function, and to reduce the dose of corticosteroids administered.
Takada et al. retrospectively examined the clinical effects of tacrolimus in 5 IP patients
complicated with refractory DM/PM (Takada, 2005). As a result, they reported that all 5
patients could be rescued and that in 4 patients who could be evaluated by PFT before and
after treatment, the PFT values were improved.
The treatment of DM/PM-complicated IP is conducted at a tacrolimus dose of 4 to 6
mg/day and a C0 of 5 to 10 ng/mL. Tacrolimus is also likely to be affected by food, and it is
known that the AUC and the maximum blood concentration (Cmax) decrease with
postprandial administration. For cyclosporine, C2 monitoring is required to evaluate
immunosuppressive effects, but for tacrolimus, since both the blood concentrations before
and at 0 to 7 hours after administration correlate well with the AUC, it is better to monitor
C0 only. (Figure 4)
The adverse events of tacrolimus are infection as well as renal disorders, hypertension,
diabetes mellitus, and hyperkalemia. The onset of adverse events depends on the
concentration, and if the C0 is as high as 20 ng/mL for a long time, adverse reactions
increase. Similar to cyclosporine, because tacrolimus is metabolized at CYP3A4, it is
necessary to pay attention to concomitant drug use. Moreover, because hyperkalemia can be
observed, attention must be paid to administration of potassium-conserving diuretics such
as spironolactone and eplerenone.
Fig. 4. Correlation of AUC0-6 with C0, C2 and C4 of Tacrolimus. C0 presents the serum
trough concentration. C2 and C4 present the blood concentration at 2 and 4 hours after
administration, respectively.
4.4 Cyclophosphamide
Cyclophosphamide is an alkylating agent that is used to inhibit rejection after renal
transplantation and for the treatment of malignant tumors. Cyclophosphamide itself has no
alkylating effect, but many of its metabolites have activities that alkylate guanine and inhibit
replication of DNA chains and transcription to mRNA. To exert their immunosuppressive
effects, these metabolites inhibit differentiation and proliferation of T-cells and B-cells and
suppress antigen processes of antigen-presenting cells such as macrophages.
DM/PM-complicated IP is treated by pulse intravenous infusion of cyclophosphamide (IV-
CY, 500 to 2,000 mg) in combination with corticosteroids. In the initial case reports, the
effects of IV-CY were variable. Yamasaki et al. administered IV-CY at doses of 300 to 800
mg/m2 6 times every 4 weeks in addition to steroids to 17 patients with DM/PM-
complicated IP (Yamasaki, 2007). Dyspnea improved in 11 patients, %VC improved by 10%
or more in 8 patients, and the chest CT score improved in 9 patients. Moreover, the number
of days from the start of initial treatment and the rate of improvement in %VC showed a
negative correlation, indicating the utility of early concomitant treatment.
Cyclophosphamide exerts strong immunosuppressive effects but is also accompanied by a
number of adverse events including myelosuppression and following infections,
hemorrhagic cystitis, ovarian insufficiency, azoospermia, and secondary carcinogenesis. It is
therefore problematic whether cyclophosphamide may be used continuously for a long time
in relapsed patients after remission induction or in patients with chronic advanced disease.
It is considered useful to conduct initial treatment with concomitant use of corticosteroids
and cyclophosphamide and then to switch to other immunosuppressive drugs, but this
requires further evaluation. A prospective comparative study in which corticosteroids and
IV-CY were administered 6 times every 4 weeks and then switched to azathioprine (2.5
mg/kg/day) was conducted in IP patients complicated with scleroderma17), which may be
helpful for the treatment of DM/PM-complicated IP.
5. Conclusion
There are limitations in the treatment of DM/PM-complicated IP, and particularly RRIP,
with corticosteroids alone; thus, immunosuppressive drugs should be introduced early and
aggressively before remodeling of the lung tissues. Many challenges remain in determining
what treatment should be started for which patient, how to perform maintenance therapy,
and how to switch between immunosuppressive drugs. At this time, prospective clinical
studies of various immunosuppressive drugs are ongoing, and the results are eagerly
anticipated.
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9
IBMPFD and p97,

the Structural and Molecular
Basis for Functional Disruption
Wai-Kwan Tang and Di Xia
Laboratory of Cell Biology,
Center for Cancer Research, National Cancer Institute,
National Institutes of Health, Bethesda, Maryland,
USA
1. Introduction
Inclusion body myopathy associated with Paget’s disease of the bone and frontotemporal
dementia (IBMPFD, OMIM 167320) is an inherited, autosomal dominant, adult onset multi-
disorder, which affects the muscle, bone and the brain (Watts et al., 2004). It is a rare
condition with unknown worldwide prevalence. Affected individuals may display one or a
combination of the following three symptoms which, however, are generally not recognized
until patients are in their 40s or 50s (Weihl, 2011). (1) IBM (Inclusion body myopathy):
About 90% of all patients develop proximal and distal muscle weakness initially with
atrophy of the pelvic and shoulder girdle muscles (Kimonis et al., 2000; Kimonis et al.,
2008b; Kovach et al., 2001; Watts et al., 2003). Cellular inclusion bodies and rimmed vacuoles
are commonly found in these muscle tissues (Kimonis et al., 2008a; Kimonis et al., 2000;
Watts et al., 2004). Characteristically, two proteins are most frequently found co-localized
with the inclusion, ubiquitin and TDP-43 (TAR DNA binding protein-43) (Ritson et al., 2010;
Weihl et al., 2008). Ubiquitin is a signaling molecule that directs protein substrates into a
variety of cellular pathways, including protein degradation. Misfolded or unwanted
proteins are labeled with ubiquitin, mostly in the form of polyubiquitin, and targeted for
degradation (Clague and Urbe, 2010). TDP-43, on the other hand, is believed to be a
substrate itself for either proteasome or autophagal degradation (Caccamo et al., 2009; Wang
et al., 2010). Detection of these proteins in the inclusions suggests impairments in the protein
degradation pathways. (2) PDB (Paget’s disease of the bone): About half of IBMPFD patients
develop PDB, which is caused by an imbalance in the activities between osteoblasts and
osteoclasts. (3) FTD (Frontotemporal dementia): Only ~30% of patients develop FTD, which
is characterized by language and/or behavioral dysfunction. Interestingly, clinical
manifestation of these symptoms is rather random, and has no clear-cut correlation with
family history or mutations. Even within isolated families bearing the same genetic
mutation, individuals can exhibit different symptoms. These heterogeneities in clinical
presentations cause frequent misdiagnoses of IBMPFD patients (van der Zee et al., 2009).
Accurate diagnosis of IBMPFD often requires molecular genetic testing, in addition to a
combined clinical diagnosis of myopathy, PDB and FTD.
2. What is p97?
In the year 2000, IBMPFD was recognized as a genetically distinct clinical syndrome
(Kimonis et al., 2000) and was subsequently linked to heterozygous missense mutations in a
highly abundant cellular protein called p97 (also called valosin-containing protein, VCP)
(Watts et al., 2004). P97 belongs to the family of AAA+ proteins (ATPases Associated with
various cellular Activities), which use the energy from hydrolyzing ATP to drive mechanical
work necessary for a host of functions including homotypic membrane fusion, cell cycle
regulation and protein degradation (Wang et al., 2004; Woodman, 2003; Ye, 2006). The
multi-functionality of p97 is consistent with its embryonic lethality when the p97 gene or its
homologs are disrupted or knocked-out in the mouse, in yeast, in trypanosomes, and in
Drosophila (Frohlich et al., 1991; Lamb et al., 2001; Leon and McKearin, 1999; Muller et al.,
2007). Moreover, the functional versatility of p97 appears to lie in its ability to interact with a
large variety of adaptor proteins. For instance, binding to the protein p47 incorporates p97
in the membrane fusion pathway (Kondo et al., 1997), whereas the p97-Ufd1-Npl4 complex
participates in ER associated degradation (ERAD) (Richly et al., 2005). So far, more than
twenty adaptor proteins have been identified that interact with p97 (Madsen et al., 2009),
but detailed molecular mechanisms of these interactions remain elusive.
3. Structure of p97
Structurally, p97 is a homo-hexamer, each subunit (806 residues) consisting of three
domains: a unique N-terminal domain (N-domain) followed by two conserved AAA+
ATPase domains (D1- and D2-domain) in tandem (DeLaBarre and Brunger, 2003; Huyton et
al., 2003) (Fig. 1A). The N-domain (residues 1-184) contains two sub-domains, an N-
terminal double -barrel and a C-terminal four-stranded -barrel, and is responsible for
interacting with most adaptor proteins as well as with protein substrates. Both the D1-
(residues 211-463) and D2-domains (residues 483-762) are typical AAA+ ATPase domains
comprised of two sub-domains: a large N-terminal RecA-like domain with an / fold and
a smaller C-terminal -helical bundle domain. The D1-domain is essential for
hexamerization of p97 subunits (Wang et al., 2003) and the hexameric ring formation is
predominantly mediated through interactions between the RecA-like sub-domains (Fig. 1B).
However, unlike many members of the AAA+ family proteins such as the E. coli ClpA
unfoldase, the hexamerization of p97 subunits does not require the binding of nucleotide
(ADP or ATP) at D1-domains, though it has been shown that nucleotide binding does
accelerate p97 hexamer formation (Singh and Maurizi, 1994; Wang et al., 2003). Most of the
ATPase activities of p97 involve the D2-domain, presumably required for the processing of
substrates (Song & Li, 2003).
Connecting the domains are loops that have been shown to play important functions. The
N-D1 loop is 27 residues long and is embedded at the interface between the N-domain and
the D1-domain. The short peptide stretch (residues 763-806) immediately following the D2-
domain is another region for adaptor protein binding. Although not as common as the N-
domain, this C-terminal tail has been shown to interact with a number of proteins, such as
Ubxd1 (Allen et al., 2006; Madsen et al., 2008). Similar to other Type-II AAA+ assemblies, the
p97 assembly was revealed by electron microscopy (EM) and crystallography to be a two-
tiered concentric ring encircling a central pore or axial channel (Fig. 1B). The N-domains are
IBMPFD and p97, the Structural and Molecular Basis for Functional Disruption 157
attached to the periphery of the D1 ring, making one ring appear larger than the other. The
central pore does not run unrestricted through the hexamer, but has a narrowing or a
constriction point that is formed by a bound zinc ion (DeLaBarre and Brunger, 2003).
Fig. 1. Structure of p97 (A) Domain organization of the full-length p97. (B) Ribbon
representation of the crystal structure of p97 based on PDB: 1OZ4. Domains are color-coded
using the scheme in (A) and two views are presented. (C) Locations of IBMPFD mutations
are shown in the context of the p97 N-D1 structure (PDB: 1E32), which has the D1-domain
bound with ADP. The IBMPFD mutations are represented by yellow balls. Thirteen
positions representing twenty mutations are presented.
4. Mutations in p97 associated with IBMPFD

So far, only single amino acid substitutions in p97 have been identified from all the clinical
IBMPFD specimens examined. Altogether, twenty missense mutations found in 13
different amino acid positions in p97 have been reported to be associated with the disease
and the majority of them involve substitutions of arginine residues (Table 1)
(http://www.molgen.ua.ac.be/FTDMutations). While more than half of these mutations are
located in the N-domain (Ile27, Arg93, Arg95, Pro137, Arg155, Gly157 and Arg159), a few are found
in the N-D1 linker region between the N- and D1-domains (Arg191 and Leu198) and in the D1-
domain (Ala232, Thr262, Asn387 and Ala439). None has been found in the D2-domain. Among
these, mutations at Arg155 are the most frequently observed in patients (Table 1).
Interestingly, mapping these mutations onto the three-dimensional p97 structure in the
ADP-bound form revealed that they all clustered at the interface between the N- and D1-
domains (N-D1-interface, Fig. 1C).
5. Wild type vs. IBMPFD mutant p97: Structural characteristics

Changes in structure as a result of amino acid mutations can lead to a global disruption of
the protein folding, resulting rapid clearance by cellular stress response mechanisms, or to
localized structural changes that cause complete loss of the protein function, or to subtle
conformational changes that alter the function of the protein. Structural changes in mutant
proteins can be directly visualized by X-ray crystallography, NMR (nuclear magnetic

resonance), and EM (electron microscopy) or inferred indirectly by biophysical and
biochemical methods such as SAXS (small angle X-ray scattering). To understand how
IBMPFD mutations lead to functional change in p97, it is absolutely necessary to know what
structural changes these mutations entail. However, knowing what has changed in mutants
depends heavily on our baseline knowledge of the wild type proteins.
Change in Change in
Location References
amino acid gene
1 I27V 79 A  G (Rohrer et al., 2011)
2 R93C 277 C  T (Guyant-Marechal et al., 2006; Watts et al., 2004)
3 R95C 283 C  T (Kimonis et al., 2008a)
R95G 283 C  G (Watts et al., 2004)
4 P137L 410 C  T (Palmio et al., 2011; Stojkovic et al., 2009)
(Gidaro et al., 2008; Guyant-Marechal et al., 2006;
5 R155C 463 C  T
Schroder et al., 2005; Watts et al., 2004)
N-
R155H 463 C  A (Viassolo et al., 2008; Watts et al., 2004)
domain
R155P 463 C  C (Watts et al., 2004)
R155S 463 C  A (Stojkovic et al., 2009)
R155L 464 G  T (Kumar et al., 2010)
6 G157R 469 G  C (Djamshidian et al., 2009)
469 G  A (Stojkovic et al., 2009)
7 R159C 475 C  T (Bersano et al., 2009)
R159H 476 G  A (Haubenberger et al., 2005; van der Zee et al., 2009)
8 R191Q 572 G  C N-D1 (Watts et al., 2004)
9 L198W 593 T  G linker (Kumar et al., 2010; Watts et al., 2007)
10 A232E 695 C  A (Watts et al., 2004)
11 T262A 784 A  G D1- (Spina et al., 2008)
12 N387H 1159 A  C domain (Watts et al., 2007)
13 A439S 1315 G  T (Stojkovic et al., 2009)
Table 1. IBMPFD mutations in p97.
5.1 Conformational changes in AAA+ proteins

Studies of AAA+ proteins have revealed conformational changes in various domains in
response to changes in the environment, to substrate binding, and to various bound
nucleotides. At least some of the observed conformational changes are believed to be
necessary for function (Vale and Milligan, 2000). N-domains of ClpB were found in different
positions in crystal structure even though all the subunits were bound with the ATP analog
AMP-PNP (Lee et al., 2003); this conformational plasticity in N-domains is likely the result
of different environments each subunit experienced in the crystal and may not be directly
related to function. By far most of the observed conformational changes, though relatively
subtle, are induced by binding of various nucleotides in the AAA+ domains. Such
nucleotide-driven conformational changes have been observed for both Type I (proteins
with one AAA+ domain) and Type II (proteins with two AAA+ domains) AAA+ proteins in
crystal structures such as LTag (SV40 large tumor antigen) (Gai et al., 2004), FstH
(Bieniossek et al., 2009) and HslU (Wang et al., 2001).
Conformational changes in AAA+ proteins have been probed by methods other than
crystallography, which do not depend on obtaining 3-D crystals albeit at relatively lower
resolutions. Such methods include cryo EM and SAXS. Cryo EM has revealed flexibility in
the N-domains of E. coli AAA+ protein ClpA (Ishikawa et al., 2004) and SAXS experiments
have shown large conformational changes in NtrC1 (Chen et al., 2010). Although in some
cases conformational changes observed with different methods do not completely agree, it is
widely accepted that AAA+ proteins undergo dynamic movements during their catalytic
cycle. One general observation relating to structural movements among AAA+ proteins is
the change in size of the axial pore where substrates enter. The “open-and-close” of the axial
pore in AAA+ proteins is thought to provide the mechanical force needed to pull the
substrates through the pore (Kravats et al., 2011; Zolkiewski, 2006).
5.2 Structural studies of wild type p97

Crystal structures of wild type p97 have been solved for both the full-length protein and a
truncated N-D1 fragment (absent of the D2-domain) (DeLaBarre and Brunger, 2003; Huyton
et al., 2003; Zhang et al., 2000). Although both D1- and D2-domains are capable of
hydrolyzing ATP (Song et al., 2003), in all the wild type p97 crystal structures determined to
date, ADP was invariably found in the D1-domains, while either ADP or ADP-AlFx
(transitional analog) was observed in the D2-domain (DeLaBarre and Brunger, 2003; Huyton
et al., 2003). These structures share an identical N-domain conformation with the N-domains
attached to the periphery of the D1 ring, and in plane with it (Fig. 1B). Unsuccessful
attempts have been made to crystallize wild type p97 with other forms of nucleotides
trapped in the D1-domain (DeLaBarre and Brunger, 2003).
On a different front, studies using EM and SAXS to gain structural insights into the
conformational changes of p97 have revealed rather dramatic changes in the positions of N-
domains (Davies et al., 2005; Rouiller et al., 2002). In contrast to X-ray crystallography, these
approaches are limited to providing molecular shapes without a clear delineation of bound
nucleotides. Nevertheless, large conformational changes in the N-domains of p97 can be
detected by modeling individual domains from crystal structures into these molecular
envelopes to re-construct structures of p97 under various conditions, although lacking
absolute certainty. In the presence of different nucleotides (ATP or ADP) and their non-
hydrolysable or transitional analogs (ADP-AlFx, AMP-PNP or ATPS), the N-domains of
p97 were shown to undergo some of the most dramatic movements during the ATP cycle.
Although some changes observed by different methods or in different laboratories were not
always compatible with each other, it is generally agreed that N-domains of p97 are
conformationally flexible. EM studies of p97 complexed with the adaptor protein p47 also
showed the N-domains undergoing a large conformational change in the presence of
different nucleotides (Beuron et al., 2006). However, conflicting results were reported in
these low-resolution studies on the direction of the N-domain movement in response to
binding of different nucleotides. An intrinsic difficulty with these studies is the uncertainty
concerning the nucleotide states at the AAA+ ATPase domains due to the resolution limits of
these methods. Compounding these problems, it has been known that at least half of the
nucleotide-binding sites in the D1-domains of p97 are pre-occupied by ADP molecules,
which are very difficult to remove (Briggs et al., 2008; Davies et al., 2005). Clearly, high-
resolution structures of p97 in different nucleotide states are needed to unambiguously
define the relationship of N-domain conformation with nucleotide-binding states.
5.3 Crystallographic studies of IBMPFD mutant p97

Recently, a new conformation of N-domains was observed by X-ray crystallography at 2 Å
resolution with ATPS (a non-hydrolysable ATP analog) bound at the D1-domains of two
IBMPFD-associated p97 N-D1 mutants, R155H and R95G; both are N-domain mutations (Tang
et al., 2010). With ATPS bound at the D1-domain, the N-domain undergoes a rotational and
translational movement to adopt a new position, which is in sharp contrast to the “in-plane”
position with the D1-ring or Down-conformation, as observed previously in the ADP-bound
form. In this new conformation, the N-domains uniformly occupy a position above the plane
of the D1-ring or in the Up-conformation (Fig. 2), despite the fact that no detectable changes
are seen in the N-domain itself due to either the R155H or R95G mutation (Data not shown)
(Tang et al., 2010). Accompanying the transition of N-domain from the Down- to Up-
conformation are two prominent structural rearrangements. One is the transition in secondary
structure of the linker between N- and D1-domain (N-D1 linker), going from the random coil
in the Down-conformation to the three-turn -helix in the Up-conformation reminiscent of a
contracted spring pulling the N-domains out of the planar conformation upon the binding of
ATPS (Fig. 3A). This novel conformation of p97 demonstrated for the first time the dynamic
movement of the N-domain at near atomic resolution, although observed in p97 mutants. A
second change is the re-ordering of the N-terminal fragment that encompasses residues 12 to
20, which was disordered in the ADP-bound structures (Fig. 3B). This re-ordering of the N-
terminal peptide apparently protects the Lys18 from limited proteolysis by trypsin seen in the
ADP form of p97 (Fernandez-Saiz and Buchberger, 2010).
Fig. 2. Changes in N-domain conformation in response to binding of different

nucleotides to the D1 domain Ribbon diagrams showing the two N-domain conformations
of p97 N-D1 obtained from crystal structures. The N-domains, D1-domains and the IBMPFD
mutations are colored in magenta and blue ribbons and in yellow balls, respectively.
Fig. 3. Observed structural re-arrangements in the N-D1 linker and N-terminal peptide in
response to binding of different nucleotides in the D1-domain (A) The secondary
structure of the N-D1 linker undergoes a transition from a random coil to a three-turn helix
as the N-domains move from the Down- to Up-conformation. A close-up view shows the
two conformations of the N-D1 linker (in green) in the ADP-bound form (Down-
conformation) and in the ATPS-bound form (Up-conformation) of p97 N-D1. The
nucleotides are represented by sticks with carbon atoms in yellow, oxygen in red, nitrogen
in blue, phosphorous in orange, and sulfur in gold. (B) The reordering of N-terminal peptide
Leu12 to Lys20 in the ATPS-bound form (Up-conformation) is represented by stick model.
The rest of the N-domain and D1-domain are shown as magenta and blue surfaces,
respectively.
The above observation appears to favor the hypothesis that the Up and Down movement of
N-domains is nucleotide dependent because the binding of ADP at the D1-domain of p97
results in a Down-conformation while binding of ATPS leads to an Up-conformation.
However, this nucleotide-driven movement may be arguable, as these two conformations
were observed in two different systems – the wild type in ADP form and the IBMPFD
mutants in ATPS form. A subsequent structure determination using the same IBMPFD
mutant and ADP showed that N-domains adopt the Down-conformation, just as the wild-
type p97 in the presence of ADP (Tang et al., 2010), thus unequivocally confirming the
dependency of N-domain conformation on the nucleotide binding states at the D1-domain.
5.4 Small angle X-ray scattering (SAXS) studies of wild type and IBMPFD mutant p97
in solution
Why crystallographic studies on wild type p97 can only reveal the Down-conformation,
whereas IBMPFD p97 mutants can be crystallized in both Up- and Down-conformations was
a paradox. One possible interpretation was that wild type and mutant p97 differ in
nucleotide binding properties. Alternatively, this could be a crystallization effect. To
investigate this, we performed SAXS experiments to identify conformational changes in
IBMPFD mutants in solution. The results clearly demonstrated that in solution IBMPFD
mutants undergo a nucleotide-dependent N-domain conformational change that is
consistent with the Up- and Down-conformations observed in the crystals (Fig. 4). By
serendipity, another major finding from this experiment was that wild type p97 also
undergoes a similar nucleotide-driven conformational change as observed in IBMPFD

mutants (Fig. 4) (Tang et al., 2010). Therefore, the lack of success in crystallizing the Up-
conformation of wild type p97 suggests the presence of an intrinsic conformational
heterogeneity or asymmetry in the N-domains of the homo-hexamer.
Fig. 4. Nucleotide-driven conformational changes in solution observed by SAXS Distance

distribution functions, p(r), of p97 N-D1 normalized to a common total probability for wild
type and mutant N-D1 fragments in the presence of ADP (solid line) ADP and ATPS
(dashed line). The calculated distribution (Glatter, 1980) is shown of the left based on the
crystal structure in the absence of bound solvent molecules.
5.5 ADP and ATPS binding at the D1-doamin

Although the binding of ATPS to the D1-domain triggers a dramatic movement of the N-
domain, the immediate vicinity of the D1 nucleotide-binding site shows only limited
perturbations (Tang et al., 2010). When C atoms of the wild type and mutant N-D1 are
superimposed, the adenosine moieties of the bound nucleotides align very well and the
immediate environment around the adenosine moiety shows little change. By contrast, the
phosphate groups in the alignment between ADP and ATPS forms differ, even though the
same set of residues are involved in contacting the - and -phosphate in both the wild type
and mutant structures. The -phosphate in the ATPS structure is stabilized by the ionic
interaction with a magnesium ion (Mg2+, see below), by hydrogen bonds with Gln348 and
Lys251, by Arg359, an Arg finger residue from a neighboring subunit, and by two water
molecules associated with the Mg2+ ion (Fig. 5). Perhaps due to better diffraction resolution,
in the mutant structures of p97, a Mg2+ ion is present in the nucleotide-binding site of every
subunit. The Mg2+ ion is at the center of an octahedral mer-triaquo complex with the
additional three oxo ligands coming from the side chain of the highly conserved Thr252 and
from the - and -phosphates. The acidic residues of the DEXX sequence (Asp304 and Glu305)
in the Walker B motif make hydrogen bonds with two of the water molecules in the Mg2+
coordination sphere and, additionally, Asp304 stabilizes Thr252. As expected, most of the
changes in the nucleotide-binding environment are a consequence of the introduction of the
-phosphate.
Fig. 5. ATPS binding vicinity of the D1-domain The nucleotide-binding pocket is located
at the subunit interface. The two subunits are in different colors, green and gray. The ATPS
molecule is shown as a stick model with carbon atoms in purple, oxygen in red, nitrogen in
blue, phosphorous in magenta, and sulfur in yellow. The ATPS molecule is enclosed in a
difference electron density cage contoured at the 2.5 σ level. The Mg2+ ion is shown as a
green ball with three coordinating water molecules in red.
6. Wild type vs. IBMPFD mutant p97: Biophysical and biochemical

characteristics
Structurally observed differences in the N-domain conformation of p97 strongly suggest a
change in nucleotide binding affinities between wild type and IBMPFD mutants, even
though the binding environment for nucleotide seems unperturbed in mutant p97. The fact
that mutant p97 can be crystallized in the presence of ATPS suggests a few competing
hypotheses: one of which is the possibility of IBMPFD mutants acquiring a higher affinity
for ATPS, leading to an alteration in ATPase activity. Alternatively, IBMPFD mutations
could lead to a reduced ADP binding affinity. From structural studies, we can readily infer
that the D1 nucleotide-binding site is seriously affected by IBMPFD mutations. However,
how mutations at the N-D1 interface influence the D1 or D2 ATPase sites is not clear.
Measuring the binding affinities of various nucleotides toward either D1 or D2 ATPase sites
and the ATPase activities of the protein will provide biochemical indications as to how
IBMPFD mutations might affect the biochemical properties of p97.
6.1 Nucleotide-binding affinity and ATPase activity

As mentioned earlier, p97 has two ATPase domains, D1 and D2; both are capable of
hydrolyzing ATP. ATPase activity requires the presence of Mg2+ and is stimulated by high
temperature (Song et al., 2003). While the D2-domain mediates most ATPase activity, the D1-
domain contributes to heat-induced activity (Song et al., 2003). By using isothermal
calorimetry (ITC) and Walker A mutants of either the D1- or D2-domains, it was shown that
the binding of both domains to ATPS is similar with dissociation constants in the range of 1
M, but binding of ADP to the D1-domain is nearly 30-fold higher than that of the D2-domain,
which is consistent with the higher ATPase activity of the D2-domain (Briggs et al., 2008).
Because the onset of IBMPFD is relatively late in life, the mutations in p97 are not expected
to have dramatic defects in function. Indeed, IBMPFD equivalent mutations introduced into
cdc48, a yeast homolog of p97, did not appear to interfere with normal cell growth (Esaki
and Ogura, 2010). Although IBMPFD mutation sites are not in the immediate vicinity of the
ATP-binding sites, as shown by crystal structures of p97, especially in the ATPS bound
form, reports on how mutations affect ATPase activity of p97 vary. Two reports showed that
mutants exhibit higher ATPase activity than the wild type to various degrees (Manno et al.,
2010; Weihl et al., 2006). One paper, by contrast, reported no significant alterations in
ATPase activity of four IBMPFD mutants (Fernandez-Saiz and Buchberger, 2010). Mutant
p97 also displayed an even higher level of heat-stimulated ATPase activity (Halawani et al.,
2009).
ITC measurements in N-D1 fragments of p97 showed that instead of predicted higher
affinity for ATPS in the D1-domain, all mutants showed lowered affinity, up to five-fold
weaker, towards ADP when compared to the wild type (Table 2) (Tang et al., 2010). More
interestingly, all mutants displayed biphasic titration profiles toward ATPS, suggesting two
distinct binding sites, one high and one low affinity site.
ATPS ADP
N-D1 p97
Kd (M) N Kd (M) N
Wild type 0.89 ± 0.28 0.12 ± 0.01 0.88 ± 0.18 0.35 ± 0.06
R95G 0.13 ± 0.02 0.56 ± 0.01 2.27 ± 0.11 0.62 ± 0.08
R155H 0.13 ± 0.01 0.61 ± 0.01 4.25 ± 0.54 0.72 ± 0.18
ITC with ATPS for IBMPFD mutants showed biphasic titration curves and data were fitted with a 2-
site model. The Kd values for mutants are derived from fitting to the first phase.
Table 2. Dissociation constants (Kd) and binding stoichiometry (N) of wild type and mutant
p97 N-D1 fragments for ATPS and ADP determined by ITC.
6.2 Pre-bound ADP in D1 nucleotide-binding sites

A unique characteristic of p97 was demonstrated by a urea denaturation experiment; the D1
sites are occupied by a significant portion of pre-bound ADP, which is difficult to release
without denaturing the protein (Davies et al., 2005). ITC experiments with wild type p97
confirmed that a fraction of D1 sites are not accessible to nucleotide titration (Briggs et al.,
2008). Consistent with the lowered Kd values for ADP binding in IBMPFD mutants, D1 sites
were shown to be significantly more accessible to ADP titration by ITC and displayed a
biphasic titration curve for ATPS, reflecting the first phase binding of the empty sites and
the second phase of the pre-bound sites (Table 2) (Tang et al., 2010). Extraction by heat
denaturation experiments of pre-bound ADP from the D1 sites of p97 supported the
observation by ITC that the number of titratable sites is inversely related to the amount of
pre-bound ADP present at the D1-domain (Tang et al., unpublished data). These findings
suggest that while in wild type p97 a significant number of sites with pre-bound ADP in D1-
domains of p97 are not exchangeable by a different form of nucleotides present in solution,
IBMPFD mutations have altered the environment and lowered binding affinity for ADP to
allow exchange, even though the change in the ADP binding site is too subtle to be detected
by crystal structures.
A consequence of lowered binding affinity for ADP in the D1-domain of IBMPFD mutants is
the uniformly increased accessibility of D1 sites to various nucleotides present in solution
such as ATPS. Indeed, successful crystallization of mutant p97 in the presence of ATPS is a
result of this effect. On the contrary, the pre-bound ADP molecules in the D1-domains of
some subunits of wild type p97 do not substitute for ATPS, in spite of having a higher
affinity towards ATPS than ADP (Tang et al., 2010). Consequently, in the presence of excess
ATPS in solution, there will be an admixture of ADP- and ATPS-bound D1 sites within a
hexamer. Thus, the failure to crystallize wild type p97 in the presence of ATPS is a
manifestation of non-uniformity in binding to nucleotides by different subunits in the D1-
domains of hexameric p97.
6.3 Changes in interaction with adaptor proteins

By interacting with various adaptor proteins, p97 is able to play a role in a number of
important cellular pathways. Therefore, alterations in adaptor protein binding by IBMPFD
mutants have been investigated in both in vivo and in vitro experiments. Again, results from
different groups are not completely consistent (Fernandez-Saiz and Buchberger, 2010;
Manno et al., 2010). Isolated mutant p97 exhibited the same binding as wild type p97
towards adaptor proteins p47, Ufd1-Npl4, E4B and the human UFD-2 homolog. However,
mutants showed impaired binding to ubiquitin ligase E4B in the presence of Ufd1-Npl4. In
vivo pull-down experiments using HEK293 cells showed reduced binding towards the E4B
and enhanced binding towards ataxin 3, thus resembling the accumulation of mutant ataxin
3 on p97 in spinocerebellar ataxia type 3 (Fernandez-Saiz and Buchberger, 2010). However,
similar in vivo studies were done showing enhanced binding of the Ufd1-Npl4 pair by
IBMPFD mutants but not for p47 (Manno et al., 2010).
7. Implications concerning p97 function and disease

One major contribution of p97 to cellular processes is its apparent participation in protein
quality control and homeostasis, involving the ubiquitin-proteasome degradation pathway,
ER associated degradation, and formation of autophagosomes. The multifaceted clinical
presentation of patients with IBMPFD is consistent with the broad spectrum of p97
functions. Indeed, pathology and the cellular hallmarks such as the accumulation of
inclusion bodies and rimmed vacuoles of IBMPFD can be reproduced both in cell culture
and in animal models (Custer et al., 2010; Ju and Weihl, 2010; Weihl et al., 2006; Weihl et al.,
2007). However, the structural and molecular basis of how p97 is involved in these different
pathways and the mechanism of how p97 mutations lead to dysfunction remain elusive.
7.1 IBMPFD mutations produce subtle structural and functional alteration in p97
Using structural, biophysical and biochemical approaches and through detailed
comparative study of wild type and IBMPFD mutant p97, details of the molecular
mechanisms of p97 at the most fundamental level are beginning to emerge. As a late onset
disease, the IBMPFD mutations in p97 are not expected to dramatically disrupt cellular
functions. Indeed, as shown from the cell biological, structural and biochemical data, all
IBMPFD mutants (1) appear to have a normal phenotype at least in the early stage of life in
cultured cells, in yeast, and in fruit flies, (2) do not have observable structural alterations in
their constituent domains, as compared to the wild type, (3) can form proper hexameric ring
structures, (4) have nucleotide-binding pockets indistinguishable from those of the wild
type, and (5) are able to undergo nucleotide-driven conformational change in solution.
In spite of these similarities, subtle yet significant differences have also been detected in
IBMPFD mutants, including (1) overall up-regulated ATPase activities, (2) ability to undergo
uniform nucleotide-dependent N-domain conformational change that leads to its
crystallization in the presence of ATPS, (3) lowered binding affinity toward ADP in the D1-
domain, (4) less non-exchangeable pre-bound ADP in the D1-domain, and (5) subtle
differences in binding of adaptor proteins.
7.2 Asymmetry in p97 function

Enigmatic observations concerning the failure of wild type p97 to crystallize in the presence
of ATPS, yet being able to undergo nucleotide-dependent N-domain conformational
change in solution suggest the functional importance of the non-uniform binding of
nucleotides by p97 to the D1-domains and of the asymmetry in N-domain conformations
among its six subunits. This asymmetry is a built-in property of wild type p97, as
demonstrated by ITC and heat or urea denaturation experiments with characteristically pre-
bound ADP at the D1-domain. Although a p97 hexamer is formed by six identical
monomers, a fraction of the D1 sites is always pre-occupied by ADP, which is very difficult
to release or exchange with other nucleotides. As a result, ATP in solution is only able to
access the empty D1 sites, which drive the N-domain to the Up-conformation, whereas the
N-domains remain in the Down-conformation for those subunits with pre-bound ADP.
Although it is not yet clear how p97 maintains this asymmetry during its catalytic cycle,
some level of communication must exist among subunits.
A model for the ATP cycle in the D1-domain and the corresponding N-domain
conformation has been proposed by integrating the structural and biochemical data of wild
type and mutant p97 (Fig. 6). The model proposes four nucleotide-binding states for the D1-
domain. (1) There is the “ATP” state with ATP bound and the N-domain in the Up-
conformation. Crystallographic and X-ray scattering experiments support the existence of
this state in subunits of both mutant and wild type p97. It should be noted that due to non-
exchangeable, pre-bound ADP in a wild type p97 hexamer, not all subunits can bring their
N-domains to the Up-conformation, even with an excess of ATP in solution. (2) There is an
“ADP-locked” state with non-exchangeable, pre-bound ADP at the D1 site and the N-
domain in the Down-conformation. This state appears to be important for wild type p97
function and the pre-bound ADP is particularly difficult to release. The structure of the N-
D1 fragment of wild type p97 may represent this conformation. (3) The “ADP-open” state is
defined by the binding of exchangeable ADP. This state was observed for mutant p97 by its
biphasic ITC titration profile and is presumably in equilibration with the ADP-locked state.
The structure of R155H with bound ADP may represent this conformation. (4) Finally, there
is the “Empty” state with nucleotide-binding sites unoccupied and the N-domain in an
unknown position. For wild type p97, the transition between the “ADP-locked” and “ADP-
open” states is thought to be tightly controlled, resulting in rare ADP-open states, leading to
asymmetry in the nucleotide binding and N-domain conformation in a hexameric p97.
Fig. 6. Models for the N-domain movement in p97 during ATP cycle Schematic diagram
for the control of the N-domain conformation in the wild type and IBMPFD associated N-D1
fragment of p97. Different domains are colored and labeled. The IBMPFD mutations are
represented by yellow circles. Four states are defined for each nucleotide-binding site in D1:
Empty, ATP, ADP-locked and ADP-open states, as labeled. The type of nucleotide bound at
the D1-domain is labeled. Each subunit of the hexameric p97 is assumed to operate
independently in this model.
From structural and molecular characterizations, we can infer that the non-uniform
movement of p97 is essential to its function. In order to generate the up-and-down
movement of the N-domain in a non-uniform fashion, the “ADP-locked” sites needed to be
activated to the “ADP-open” state. It is thought that in wild type p97 control of the
transition between the ADP-locked and ADP-open state in D1 could be achieved in two
ways: (1) the binding of adaptor proteins to the N-domain, or (2) the hydrolysis of ATP in
the D2-domain. The N-domain was shown to have an influence on the ATPase activity of
both N-D1 and the full-length p97 ortholog, VAT, as the N-domain-deleted p97 mutants
have higher ATPase activity (Gerega et al., 2005). The binding of adaptor protein p47 to the
N-domain was shown to inhibit the ATPase activity of p97 (Meyer et al., 1998).
Communication between D1 and D2 is also known to exist for p97 and other type II AAA+
proteins. For example, it was shown that the absence of D2-domain inhibits the nucleotide
exchange activity in D1 (Davies et al., 2005). The yeast Hsp104, another type II AAA+
protein, displays cooperative kinetics and inter-domain communication for its two ATPase
domains (Hattendorf and Lindquist, 2002). However, the exact details of these possible
control mechanisms for the switching of D1 nucleotide states remain elusive. Like many
AAA+ proteins involved in protein quality control such as E. coli ClpA and yeast Hsp104,
p97 functions in handling protein substrates to various pathways, which requires the
presence of the N-domain. Although how p97 handles these substrates has yet to be defined,
one advantage of asymmetric interaction over symmetric seems that the former ensures
continuous contacts with the substrates.
7.3 Loss of asymmetry in IBMPFD mutant p97

Mapping the IBMPFD mutations to the Down-conformation of p97 reveals the clustering of
these mutations at the interface between the N- and D1-domains. Site-directed mutagenesis
of R86A, a residue present at the N-D1 interface but not identified as an IBMPFD mutation,
showed to possess all the structural and biochemical characteristics of an IBMPFD mutant
p97 (Tang et al., 2010). This suggests that the N-D1 interface residues are critical for the
proper function of p97 by providing tight regulation of the movement of the N-domain and
the nucleotide state of the D1-domain.
Instead of prominent structural changes, IBMPFD mutations introduce subtle modifications
to p97, apparently disrupting communication among the monomers. Unlike the wild type
p97, IBMPFD mutants allow easy displacement of pre-bound ADP at the D1-domain by
ATPS, resulting in a unified nucleotide state, and hence, a symmetric hexamer in the Up-
conformation. Using the same ATP catalytic cycle model for the D1-domain shown above, it
was postulated that the difference between the wild type and mutants lies in the transition
between the “ADP-locked” state and the “ADP-open” state. While this transition is tightly
regulated in wild type p97, this control mechanism is altered in IBMPFD mutants, leading to
a high concentration of subunits in the “ADP-open” state (Fig. 6). Consequently, p97
mutants undergo a uniform N-domain conformational change in response to high
concentrations of ATPS, leading to a defective enzyme.
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10
Congenital Myasthenic Syndromes –

Molecular Bases of Congenital Defects
of Proteins at the Neuromuscular Junction
Kinji Ohno1, Mikako Ito1 and Andrew G. Engel2
1Division of Neurogenetics, Center for Neurological Diseases and Cancer,
Nagoya University Graduate School of Medicine, Nagoya,
2Department of Neurology, Mayo Clinic, Rochester, Minnesota,
1Japan
2USA
1. Introduction
Congenital myasthenic syndromes (CMS) are heterogeneous disorders caused by mutations
in molecules expressed at the neuromuscular junction (NMJ) (Fig. 1). Each mutation affects
the expression level or the functional properties or both of the mutant molecule. No fewer
than 11 defective molecules at the NMJ have been identified to date. The mutant molecules
include (i) acetylcholine receptor (AChR) subunits that forms nicotinic AChR and generate
endplate potentials (Ohno et al., 1995; Sine et al., 1995), (ii) rapsyn that anchors and clusters
AChRs at the endplate (Ohno et al., 2002; Milone et al., 2009), (iii) agrin that is released from
nerve terminal and induces AChR clustering by stimulating the downstream
LRP4/MuSK/Dok-7/rapsyn/AChR pathway (Huze et al., 2009), (iv) muscle-specific
receptor tyrosine kinase (MuSK) that transmits the AChR-clustering signal from agrin/LRP4
to Dok-7/rapsyn/AChR (Chevessier et al., 2004; Chevessier et al., 2008), (v) Dok-7 that
interacts with MuSK and exerts the AChR-clustering activity (Beeson et al., 2006; Hamuro et
al., 2008), (vi) plectin that is an intermediate filament-associate protein concentrated at sites
of mechanical stress (Banwell et al., 1999; Selcen et al., 2011), (vii) glutamine-fructose-6-
phosphate aminotransferase 1 encoded by GFPT1, the function of which at the NMJ has not
been elucidated (Senderek et al., 2011), (viii) skeletal muscle sodium channel type 1.4
(NaV1.4) that spreads depolarization potential from endplate throughout muscle fibers
(Tsujino et al., 2003), (ix) collagen Q that anchors acetylcholinesterase (AChE) to the synaptic
basal lamina (Ohno et al., 1998; Ohno et al., 1999; Kimbell et al., 2004), (x) 2-laminin that
forms a cruciform heterotrimeric lamins-221, -421, and -521 and links extracellular matrix
molecules to the -dystroglycan at the NMJ (Maselli et al., 2009), (xi) choline
acetyltransferase (ChAT) that resynthesizes acetylcholine from recycled choline at the nerve
terminal (Ohno et al., 2001). AChR (Lang & Vincent, 2009), MuSK (Hoch et al., 2001; Cole et
al., 2008), and LRP4 (Higuchi et al., 2011) are also targets of myasthenia gravis, in which
autoantibody against each molecule impairs the neuromuscular transmission.
CMS are classified into three groups of postsynaptic, synaptic, and presynaptic depending
on the localization of the defective molecules. Among the eleven molecules introduced
above, AChR, rapsyn, MuSK, Dok-7, plectin, and NaV1.4 are associated with the
postsynaptic membrane. Agrin, ColQ, and 2-laminin reside in the synaptic basal lamina.
The only presynaptic disease protein identified to date is choline acetyltransferase (ChAT).
A target molecule and its synaptic localization of glutamine-fructose-6-phosphate
aminotransferase 1 (GFPT1) are still unresolved but the phenotypic consequence is the
postsynaptic AChR deficiency. This chapter focuses on molecular bases of these three
groups of CMS.
Fig. 1. Schematic of molecules expressed at the NMJ
2. Physiology of the NMJ

This section introduces molecular basis of development and maintenance of the NMJ, and
physiological features of nicotinic muscle AChR.
2.1 NMJ synaptogenesis

At the NMJ, MuSK is an indirect receptor for agrin (Valenzuela et al., 1995; Dechiara et al.,
1996). Agrin released from the nerve terminal binds to LRP4 on the postsynaptic membrane
(Kim et al., 2008; Zhang et al., 2008). Binding of LRP4 to agrin phosphorylates MuSK.
Phosphorylated MuSK recruits the noncatalytic adaptor protein Dok-7 (Okada et al., 2006).
Once recruited, Dok-7 further facilitates phosphorylation of MuSK, and induces clustering
of rapsyn and AChR by phosphorylating the  subunit of AChR. Rapsyn self-associates and
makes a homomeric cluster at the endplate, which serves as a scaffold for AChR. Rapsyn
and AChR bind each other with a stoichiometry of 1:1. Rapsyn also binds to -dystroglycan
and links the rapsyn scaffold to the subsynaptic cytoskeleton (Froehner et al., 1990; Cartaud
et al., 1998; Ramarao & Cohen, 1998; Ramarao et al., 2001). Except for LRP4, each of the above
molecules is a CMS target.
Congenital Myasthenic Syndromes – Molecular Bases
of Congenital Defects of Proteins at the Neuromuscular Junction 177
2.2 Physiology of the nicotinic muscle AChR

Nicotinic AChRs are pentameric ligand-gated ion channels. The family of pentameric
ligand-gated ion channels includes cationic AChRs, cationic serotonergic receptors (5HT3),
anionic glycine receptors, and anionic GABAA and GABAC receptors (Keramidas et al.,
2004). Heteromeric neuronal nicotinic AChRs are comprised of various combinations of 
(2-7) and  subunits (2-4), whereas homomeric AChRs are formed only by a single 
subunit (e.g., 7-9) (Mihailescu & Drucker-Colin, 2000). On the other hand, nicotinic
muscle AChRs have only two forms: fetal AChR that carries the , , , and  subunits
encoded by CHRNA1, CHRNB1, CHRND, CHRNG, respectively, in the stoichiometry 2;
and adult-type AChR that carries the  subunit instead of the  subunit in the stoichiometry
2 (Mishina et al., 1986). The  subunit is encoded by CHRNE. Nicotinic muscle AChR
harbors two binding sites for ACh at the interfaces between the  and / subunits
(Lee et al., 2009; Mukhtasimova et al., 2009). Binding of a single ACh molecule opens the
channel pore but for a short time. Binding of two ACh molecules stabilizes the open state of
AChR, and AChR stays open for a longer time. Only cations pass through the channel pore
of nicotinic AChRs. Unlike sodium, potassium, or calcium channels, AChRs, in general,
have no selectivity for cations, but 7 AChRs have 10-20 times higher permeability for Ca2+
than for Na+.
3. Postsynaptic CMS
Postsynaptic CMS is classified into four phenotypes: (i) endplate AChR deficiency due to
defects in AChR, rapsyn, agrin, MuSK, Dok-7, plectin, glutamine-fructose-6-phosphate
aminotransferase 1, (ii) slow-channel congenital myasthenic syndrome, (iii) fast-channel
congenital myasthenic syndrome, and (iv) sodium channel myasthenia.
3.1 Endplate AChR deficiency

Endplate AChR deficiency is caused by defects in AChR, rapsyn, agrin, MuSK, Dok-7,
plectin, and GFPT1.
3.1.1 Endplate AChR deficiency due to defects in AChR subunits

Endplate AChRs deficiency can arise from mutations in CHRNA1, CHRNB1, CHRND, and
CHRNE, but not CHRNG.
Two different groups of mutations of the AChR subunit genes cause endplate AChR
deficiency. The first group includes null mutations in CHRNE encoding the  subunit. The
null mutations are caused by frameshifting DNA rearrangements, de novo creation of a stop
codon, and frameshifting splice-site mutations, or mutations involving residues essential for
subunit assembly. Large-scale in-frame DNA rearrangements also abolish expression of the
AChR  subunit (Abicht et al., 2002). Mutations in the promoter region (Ohno et al., 1999)
and most missense mutations (Ohno et al., 1997) do not completely abolish expression of the
 subunit but the molecular consequences are indistinguishable from those of null
mutations. Lack of the  subunit can be compensated for by the presence of the fetal 
subunit that is normally expressed in embryos (Engel et al., 1996). The patients can survive
with -AChR even in the absence of -AChR. If a null mutation resides in the other AChR
subunit genes, the affected individual will have no substituting subunit and cannot survive.
Indeed, two homozygous missense low expressor or null mutations in CHRNA1 and
CHRND caused lethal fetal akinesia (Michalk et al., 2008).
The second group of mutations affecting the AChR subunit genes includes missense
mutations of CHRNA1, CHRNB1, and CHRND. These mutations compromise expression of
the mutant subunit and/or the assembly of AChRs, but do not completely abolish AChRs
expression. The main difference between mutations in CHRNE and those in CHRNA1,
CHRNB1, and CHRND is tolerance to low or no expression of the  subunit whereas similar
mutations in other subunits generally have devastating consequences and cause high
fatality. Some missense mutations in CHRNA1, CHRNB1, CHRND, and CHRNE also affect
the AChR channel kinetics and vice versa. The kinetic effects will predominate if the second
mutation is a low expressor, or if the kinetic mutation has slow-channel features with
dominant gain-of function effects.
In endplate AChR deficiency, the postsynaptic membrane displays a reduced binding for
peroxidase- or 125I-labeled -bungarotoxin and the synaptic response to ACh, reflected by
the amplitude of the miniature endplate potential, endplate potential, and endplate current,
is reduced. In some but not all cases the postsynaptic region is simplified. In most cases, the
muscle fibers display an increased number of small synaptic contacts over an extended
length of the muscle fiber. In some patients quantal release is higher than normal. In patients
with null mutations in CHRNE, single channel recordings of AChRs at patient endplates
reveal prolonged opening bursts that open to an amplitude of 60 pS, indicating expression
of the fetal -AChR in contrast to the adult -AChR that has shorter opening bursts and
opens to an amplitude of 80 pS. In contrast, in most patients with low-expressor mutations
in the CHRNA1, CHRNB1, or CHRND, single channel recordings demonstrate no or minor
kinetic abnormalities.
As in autoimmune myasthenia gravis, endplate AChR deficiency is generally well
controlled by regular doses of anticholinesterases. Anticholinesterase medications inhibit
the catalytic activity of AChE; this prolongs the dwell time of ACh in the synaptic space and
allows each ACh molecule to bind repeatedly to AChR.
3.1.2 Endplate AChR deficiency due to defects in rapsyn

Congenital defects of rapsyn also cause endplate AChR deficiency. Rapsyn makes a
homomeric cluster and binds to AChR as well as to-dystroglycan, and forms AChR
clusters at the endplate (Froehner et al., 1990; Cartaud et al., 1998; Ramarao & Cohen, 1998;
Ramarao et al., 2001). The structural domains of rapsyn include an N-terminal
myristoylation signal required for membrane association (Ramarao & Cohen, 1998), seven
tetratrico peptide repeats at codons 6 to 279 that subserve rapsyn self-association (Ramarao
& Cohen, 1998; Ramarao et al., 2001), a coiled-coil domain at codons 298 to 331 that binds to
the long cytoplasmic loop of each AChR subunit (Bartoli et al., 2001), a Cys-rich RING-H2
domain at codons 363-402 that binds to the cytoplasmic domain of -dystroglycan (Bartoli et
al., 2001) and mediates the MuSK induced phosphorylation of AChR (Lee et al., 2008), and a
serine phosphorylation site at codon 406. Transcription of rapsyn in muscle is under the
control of helix-loop-helix myogenic determination factors that bind to the cis-acting E-box
sequence in the RAPSN promoter (Ohno et al., 2003).
Loss-of-function mutations in RAPSN have been reported in the coding region (Ohno et al.,
2002; Burke et al., 2003; Dunne & Maselli, 2003; Maselli et al., 2003; Muller et al., 2003;
Banwell et al., 2004; Yasaki et al., 2004; Cossins et al., 2006; Muller et al., 2006) as we as in the
promoter region (Ohno et al., 2003). N88K in RAPSN is one of the most frequently observed
mutations in CMS (Muller et al., 2003; Richard et al., 2003). We reported lack of a founder
haplotype for N88K (Ohno & Engel, 2004), but analysis of markers closer to RAPSN later
revealed possible presence of a shared haplotype (Muller et al., 2004) suggesting that N88K
is an ancient founder mutation but subsequent multiple recombination events and
divergence of microsatellite markers have narrowed the shared haplotype region.
Functional analysis L14P, N88K, and 553ins5 disclosed that these mutations have no effect
on self-association of rapsyn but impair colocalization of rapsyn with AChR (Ohno et al.,
2002). Analysis of A25V, N88K, R91L, L361R, and K373del later revealed diverse molecular
defects affecting colocalization of rapsyn with AChR, formation of agrin-induced AChR
clusters, self-association of rapsyn, and expression of rapsyn (Cossins et al., 2006). Although
there are no genotype-phenotype correlations in mutations at the coding region,
arthrogryposis at birth and other congenital malformations occurs in nearly a third of the
patients. In addition, the -38A>G mutation affecting an E-box in the promoter region
observed in Near-Eastern Jewish patients exhibits unique facial malformations associated
with prognathism and malocclusion (Ohno et al., 2003).
Most patients respond well to anticholinesterase medications. Some patients further
improve with addition of 3,4-diaminopyridine, ephedrine, and albuterol (Banwell et al.,
2004). The drug 3,4-diaminopyridine blocks the presynaptic potassium channel, which
slows the repolarization of the presynaptic membrane (Wirtz et al., 2010) enhancing the
influx of Ca2+ through the presynaptic voltage-gated P/Q-type and N-type channels. This,
in turn, facilitates the exocytosis of synaptic vesicles and the quantal content of the endplate
potential.
3.1.3 Endplate AChR deficiency due to a defect in agrin

Neural agrin released from the nerve terminal is a key mediator of synaptogenesis at the
NMJ. A reported homozygous G1709R agrin mutation, however, did not cause AChR
deficiency but mutations in agrin are potential causes of AChR deficiency by interfering
with the activation of MuSK and by impeding synaptic maturation.
The patient harboring the G1709R mutation was a 42-year-old woman with right lid ptosis
since birth, no oculoparesis, and mild weakness of facial, hip-girdle and anterior tibial
muscles, and refractoriness to pyridostigmine or 3,4-diaminopyridine (Huze et al., 2009). The
mutation is in the laminin G-like 2 domain, upstream of the neuron-specific y and z exons
that are required for MuSK activation and AChR clustering. AChR and agrin expression at
the endplate were normal. Structural studies showed endplates with misshaped synaptic
gutters partially filled by nerve endings and formation of new endplate regions. The
postsynaptic regions were preserved. Expression studies in myotubes using a mini-agrin
construct revealed the mutation did not affect MuSK activation or agrin binding to -
dystroglycan. Forced expression of the mutant mini-agrin gene in mouse soleus muscle
induced changes similar to those at patient endplates. Thus, the observed mutation perturbs
the maintenance of the endplate without altering the canonical function of agrin to induce
development of the postsynaptic compartment.
3.1.4 Endplate AChR deficiency due to defects in MuSK

MuSK and LRP4 form a heteromeric receptor for agrin. Five MUSK mutations have been
reported in three papers. The first report describes heteroallelic frameshift (220insC) and
missense (V790M) mutations in a patient with respiratory distress in early life, mild ptosis,
decreased upward gaze, and fatigable weakness of the cervical and proximal more than
distal muscles. The symptoms were worsened by pregnancy. Treatment with
pyridostigmine and 3,4-diaminopyridine was ineffective (Chevessier et al., 2004). The
frameshift mutation prevents MuSK expression and the missense mutation decreases MuSK
expression and impairs its interaction with Dok-7. Forced expression of the mutant protein
in mouse muscle decreased AChR expression at the endplate and caused aberrant axonal
outgrowth (Chevessier et al., 2004). Interestingly, mice homozygous for MuSK V789M
(which corresponds to the human MuSK V790M) are normal but mice hemizygous for
V789M are severely affected suggesting that MuSK V790M in humans is a haploinsufficient
only when accompanied by a null mutation (Chevessier et al., 2008).
A second report describes heteroallelic M605I and A727V mutations in MuSK in a patient
with severe myasthenic symptoms since early life that improved after puberty but
worsened after menstrual periods. The MEPP and MEPC amplitudes in anconeus muscle
were reduced to about 30% of normal and the EPP quantal content was half-normal.
Synaptic contacts were small and electron microscopy showed simplified postsynaptic
regions with too few secondary synaptic clefts. The patient failed to respond to
pyridostigmine, ephedrine or 3,4-diaminopyuridine but responded partially to albuterol
(Maselli et al., 2010).
A third report describes a homozygous P31L mutation in the extracellular domain of MuSK
in 5 patients in a consanguineous Sudanese kinship. The findings included ptosis from an
early age, partial ophthalmoparesis, and weakness of torso and limb girdle muscles.
Pyridostigmine therapy gave only slight benefit (Mihaylova et al., 2009).
3.1.5 Endplate AChR deficiency due to defects in Dok-7

Phosphorylated MuSK recruits a noncatalytic adaptor protein, Dok-7. Recruited Dok-7
further facilitates phosphorylation of MuSK (Okada et al., 2006). Dok-7 is highly expressed at
the postsynaptic region of skeletal muscle and in heart. It harbors an N terminal pleckstrin
homology domain (PH) important for membrane association, a phosphotyrosine-binding
(PTB) domain, and C-terminal sites for phosphorylation. The PH and PTB domains are
required for association with and phosphorylation of MuSK. Phosphorylation of two C
terminal residues is a requisite for Dok-7 activation by Crk and Crk-L (Hallock et al., 2010).
Numerous mutations have been identified in DOK7 (Beeson et al., 2006; Muller et al., 2007;
Anderson et al., 2008; Selcen et al., 2008; Vogt et al., 2009; Ben Ammar et al., 2010). Nearly all
patients carry a common 1124_1127dupTGCC mutation in exon 7. This and other mutations
upstream of the C-terminal phosphorylation sites abrogate the ability of Dok-7 to associate
with Crk1/Crk1L and hence its activation (Hallock et al., 2010; Wu et al., 2010). Mutations
disrupting or eliminating the PH and PTB domains of Dok-7 prevent dimerization and
association of Dok-7 with MuSK (Bergamin et al., 2010).
3.1.6 Endplate AChR deficiency due to defects in plectin

Plectin, encoded by PLEC, is a highly conserved and ubiquitously expressed intermediate
filament-linking protein concentrated at sites of mechanical stress, such as the postsynaptic
membrane of the endplate, the sarcolemma, Z-disks in skeletal muscle, hemidesmosomes in
skin, and intercalated disks in cardiac muscle. Pathogenic mutations in PLEC result in
epidermolysis bullosa simplex, a progressive myopathy (Smith et al., 1996), and, in some
patients, myasthenic syndrome (Banwell et al., 1999; Selcen et al., 2011). We reported two
cases of CMS associated with plectin deficiency (Banwell et al., 1999; Selcen et al., 2011). The
dystrophic changes in muscle are attributed to dislocation of the fiber organelles no longer
anchored by the cytoskeletal intermediate filaments and to sarcolemmal defects allowing
Ca2+ ingress into the muscle fibers. The myasthenic syndrome is attributed to destruction of
the junctional folds lacking adequate cytoskeletal support.
3.1.7 Endplate AChR deficiency due to defects in glutamine-fructose-6-phosphate

aminotransferase 1 (GFPT1)
Glutamine-fructose-6-phosphate transaminase 1, encoded by GFPT1, catalyzes transfer of an
amino group from glutamine onto fructose-6-phosphate, yielding glucosamine-6-phosphate
and glutamate. GFPT1 is a rate-limiting enzyme that controls the flux of glucose into the
hexosamine biosynthesis pathway. GFPT1 thus initiates formation of UDP-N-
acetylglucosamine (UDP-GlcNAc), which is a source of multiple glycosylation processes
including addition of N-acetylglucosamine to serine or threonine residues (O-linked
GlcNAc) (Wells et al., 2001). The disease gene was discovered by linkage analysis and
homozygosity mapping of 13 kinships with a limb-girdle CMS often associated with tubular
aggregates in skeletal muscle (Senderek et al., 2011). Immunoblots of muscle of affected
patients revealed decreased expression of O-linked GlcNAc, but the responsible molecule(s)
causing CMS remain elusive.
3.2 Slow-channel congenital myasthenic syndrome (SCCMS)

The second class of postsynaptic CMS due to mutations in the AChR subunit genes is
SCCMS. SCCMS is an autosomal dominant disorder, in which a gain-of-function mutation
on a single allele compromises the neuromuscular signal transduction (Ohno et al., 1995).
The mutation causes prolonged AChR channel openings and increases the synaptic
response to ACh (Fig. 2). There is a single reported case of autosomal recessive SCCMS, in
which an L78P mutation minimally prolongs channel opening events but the mutant
channel arising from a single allele is not sufficient to cause disease (Croxen et al., 2002). In
general, dominantly inherited disorders, including SCCMS, tend to present after
adolescence and have a relatively mild course. Some patients with SCCMS, however,
present early in life and become severely disabled even in the first decade.
In SCCMS, neuromuscular transmission is compromised by three distinct mechanisms.
First, staircase summation of endplate potentials causes depolarization block of the
postsynaptic membrane by rendering the voltage-gated skeletal muscle sodium channel go
into an inactivated state and thereby inhibit action potential generation (Maselli & Soliven,
1991). Second, some mutant AChRs are prone to become desensitized (Milone et al., 1997),
which reduces the number of AChRs that respond to the released ACh quanta. Third,
prolonged opening of AChR causes excessive influx of extracellular calcium, which results
in focal degeneration of the junctional folds as well as apoptosis of some of the junctional
nuclei (Groshong et al., 2007). In normal adult human -AChR, 7% of the synaptic current is
carried by Ca2+, which is higher than that carried by the human fetal -AChR or by muscle
AChRs of other species (Fucile et al., 2006). This predisposes endplate to Ca2+ overloading
when the channel opening events are prolonged. In addition, at least two SCCMS mutations,
T264P (Ohno et al., 1995) and V259F (Fidzianska et al., 2005), increase the Ca2+
permeability 1.5- and 2-fold, respectively (Di Castro et al., 2007).
Fig. 2. Slow channel CMS. (A) Schematic diagram of AChR subunits with SCCMS
mutations. (B) Single channel currents from wild-type and slow channel (V249F) AChRs
expressed on HEK293 cells. (C) Miniature endplate current (MEPC) recorded from
endplates of a control and a patient harboring V249F. The patient’s MEPC decays
biexponentially (arrows) due to expression of both wild-type and mutant AChRs.
Slow channel mutations can be divided into two groups. The first group includes mutations
at the extracellular domain like G153S (Sine et al., 1995), as well as at the N-terminal part of
the first transmembrane domain like N217K (Wang et al., 1997) and L221F (Hatton et al.,
2003). These mutations increase the affinity for ACh binding, probably by retarding the
dissociation of ACh from the binding site, which gives rise to repeated channel openings
after a single event of ACh binding. The second group includes mutations at the second
transmembrane domain (M2) that lines the ion channel pore. These mutations mostly
introduce a bulky amino acid into the channel lining face, but T264P (Ohno et al., 1995)
introduces a kink into the channel pore, whereas V266A (Shen et al., 2003) and εV265A
(Ohno et al., 1998) introduce a smaller amino acid into the pore. Mutations in M2 retard the
channel closing rate  and variably enhance the channel opening rate . Some mutations in
M2 also increase affinity for ACh, which include V249F (Milone et al., 1997), L269F (Engel
et al., 1996), and T264P (Ohno et al., 1995).
SCCMS can be treated with conventional doses of long-lived open channel blockers of
AChR, such as the antiarrhythmic agent quinidine (Fukudome et al., 1998; Harper & Engel,
1998) and the antidepressant fluoxetine (Harper et al., 2003). Quinidine reduces the
prolonged burst duration of SCCMS to the normal level at 5 µM (Fukudome et al., 1998). As
the concentration of quinidine in the treatment of cardiac arrhythmia is 6-15 µM, 5 µM is
readily attainable in clinical practice and indeed demonstrates significant effects (Harper &
Engel, 1998). Similarly, fluoxetine reduces the prolonged burst duration to the normal level
at 10 µM, which is clinically attainable without adverse effects at 80 to 120 mg/day of
fluoxetine (Harper et al., 2003).
3.3 Fast-channel congenital myasthenic syndrome (FCCMS)

The third class of postsynaptic CMS due to mutations in AChR subunit genes is FCCMS.
FCCMS is kinetically opposite to SCCMS (Fig. 3). In FCCMS, the closed state of AChR is
stabilized compared to the open state which results in abnormally brief channel opening
events which, in turn, reduces the amplitude of the endplate potential and impair the safety
margin of neuromuscular transmission. The resulting pathophysiology is thus similar to
endplate AChR deficiency, but abnormally small endplate potential is a qualitative instead
of a quantitative defect in AChR.
FCCMS is an autosomal recessive disorder. One allele carries a missense mutation that
confers a fast closure of AChRs, and the other allele usually harbors a low-expressor or null
mutation, or the fast channel mutation occurs at homozygosity. As in heterozygous healthy
parents of endplate AChR deficiency, we humans may completely lack 50% of each AChR
subunit without any clinical symptoms. In FCCMS, a low-expressor or null mutation on one
allele unmasks the deleterious effect of the fast-channel mutation on the second allele.
Detailed kinetic analyses of FCCMS mutations have revealed special insights into the
molecular architectures of the AChR subunits. Three such examples are presented here.
The 1254ins18 mutation causes a duplication of STRDQE codons at positions 413 to 418
close to the C-terminal end of the long cytoplasmic loop (LCP) linking the third (M3) and
fourth (M4) transmembrane domains of the receptor. 1254ins18-AChR expressed on
HEK293 cells opens in three different modes. The opening probabilities of normal AChRs
are clustered into a single large peak, whereas the 1254ins18-AChR shows three different
peaks (Milone et al., 1998). In all the three modes, the AChR is activated slowly and
inactivated rapidly, which gives rise to an inefficient synaptic response to ACh. Another
FCCMS mutation, A411P in the LCP also destabilizes the channel opening kinetics. The
channel opening probabilities of A411P-AChRs are widely distributed and do not form any
discernible peaks (Wang et al., 2000). Our analysis first disclosed that the function of LCP is
to stabilize the open conformation of the AChR.
N436del is a deletion of Asn at the C-terminal end of the LCP. The deletion shortens the LCP
and shifts a negatively charged Asp residue at codon 435 against M4. N436del-AChR
decreases the duration of channel opening bursts 2.7-fold compared to the wild type due to a
2.3-fold decrease in gating efficiency and a 2.5-fold decrease in agonist affinity of the
diliganded closed state. A series of artificial mutations established that the effects of N436del
are not due to juxtaposition of a negative charge against M4 but to the shortening of the LCP.
Deletion of the C-terminal residue of the LCP of the  and  subunits also results in fast-
channel kinetics, but that in the  subunit dictates slow-channel kinetics. Thus, the LCPs of
four AChR subunits contribute in an asymmetric manner to optimize the activation of AChRs
through allosteric links to the channel and to the agonist binding sites (Shen et al., 2005).
The mutation V285I introduces a bulky amino acid into the M3 transmembrane domain
and causes FCCMS (Fig. 3). Kinetic studies demonstrate that the mutation slows the channel
opening rate  and speeds the channel closing rate , resulting in a 15.1-fold reduction in the
channel gating equilibrium constant  (= /). On the other hand, the mutation minimally
affects affinity for ACh. The probability of channel openings decreased when we introduced
Leu, a bulky amino acid, at position V285, but rather increased when we introduced smaller
amino acids such as Thr and Ala. We observed similar effects when we introduced similar
substitutions into the , , and  subunits. Thus, introduction of bulky amino acids narrows
the channel pore, while introduction of smaller amino acids widens the channel pore. Our
analysis thus revealed that the M3 domain backs up the channel-lining pore lined by the M2
transmembrane domains and has stereochemical effects on channel gating kinetics (Wang et
al., 1999).
FCCMS can be effectively treated with anticholinesterases and 3,4-diaminopyridine. The
pharmacologic effects of these drugs were discussed in the section of endplate AChR
deficiency (Section 3.1.2).
Fig. 3. Fast channel CMS. (A) Schematic diagram of AChR subunits with FCCMS mutations.
(B) Single channel currents from wild-type and fast channel (V285I) AChRs expressed on
HEK293 cells. (C) Miniature endplate current (MEPC) recorded from endplates of a control
and a patient harboring V285I. The patient’s MEPC decays faster than that of the normal
control.
3.4 CMS due to defects in skeletal muscle sodium channel, NaV1.4

Another class of postsynaptic CMS is due to mutations in skeletal muscle sodium channel,
NaV1.4, encoded by SCN4A (Tsujino et al., 2003). Dominant gain-of-function mutations in
this gene cause hyperkalemic periodic paralysis (Ptacek et al., 1991), paramyotonia congenita
(McClatchey et al., 1992; Ptacek et al., 1992), potassium-aggravated myotonia (Lerche et al.,
1993), and hypokalemic periodic paralysis type 2 (Bulman et al., 1999). On the other hand,
loss-of-function mutations cause a CMS.
Failure of normal-amplitude endplate potential depolarizing the resting potential to -40 mV
in intercostal muscle of a CMS patient with episodes of apnea and myasthenic symptoms
since birth prompted us to search for mutations in SCN4A. We identified two heteroallelic
missense mutations, S246L and V1442E (Tsujino et al., 2003). Activation kinetics of the
mutant NaV1.4 was normal for both S246L and V1442E, but the fast inactivation curves were
shifted to hyperpolarization by 7.3 mV for S246L and 33.2 mV for V1442E, indicating that
both mutations enhance fast inactivation of the NaV1.4 immediately after it is activated.
Moreover, a high proportion of the V1442 channel was in the inactivated state even at a
normal resting membrane potential. Recovery from the fast-inactivated state was slowed for
both mutations. This was in contrast to gain-of-function mutations in other diseases, which
shift the fast inactivation curves to depolarization. Neither S246L nor V1442E affected slow
inactivation. Analysis of use-dependent inactivation in HEK293 cells by stimulating at 50 Hz
for 3 ms revealed that wild-type and S246L channels decreased the peak current only by 5%
and V1442E channel decreased it by 30% during the first few pulses and suggested that the
S246L mutation is relatively benign.
4. Synaptic CMS
Defects in three components of the synaptic basal lamina, AChE, 2 laminin and neural
agrin, are associated with CMS. The CMS caused by mutations in agrin was discussed above
under the postsynaptic CMS (Section 3.1.3) because the site of action of agrin is the
LRP4/MuSK complex at the endplate.
4.1 Endplate AChE deficiency due to defects in collagen Q

Three tetramers of catalytic AChE subunits are linked by a triple helical collagen Q (ColQ) to
constitute an asymmetric ColQ-tailed AChE (Krejci et al., 1997). ColQ carries three domains
(i) an N-terminal proline-rich attachment domain (PRAD) that organizes the catalytic AChE
subunits into a tetramer, (ii) a collagenic domain that forms a triple helix, and (iii) a C-
terminal domain enriched in charged residues and cysteines. ColQ-tailed AChE is organized
in the secretory pathway, excreted, and anchored into the synaptic basal lamina using two
domains of ColQ (Fig. 4). First, the collagen domain harbors two heparan sulfate
proteoglycan (HSPG) binding domains (Deprez et al., 2003) that bind to HSPG, such as
perlecan (Peng et al., 1999). Second, the C-terminal domain binds to MuSK (Cartaud et al.,
2004).
Endplate AChE deficiency is caused by congenital defects of ColQ (Donger et al., 1998; Ohno
et al., 1998; Ohno et al., 2000). Congenital defects of ColQ cause endplate AChE deficiency.
No mutations have been detected in a gene encoding the catalytic subunit of AChE in CMS
or in any other disease. There are three classes of ColQ mutations. First, mutations in the
proline-rich attachment domain (PRAD) hinder binding of ColQ to AChE. Sedimentation
analysis of AChE species of the patient muscle and transfected cells shows complete lack of
ColQ-tailed AChE. Second, mutations in the collagen domain, most of which are truncation
mutations, hinder formation of triple helix of ColQ. Sedimentation analysis of muscle and
transfected cells demonstrate a truncated single-stranded ColQ associated with a
homotetramer of AChE. Third, the mutations in the C-terminal domain have no deleterious
effect on formation of the asymmetric ColQ-tailed AChE, but they compromise anchoring of
ColQ-tailed AChE to the synaptic basal lamina as elegantly shown in vitro overlay binding
of mutant and wild-type human recombinant ColQ-tailed AChE to the frog endplate
(Kimbell et al., 2004).
Fig. 4. ColQ anchors to the synaptic basal lamina by binding to perlecan and MuSK.
EMG studies show a decremental response as in other CMS. In addition, most patients have
a repetitive CMAP response on a single nerve stimulus. The repetitive CMAP decrements
faster than the primary CMAP. It can be overlooked unless a well rested muscle is tested by
single nerve stimuli. The prolonged dwell time of unhydrolyzed ACh in the synaptic space
prolongs the endplate potential; when this exceeds the absolute refractory period of the
muscle fiber action potential, it elicits a repetitive CMAP. As mentioned above, a repetitive
CMAP also occurs in slow channel syndrome.
Some aspects of the pathophysiology of endplate AChE deficiency resemble those of the
SCCMS. As in the SCCMS, neuromuscular transmission is compromised by three distinct
mechanisms. First, staircase summation of endplate potentials causes a depolarization block,
which inactivates a proportion the voltage-gated skeletal sodium channel, NaV1.4. (Maselli
& Soliven, 1991). Second, prolonged exposure of AChR to ACh during physiologic activity
desensitizes a fraction of the available AChRs (Milone et al., 1997). Third, repeated openings
of AChR cause calcium overloading to the endplate, which culminates in an endplate
myopathy (Groshong et al., 2007). Unlike in the SCCMS, the nerve terminals are abnormally
small and often encased by Schwann cells. This decreases the quantal content and hence the
amplitude of the endplate potential (Engel et al., 1977).
Anticholinesterase medications have no effect on neuromuscular transmission and can cause

excessive muscarinic side effects. Quinidine (Fukudome et al., 1997; Harper & Engel, 1997) and
fluoxetine (Harper et al., 2003), which shorten the open duration of the AChR channel and
benefit the slow-channel syndrome, can increase muscle weakness. A respirator dependent
infant with severe endplate AChE deficiency was improved by intermittent blockade of AChR
by atracurium, an agent that protects AChR from overexposure to ACh (Breningstall et al.,
1996). Ephedrine sulfate at a dose of 150 to 200 mg per day in adults is effective for myasthenic
symptoms (Bestue-Cardiel et al., 2005; Mihaylova et al., 2008). Although high concentrations of
ephedrine are able to block AChR openings (Milone & Engel, 1996), molecular bases of
ephedrine effects in clinical practice remain elusive. As an alternative to ephedrine, albuterol
sulfate 8 to 16 mg per day also shows benefit (Liewluck et al., in press).
4.2 CMS due to a defect in 2 laminin

Laminins are cruciform heterotrimeric glycoproteins composed of , , and  chains and are
assembled from products of five , four , and three  genes. The laminin molecules are named
according to their chain composition. For example, laminin-321 contains 3, 2, and 1 chains
(Aumailley et al., 2005). Three laminins are present at the synaptic basal lamina, laminin-221,
laminin-421, and laminin-521. Each contains the 2 subunit. Laminin-421 is restricted to the
primary synaptic cleft and promotes the precise alignment of pre- and postsynaptic
specializations. Laminin-521 lines the primary and secondary clefts, promotes presynaptic
differentiation, and prevents Schwann cells from entering the synaptic cleft. The synaptic
laminins provide a stop signal for axons at developing endplates and organize presynaptic
differentiation (Sanes, 1997). Mice deficient for Lamb2 that encodes 2 laminin show reduced
terminal branching of presynaptic motor axons, with a decreased number of active zones, no
clustering of the synaptic vesicles above the active zones, and extension of Schwann cell
processes into the primary synaptic cleft, and decreased spontaneous and evoked quantal
release (Noakes et al., 1995; Patton et al., 1998). In addition to its presence at the endplate, 2-
laminin is also highly expressed in renal glomeruli and the eye. LAMB2 mutations in humans
cause Pierson syndrome characterized by ocular malformation including small non-reactive
pupils, loss of accommodation, and abnormalities of the lens, cornea and retina and by fatal
nephrotic syndrome that requires renal transplantation (Zenker et al., 2004).
Maselli and coworkers reported a 20-year-old woman with Pierson syndrome caused by
two heteroallelic frameshifting mutations (1478delG and 4804delC) in LAMB2 who also had
a severe CMS (Maselli et al., 2009). The nephrotic syndrome was corrected by a renal
transplant at age 15 months. The patient had respiratory distress in infancy, delayed motor
milestones, a decremental EMG response, limited ocular ductions, bilateral ptosis, severe
proximal limb weakness, scoliosis, and required assisted ventilation at night and sometimes
during the day. AChE activity was spared at the NMJ. Electron microscopy of the NMJ
showed small axon terminal size and encasement of nerve endings by the Schwann cell,
widening of the primary synaptic clefts with invasion of the synaptic space by processes of
Schwann cells, moderate simplification of postsynaptic membranes, and decreased number
of synaptic vesicles. Both morphological and microelectrode studies were similar to those
observed in Lamb2-mice (Noakes et al., 1995). Notably, symptoms were worsened by
pyridostigmine but were improved by ephedrine.
5. Presynaptic CMS
Choline acetyltransferase (ChAT) is the only presynaptic molecule that is known to be
defective in CMS.
5.1 CMS with episodic apnea due to defects in choline acetyltransferase (ChAT)
ACh released from the nerve terminal is hydrolyzed into choline and acetate by AChE at the
synaptic basal lamina. Choline is taken up by the nerve terminal by a high-affinity choline
transporter on the presynaptic membrane (Apparsundaram et al., 2000; Okuda et al., 2000).
ChAT resynthesizes ACh from choline and acetyl-CoA (Oda et al., 1992). After the synaptic
vesicles are acidified by the vesicular proton pump (Reimer et al., 1998), the resynthesized
cationic ACh is packed into a synaptic vesicle by the vesicular ACh transporter (vAChT) in
exchange for protons (Erickson et al., 1994).
Fig. 5. Choline acetyltransferase (ChAT). (A) Genomic structure of CHAT and identified
mutations. A gene for vesicular acetylcholine transporter (vAChT) is in the first intron of
CHAT. (B) Kinetics of wild-type and mutant ChAT enzymes. ChAT synthesizes
acetylcholine using choline and acetyl-CoA. L210P abrogates an affinity of ChAT for acetyl-
CoA (AcCoA), and R560H abolishes an affinity of ChAT for choline.
We determined the complete genomic structure of CHAT encoding ChAT, and identified ten
mutations in five CMS patients with the characteristic clinical features of sudden episodes of
apnea associated with variable myasthenic symptoms (Ohno et al., 2001). Additional CHAT
mutations were later reported by other groups (Maselli et al., 2003; Schmidt et al., 2003;
Barisic et al., 2005; Mallory et al., 2009; Yeung et al., 2009; Schara et al., 2010). All of our
patients showed a marked decrease of the endplate potential after subtetanic stimulation
that recovered slowly over 5 to 10 min, which pointed to a defect in the resynthesis or
vesicular packaging of ACh at the nerve terminal. Kinetic studies of mutant ChAT enzymes
disclosed variable decreases in affinity for choline and/or acetyl-CoA, as well as variable
reduction the catalytic rate (Ohno et al., 2001) (Fig. 5). Moreover, some recombinant mutants
expressed at a reduced level in COS cells. Two patients carried a functionally null mutation on
one allele, but ChAT encoded on the other allele was partially functional. Heterozygous
parents that carried the null allele were asymptomatic indicating that humans can tolerate up
to but not exceeding 50% reduction of presynaptic ChAT activity. None of our patients has
autonomic symptoms or signs of central nervous system involvement other than that
attributed to anoxic episodes. This suggests that the ChAT activity and/or substrate
availability are rate limiting for ACh synthesis at the motor nerve but not at other
cholinergic synapses. Indeed, stimulated quantal release at the endplate is higher than at
other cholinergic synapses, which points to selective vulnerability of the NMJ to reduced
ACh resynthesis. Crystal structure of ChAT resolved at 2.2 Å revealed that some of the
reported CHAT mutations in CMS patients are not at the substrate-binding or the catalytic
site of ChAT. Hence these mutation exert their effect by an allosteric mechanism or render
the enzyme structurally unstable (Cai et al., 2004).
In most patients, anticholinesterase medications are of benefit in ameliorating the
myasthenic symptoms and preventing the apneic crises but few patients fail to respond to
cholinergic therapy remaining permanently paralyzed and remain respirator dependent.
Prophylactic anticholinesterase therapy is advocated even for patients asymptomatic
between crises. Parents of affected children must be indoctrinated to anticipate sudden
worsening of the weakness and possible apnea with febrile illnesses, excitement, or
overexertion. Long-term nocturnal apnea monitoring is indicated in any patient in whom
ChAT deficiency is proven or suspected (Byring et al., 2002).
6. Conclusions
We reviewed the clinical and molecular consequences of defects in 11 genes associated with
CMS. Molecular studies of CMS began with identification of a missense mutation in the
AChR  subunit in a SCCM patient (Ohno et al., 1995). Since then, mutations in seven
postsynaptic, three synaptic, and one presynaptic proteins have been discovered. In some
CMS the disease gene has been elusive and await discovery. Resequencing analysis with the
next generation sequencers may speed this effort.
7. Acknowledgments
Works in our laboratories were supported by Grants-in-Aid from the MEXT and the MHLW
of Japan to K.O., and by NIH Grant NS6277 and a research Grant from Muscular Dystrophy
Association to A.G.E.
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11
Motor Neuron Disease

Hamdy N. El Tallawy
Assiut University
Egypt
1. Introduction
Neurologists in the 19th century recognized that muscle weakness could be due to primary
disorders of muscle or secondary to loss of neuromuscular integrity, as happens when
peripheral nerves are cut or when motor neurons degenerate. Furthermore, it was observed
that there are forms of motor neuron degeneration which selectively affect upper motor
neurons or lower motor neurons. A combination of upper and lower motor neuron
dysfunction was named amyotrophic lateral sclerosis (ALS) by Charcot and Joffroy (Ringel,
et al 1993). Jean-Martin Charcot first characterized the disease in 1874, naming the illness
Amyotrophic lateral sclerosis (ALS) (Swash, 2001). In USA, ALS or Lou Gehrig's disease are
terms used to describe all forms of the disease, whatever the combination of upper and
lower motor neuron involvement (Ringel, et al 1993). ALS is now a term which classifies the
most common form of the illness and is often used synonymously with MND (Swash, 2001).
In the UK the umbrella term motor neuron disease (MND) is more common. MND is a
disease of middle to late life with a mean age of onset of 58 years, (Ringel, et al 1993).
Actually, motor neuron diseases (MND) are a group of degenerative disorders that
selectively affect motor neurons in the brain and spinal cord. Two groups of motor neurons
are involved, lower motor neurons located in ventral horns of the spinal cord and brainstem
motor nuclei, and upper motor neurons located in the cerebral cortex together with
pyramidal tracts in spinal cord. The term MND is a broad spectrum term including
amyotrophic lateral sclerosis.
2. Definitions and terminology of motor neuron disease (MND)

MND is a group of incurable progressive neurodegenerative disorders in which degeneration
involves upper and lower motor neurons in different body regions, resulting in progressive
weakness of bulbar, limbs and respiratory musculature, in different combination.
MND is an adult onset neurodegenerative disease which leads inexorably via weakness of
limb, bulbar and respiratory muscles to death from respiratory failure three to five years
later. (Allum and Shaw 2010).
3. Epidemiology of motor neuron disease

The prevalence of MND is 4-6 per 100,000 in most parts of the world, except the Western
Pacific foci, (Leigh, 1991). However, its annual incidence is between 1.5 and 2/100,000 and
males are more commonly affected than females (1.4:1). The incidence increases with age
with a mean age of onset of 63 years, (Ringel, et al 1993). It ranks as the third most common
neurological degenerative disorder after Alzheimer's and Parkinson's disease (Talbot 2002).
In Guam, the incidence of MND has fallen from 87/100,000 in 1962 to 5/100,000 in 1985,
(Rodgers-Johanson, et al. 1986).
Within the Caucasian population of Europe and North America, where most of the studies
have been conducted, the lowest reported incidence of MND was 0.6 per 100.000 person –
years in Italy,(De Domenice, et al. 1988) and the highest reported was 2.4 per 100.000 person-
years in Finland(Murros and Fogelholm.1983). However, a lower incidence rate of 0.3/100,000
person-years was reported among Asian population, in China, (Fong, et al. 1996).
In the only well-conducted study of MND incidence among black African population, the
incidence of MND was noted to be 0.9 per 100,000 person-years in Libya, (Radhakrishnan, et
al. 1986).
The incidence of MND is said to be increasing, but this is probably the result of improved
diagnosis, better awareness of the disease and an aging population, (Leigh and Ray-
Chaudhuri.1994). The incidence increases after the age of 40 years, peaks in the late 60s and
early 70s, and declines rapidly after that, (Logroscino, et al. 2008).
4. Aetiology, pathology and pathogenesis of motor neuron disease

MND is one of the complex and misunderstood diseases that health care professionals may
encounter for various different reasons: (1) there are multiple different forms of the disease
(Strong and Rosenfeld.2003), (2) the pathogenesis is not fully delineated (Wijesekera and
Leigh.2009), (3) diagnosis can occur only by exclusion, (4) there exists only FDA approved
medication, riluzole, for the treatment of ALS2 (Washington.2007), and despite this, (5) there
is no cure for this disease.
Environmental exposures during the Gulf war have been proposed as the explanation for an
increased incidence of ALS among Gulf War veterans (Haley 2003, Horner et al, 2003).
4.1 Neuropathological findings in MND

Gross changes were frontotemporal atrophy, which was usually mild to moderate, neither
circumscribed nor of a 'Knife-blade' type, and atrophy of the anterior roots in the
cervicothoracic spinal cord, which was seen in cases with definite lower motor neuron
involvement. Cortical atrophy was marked in the limbic system including the temporal
pole, parahippocampus and amygdala but usually spared the hippocampus in typical ALS –
Dementia (ALS-D) cases. (Yoshida 2004).
Histological changes included neuronal loss and gliosis with sponginess in layers II and III
of frontotemporal cortices with predominant involvement of the limbic system including the
anterior cingulated gyrus, anterior temporal and insular lobes, parahippocampus,
subiculum and amygdale in typical cases. (Yoshida 2004).
The full pathogenesis of ALS is not well understood as it has not been fully elucidated by
medical research. However, several key factors can be noted including: (1) Genetics, (2)
Motor Neuron Disease 203
Excitotoxicity, (3) Oxidative stress, (4) Mitochondrial dysfunction, (5) Impaired axonal
transport, (6) Neurofilament aggregation, (7) Protein aggregation, (8) Inflammatory
dysfunction and contribution of non-neuronal cells, (9) Deficits of neurotrophic factors and
dysfunction of signaling pathways, and (10) Apoptosis, (Wijesekera and Leigh.2009 and
Shaw. 2005).
4.2 Genetics
Up to 90% of all ALS cases, occurs without family history, (sporadic ALS) and about 10%
of cases are familial ALS (FALS). SALS is clinically indistinguishable from FALS, but the
average age of onset in FALS is somewhat earlier, (Celveland and Rothstein (2001).
Enteroviral infections and mutations of superoxide dismutase 1gene (SOD1) have been
implicated in the pathogenesis of MND (oluwale et al 2001). About 25% of ALS cases,
(Celveland and Rothstein (2001), and 2% of the sporadic cases, are linked to mutations in
the gene encoding copper/zinc superoxide dismutase (SOD1). It is Known that there may
be as many as six gene loci that code for the ALS phenotype, but only three have been
identified. Several other mutations have also been documented to possibly take part in the
pathogenesis of ALS, (Wijesekera and Leigh, 2009). Since the link between SOD1 and
FALS was first established, >90 FALS-linked SOD1 mutations have been discovered,
(Celveland and Rothstein (2001). Most of these mutations are point missense mutations,
(Anderson, et al. 2003). Most of the genetics are transmitted via the autosomal dominant
route, though some are autosomal recessive and others may be sex-linked, (Wijesekera
and Leigh.2009).
4.3 Excitotoxicity
Excitotoxicity is a term used to signify the damage that occurs to neuronal cells that are
characterized by overstimulated glutamate receptors, as glutamate is the major excitatory
neurotransmitter in the human central nervous system (Riluzol monograph. 2011). As SOD1
codes for the major reuptake protein of glutamate, a mutation limits the concentration levels
of that reuptake protein, allowing an excessive amount of glutamate to be present in the
neuronal synapse. It is also postulated that glutamatergic toxicity plays a direct role in the
destruction of neuronal cells in patients with ALS.( Shaw. 2005).
4.4 Oxidative stress

Oxidative stress is of particular interest to researchers due to the fact that the SOD1 gene
mutation that is known to cause ALS, normally codes for an anti-oxidant protein. (Riluzol
momgraph. 2011)
4.5 Mitochondrial dysfunction

There are many new data which supports the theory that mitochondrial dysfunction plays
an important role in the pathogenesis of ALS. Multiple cases of dysfunctional mitochondria
have been noted in post-mortem analyses of ALS patients. (Wijesekera and Leigh.2009)
Dysfunctional mitochondria have also been linked to the SOD1 gene mutation in mice
models. (Shaw. 2005)
4.6 Impaired axonal transport

The theory that axonal transport is a key to ALS pathogenesis stems from SOD1 transgenic
mice models. Mice from these models often show slowed anterograde and retrograde axonal
transport. Although no human ALS patient has presented with this problem, yet it is known
to occur in several other neuromuscular disorders of the human body. (Wijesekera and
Leigh.2009)
4.7 Neurofilament aggregation

Abnormal neuronal assembly, including accumulation of neurofilaments, are often seen in
ALS patients. Neurofilaments can combine with a toxic form of peripherin, an intermediate
filament protein, and become toxic to neurons even at modest concentration levels. This
combination has been found in the spinal cord of ALS patients and not in controls. This
evidence points to neurofilament aggregation as being a part of ALS pathogenesis.
(Wijesekera and Leigh.2009)
4.8 Protein aggregation

Long debates as to whether protein aggregation take a part in disease pathogenesis have
been occurred. It is possible that these inclusions may simply be innocent bystanders, or
even beneficial to the cells. (Wijesekera and Leigh.2009)
4.9 Inflammatory dysfunction and contribution of non-neuronal cells

It has been recently discovered that SOD1 mutations alone are insufficient to cause ALS in
transgenic mice, making the case that non-neuronal cells, as microglial and dendritic cells,
may play a part in ALS pathogenesis (Shaw, 2005). ALS patients commonly experience
activation of the non-neuronal microglial and dendritic cells. This activation has been shown
to produce inflammatory cytokines such as interleukins and tumor necrosis factor (TNF).
However, recent trials have yet to see success in utilizing immunomodulatory drug
therapies to curve the progression of ALS. (Wijesekera and Leigh.2009).
4.10 Deficits of neurotrophic factors and dysfunction of signaling pathways

Lowered levels of neurotrophic factors have been noticed in post-mortem analysis of several
ALS patients. In addition, three mutations in the Vascular Endothelial Growth Factors
(VEGF) gene were thought to be associated with an increased risk for developing ALS.
However, recently these finding have come under scrutiny due to an inability to replicate
research results. (Wijesekera and Leigh.2009)
4.11 Apoptosis
Current research also skews towards examining if ALS motor neuron destruction occurs via
a programmed cell death, or apoptosis. Several studies have shown that cell death due to
ALS often occurs because of this programmed apoptosis, yet these findings are still being
reviewed and discussed heavily. ( Shaw. 2005).
5. Clinical presentation of motor neurone disease

Dilemmas of symptoms and signs are described for diagnosis of MND and its subtypes.
Motor symptoms of both upper and lower motor neuron dysfunction can occur in any
muscle group, including limbs, and, or bulbar regions. Combinations of the previous motor
symptoms is not characteristic for MND and can be observed in many diseases, known as
"MND Mimic Disorders" such as, Kennedy's diseases, multifocal motor neuropathy,
brainstem lesions (syrinx, stroke,………. etc)
Meticulous evaluation by thorough history and examination by two or more specialists of
neurology are required for diagnosis of MND. Special investigations are required for
diagnosis of MND and differentiation from MND mimics.
Preclinical stage Diagnosis stage Progression stage Terminal stage

 Long duration  Selective involvement  weakness of one  Respiratory
(months or even of motor neurons in leg followed by insufficiency
years the anterior horns of other leg and symptoms
 Disease spread the spinal cord early patient will orthopnea, excessive
through motor and late in the disease require a daytime sleepiness,
system (Swash et al. 1986) wheelchair to poor concentration,
 Usually  corticospinal pathways assist him memory and appetite
Asymptomatic in the cord are  Swallowing and signs of
similarly, Problems tachypnea,
asymmetrically  Respiratory tachycardia, syncope
affected (Ingram and muscle weakness and confusion,
Swash 1987) and dyspnea (Radunovic et al
 Onuf''s sacral nucleus  All these 2007.)
(innervate anal and symptoms are  Nursed and care for
urinary sphincter observed in 24 hours
muscles) are always different  Medication, Diet,
spared (Schroder, and combinations Hygiene and special
Reske Nelson 1984) according to attention for
 Ocular motor nuclei different subtypes respiration.
are also relatively of MND
resistant (Mulder 1982)
Table 1. Stages of Motor Neuron Disease (MND)
6. Bad prognostic factors for MND

1. Late age of onset.
2. Severe and early presentations of bulbar symptoms.
3. Respiratory complications.
The classical concept that MND only affects the motor system is obsolete. MND is
considered to be a multisystem neurodegenerative disease. There is increasing clinical
evidence for autonomic dysfunction (Baltadzhieva, et al 2006 and Takeda, et al, 1994),
sensory abnormalities (Takeda et al, 1994) (Pugdahl et al, 2007) and ophthalmoplegia
(Takeda, et al, 1994) in MND. On the other hand, there are good pathological accounts of the
involvement of sympathetic and parasympathetic neurons, (Takeda, et al, 1994), Onuf's
nucleus (which innervates the pelvic floor sphincteric muscles), (Takeda, et al, 1994)
peripheral sensory nerves, (Isaacs, et al. 2007) and oculomotor nuclei. (Takeda, et al, 1994).
However, in practical terms, the presence of prominent ophthalmoplegia, sensory signs or
sphincter dysfunction should raise doubts regarding the diagnosis of MND, unless there are
a clear alternative explanation. Death usually results from ventilatory muscle weakness
causing respiratory failure.
7. Motor neuron disease presenting to non neurological specialists

Respiratory: Progressive respiratory Failure
Ear, nose, and throat: Dysphagia.
Orthopaedics/ neurosurgery: Foot drop or other symptoms suggestive of compressive
radiculopathy
Elderly care: Difficulty walking. (Talbot 2002).
ALS PMA PLS PBP

1. Age of onset 50-70 years 40 – 60 years
2. Percent of
Frequency
60 – 70 % 10 % 1% 20%
(Leigh et al
2003)
3. Incidence 1/1000,000-
(Strong and 1,2-1,8/100,000 ----- Brugman and -----
Rosenfeld, 2003) wokkle 2004
4. Prevalence (van 10-20/1000,000-
der, Graaff, 5-9/100,000 ----- Brugman and -----
2004) wokkle 2004
5. Male to female
Ratio ( Leigh et 3:2 3:4 3:1 1:1
al 2003) (Talbot 2002)
6. Anatomical Bulbar,
Limb, Bulbar
localization Cortical & spinal spinal cord Speech and
(Pseudo bulbar)
limb
7. Upper Motor
Neuron Present Absent Present Absent
manifestations
8. Lower Motor Present in
Present in
Neuron Present absent bulbar
Limb muscles
manifestation muscles
9. Cognitive Present and some
Usually absent
impairment group of ALS
Present (Raaphorst et al Absent
without cognitive
2010)
impairment
10. Bulbar
Present Absent Present Promiment
symptoms
11. Mimic -Compressive -Inflammatory -Primary Posterior
syndromes myeloradiculopathy, Myopathy progressive inferior
-Paraneoplastic -Multifocal motor multiple sclerosis, cerebellar
syndrome, neuropathy with -vit. B12 deficiency artery
-Encephalo-myelitis conduction block -Hereditay spastic occlusion
with anterion horn -Myasthenia Paraparesis,
cell involvement Gravis -Rarely small
-Toxic vessel
Neuropathies cerebrovascular
-Post polio diseases
Progressive -cervical
muscular atrophy Spondylotic
myelopathy
12. Emotional
May be Present Present Prominent Absent
lability
13. Investigotions Fibrillation
a. EMG&CV Positive- lower Positive- lower and
motor neuron motor neuron Normal Positive
manifestations manifestations sharp
waves.
b. MRI brain
When Bulbar
manifestations
Normal Normal Normal Normal
are isolated
symptoms and
signs
c. MRI spinal cord
All Limb onset
Normal ---- Normal ----
without bulbar
symptoms
14. Prognosis
5 years, more
Median
3-4 years long survivors 20 years and More 2-3years
Survival (Leigh
(>10 years)
et al 2003)
Table 2. Clinical Subtypes of Motor Neuron Disease
8. Cognitive function impairment in motor neuron disease

Cognitive impairment is increasingly being recognized in MND. Subtle subclinical cognitive
defects and frontal lobe dysfunction may be demonstrated in up to half of MND patients
with detailed neuropsychological testing (Ringholz, et al. 2005). Several genetic mutations of
MND have been identified in association with frontotemporal dementia and/or
parkinsonism (Valdmanis and Rouleau. 2008). It is well recognized that MND is a
multisystem disorder (Geser, et al, 2008) with compromise of regions beyond the motor
system, including cortical areas which are consistently involved in FTD. It comes as no
surprise, therefore, that a proportion of patients presenting with MND manifest cognitive
and/or behavioural changes which may be severe enough in some instances to reach criteria
for frank FTD.(Irwin, et al, 2007).
8.1 Amyotrophic lateral sclerosis and frontotemporal dementia (ALS-FTD)

There is icreasing clinical, imaging and neurophysiological evidence that ALS represents a
multisystem neurodegerative disease. Neurodegeneration is not restricted to motor neurons,
but also includes parts of the brain other than the motor cortex, especially the preforntal
and/or anterior temporal lobe, that contribute to the clinical syndrome. In some cases an
evident dementia that resembles frontotemporal degeneration (FTD) was observed. It is
now suggested that ALS and FTD are closely related conditions with overlapping clinical,
pathological, radiological, and genetic characteristics. The presence of a frontal dementia in
ALS has also crucial practical consequences for management of the patients, whose disorder
requires critical life decisions for enteral nutrition and respiratory complications. (Zago, et
al. 2010).
8.2 The new classification of cognitive and behavioral disorder in ALS

In 2009, Strong and colleagues articulated new guidelines to direct ongoing investigations
of cognitive and behavioral syndromes in ALS (Strong et al., 2009). To define the
Domain Test
Executive measure Wisconsin Card Sorting Test, Controlled Oral Word
Association, FAS, D Words, Animal fluency, Written Word
Fluency Design Fluency, California Card Sorting Test, Stroop
Colour-Word Interference Test, Trail Making Test
Memory/Learning Rey Auditory Verbal Learning Test, California Verbal
Learning Test II, Warrington Recognition Memory Test,
Wechsler Logical Memory and Visual Reproduction, Wechsler
Paired Associate Learning. Kndrik Object Learning Test
Attention/Concentration Verbal Serial Attention Test, Consonant trigrams Test, Symbol
Digit Modit Modality Test, Paced Auditory Serial Addition
Task, Digit Span
Language Boston Naming Test, Graded Naming Test, Pyramid and palm
Trees, Peabody Picture Vocabulary Test, British Picture
Vocabulary Test, Test for the Reception of grammar
Visual/Spatial Judgement of line Orientation, Benton Facial Recognition Test,
Block Design, Motor-Free Visual Perception Test-Revised,
Visual Object and Space Perception Battery
Emotional/ Behavioral Neuropsychiatric inventory, frontal Behavoural Inventory,
functioning Frontal Systems Behavioural Scale
Table 3. Neuropsychological test for the evaluation of cognitive/behavioral impairment in
ALS (modifed from Strong et al. 2009), with permission.
neuropsychological status of ALS patients a framework was based on four different axes.
Axis I is based on the EL Escorial criteria proposed in 1998, that includes possible, probable,
and definite ALS clinical subtypes. This multidimensional approach incorporates several
criteria (Brooks et al, 2000). The novelty of the classification lies primarily in Axis II with the
proposal of five categories which classify ALS patients along a continuum: (1) ALS patients
cognitively and behaviorally intact: (2) ALS patients with mild cognitive impairments; (3)
ALS patients with mild behavioral impairment; (4) ALS with a full-fledged fronto-temporal
dementia; (5) ALS with other non FTD-forms of dementia.
Axis III indicates the presence, in addition to frontotemporal impairments, of additional
non-motoneuronal disease manifestations such as extrapyramidal signs, cerebellar
degenerations, autonomic dysfunctions, sensory impairments, and ocular motility
abnormalities. The absence of the above indicates a "pure form," while their presence defines
"complicated forms" with additional pathological motor aspects. Axis IV, instead, provides
the search for factors which could modify the course of the disease. Several disease
modifiers have been reported in literature associated with longer survival, age at symptom
onset (< 45 years), gender (male/sex), and site of the disease onset (bulbar or limb).
9. Language
Language deficits are occasionally found in the early stages of the disease. (Abrahams, et al.
2004).
The spectrum of language impairment in MND is wider than simply a problem in speech
production due to dysarthria, but it is yet to be fully characterized. Reduced verbal output
(adynamism) evolving into mutism has been reported, as well as echolalia. Perseverations,
stereotypical expressions, (Bak and Hodges. 2004), true non-fluent aphasia with
phonological and/or syntactic deficits and comprehension impairment have been reported
in isolated cases. (Tsuchiya, et al. 2000)
MND has also been associated with apraxia of speech, in which there is breakdown in
articulatroy planning, producing slowed, effortful and dysprosodic speech with problems
repeating multisyllabic words. Apraxia of speech is often accompanied by orobuccal apraxia
but not necessarily with aphasia.(Duffy, et al ,2007).
10. Memory
It has been difficult to categorize the pattern of memory impairment, but current evidence
suggests that memory problems are related to abnormalities in retrieval of the information
secondary to frontal dysfunction. (Neary, et al. 2000). Memory problems involve primarily
immediate recall, (Phukan. et al. 2007) but impairment of visual memory also has been
implicated,(Kew, et al.1993)
Frontal, temporal and thalamic hypoperfusion on SPECT has been shown to correlate with
the severity of memory impairment. (Montovan, et al. 2003).
Most strikingly, learning and memory were found to be significantly improved in patients
in the later stages of the disease, (Lakerveld et al, 2008).
Definite ALS Upper and lower motor neuron signs in at least three body
regions (upper limb, lower limb, bulbar, thoracic).
Clinically probable ALS Upper and lower motor neuron signs in at least two
regions, with some upper motor neuron signs necessarily
rostoral to the lower motor neuron signs
Clinically probable ALS: Clinical signs of upper and lower motor neuron
Laboratory-supported ALS dysfunction in only one region, or when upper motor
neuron signs alone are present in one region and lower
motor neuron signs defined by electromyographic criteria
are present in at least two limbs, with proper application of
neuroimaging and clinical laboratory protocols to exclude
other causes.
Clinically possible ALS Clinical signs of upper and lower motor neuron
dysfunction are together in only one region, or upper motor
neuron signs are found alone in two or more regions, or
lower motor neuron signs are found rostral to upper motor
neuron signs and the diagnosis of clinically probable:
laboratory-supported ALS cannot be proven by evidence
on clinical grounds in conjunction with electrodiagnostic,
neurophysiological, neuroimaging or clinical laboratory
studies. Other diagnoses must have been excluded
* (Brooks, 1994 and Brooks, et al. 2000)

** Als: amyotrophic lateral sclerosis
Table 4. Revised El Escorial criteria for the diagnosis of ALS.*
11. Diagnostic criteria for motor neuron disease (amyotrophic lateral

sclerosis, ALS) by** Leigh and Ray – Chaudhuri 1994
The diagnosis of ALS requires the presence of:
 LMN signs (including EMG features in clinically normal muscles)
 UMN signs
 Progression of the disorder
11.1 Diagnostic categories

 Definite ALS: UMN plus LMN signs in three regions**
 Probable ALS: UMN plus LMN signs in two regions with UMN signs rostral to LMN
signs
 Possible ALS: UMN plus LMN signs in one region, or UMN signs in two or three
regions, such as in monomelic ALS, progressive bulbar palsy, and primary lateral
sclerosis
 Suspected ALS: LMN signs in two or three regions, such as in progressive muscular
atrophy, and other motor syndromes.
11.2 The diagnosis of ALS requires the absence of

 Sensory signs
 Sphincter disturbances
 Visual disturbances
 Autonomic dysfunction
 Parkinson's disease
 Alzheimer-type dementia
 ALS "mimic" syndromes
11.3 The diagnosis of ALS is supported by

 Fasciculation in one or more regions
 Neurogenic change in EMG studies
 Normal motor and sensory nerve conduction (distal motor latencies may be increased)
 Absence of conduction block
Regions are defined as follows: brainstem, brachial, thorax and trunk, crural. UMN= Upper
motor neuron; LMN= lower motor neuron.
12. Management of motor neuron disease (MND)

12.1 Investigations
There are no specific investigations for MND. Till now there are no specific biochemical or
pathological markers of MND. The aim of Elctrophysiological, Imaging and laboratory
investigations is to exclude MND mimics and/ or to support clinical signs presented by the
patients.
Allum and Shaw (2010) clarified that investigations are important adjuncts to the clinical
diagnosis of MND. Properly used they can provide supportive evidence of the clinical
findings and help delineate the extent of disease. Investigations are also important to
identify benign or treatable MND mimics.
12.2 Treatment plan of motor neuron disease

Although MND is still incurable disease up till now, in the last two decades MND
management has evolved rapidly. Symptomatic treatment of MND still had the upper hand
of management plan, especially for respiratory and bulbar complications. A team of work
including neurologist, highly qualified nurses, ICU specialist in respiratory complications,
psychologist, dietition, physiotherapy and speech therapist must be involved for
management plan and follow up of MND patients, table (5).
Thus treatment strategy of MND was aimed towards;
1. Delay Progression of the disease and prevent further loss of motor neurons especially in
the early stage of the disease
2. Symptomatomatic treatment to alleviate symptoms of the disease aiming to maintain
quality of life
Types of investigatory Tools Aim Findings

I- Electrophysiology
 Electromyography Identification of LMN loss  Active denervation (positive
help in diagnosis of ALS by sharp waves, fibrillation
establishing the Presence of potentials, Fasciculation
subclinical LMN Potentials)
involvement (Eisen and  Chronic denervation
Swash. 2001) evidenced by large motor unit
potentials (Allum and Shaw
2010)
 Single fibre EMG, macro Reflect early reinnervation Abnormal Jitter and blocking of
EMG and central motor and collateral sprouting neuromuscular trans -mission
conduction using and may provide evidence (Leig Ray – chaudhuri 1994)
magnatic stimulation of A.H.C. damage in
normal muscles (Leigh Ray
– chaudhuri 1994)
Nerve conduction studies
Motor conduction Velocity To exclude disorders that  Normal in early stages of ALS.
mimic ALS  In advanced disease the
compound muscle action
potential amplitude
becomes reduced, indicating
denervation (Daube. 2000)
Sensory conduction velocity Differentiating ALS From  Typically normal
demyelinating  Abnormal SCV should raise
neuropathies (Eisen. 2001) suspicion of an alternative
diagnosis (Eisen. 2001)
II-Imaging
 MRI spine for Limb onset To exclude cord and root Normal
ALS without bulbar compression
manifestation
 MRI brain for ALS To exclude infiltrative
presented by bulbar lesion of tongue and Normal
manifestation pharynx (Turner, et al,
2009)
III- laboratory
investigations
 Routine investigations To exclude MND minics as According to diagnosed
(complete blood count, - Thyrotoxicosis neurological disorders
liver, kidney and thyroid - lymphomas
function tests, Blood sugar - Paraneoplastic syndrome
curve electrolyte, calcium, - Diabetic amyotrophy.
CK----- etc
Table 5. Investigatory Tools for MND
Neurologist Diagnosis, disclosure of diagnosis, treatment and symptom

management, initation of respiratory and nutritional
interventions, unbiased information regarding research
developments
Family Doctor Symptom control, drug monitoring, liaison with other teams
ALS Specialist Nurse Liaison with medical team and coordination of care, home visits,
practical advice regarding accessing support services, patient
advocacy
Speech & Language Evaluation and monitoring of dysphagia and aspiration, speech
Therapist therapy and counseling regarding communication devices
Occupational Therapist Optimization of the patient's environment. Advice regarding
safety awareness, adaptive and splinting devices, activity
modification, driving, energy conservation, home modification
Dietitian/Nutritionist Evaluation of nutritional status and the need for tube feeding,
management of dysphagia, management of enteral feeding
Physiotherapist Evaluation of muscle strength and function, advice regarding
walking aids and orthoses, safety awareness
Social Worker Advice and control, pain management, maintenance of quality of
life, preservation of dignity
Psychiatry and Evaluation and management of cognitive impairment/dementia,
Neuropsychology adjustment disorders, anxiety and depression
Respiratory Physician Assessment of respiratory dysfunction, initiation of non-invasive
ventilation
* (phukan and Hardiman, 2009)
Table 6. Roles of the multidisciplinary team* with permission
12.3 Different types of treatment

1. pharmacological
2. symptomatic and
3. treatment of complications
12.3.1 Pharmacological treatment

Riluzole (2-amino-6-(trifluoromethoxy) benzothiazole, RP 54274) is the only drug licensed to
treat ALS. Although the drug reduces glutamate-induced excitotoxicity, its précis
mechanism in ALS is unknown. A Cochrane Library meta-analysis (including three double-
blind randomized placebo controlled trials by (Miller, 2002) suggests that riluzole provides a
9% gain in the probability of surviving one year and adds approximately 2 months to
patient survival.
Riluzole, exerts the following pharmacologic effects:
 An inhibitory effect on glutamate release.
 Inactivation of Voltage – dependent sodium channels.
 Ability to interfere with intracellular events that follow transmitter binding at excitatory
amino acid receptor (Riluzole monograph 2011).
 Dosage 50mg twice daily

 Side Effects Nausea and vomiting, Asthenia, somnolence Headache, dizziness, and
vertigo
 Serious Adverse Effects
 Elevation in liver transaminases. Regular monitoring of liver function is advised
(every month for 3 months, every 3 months for a further nine months then annually
thereafter).
 Rare cases of neutropenia have been reported. White cell count must be checked in
the case of febrile illness
Contraindications-Renal and hepatic impairment Pregnancy and breast-feeding
(Brockington and Shaw, 2003)
12.3.2 Symptomatic treatment
Symptom Cause Drugs Other treatment

Cramps Changes in motor Carbamazepine Phenytion Physiotherapy
function Magnesium (Miller, et al, 1999; Physical exercise
Andersen, et al, 2005) Massage
Hydrotherapy (Miller,
et al, 1999; Andersen,
et al, 2005)
Spasticity Corticospinal tract Baclofen Tizanidine Physiotherapy (Millul
damage Dantrolene Botulinum toxin et al, 2005)
type A (Wnterholler et al,2002 ; Hydrotherapy
Restivo et al, 2002) Cryotherapy
Exessive watery Bulbar weakness Atropine Hyoscine Home suction device
Saliva hydrobromide (Miller, et al, Nebulisation
1999; Andersen, et al, 2005) (Andersen, et al, 2005)
Amitriptyline (Bradley et al, injections of
2001) botulinum toxin into
parotid glands (Giess
et al, 2000/
Winterholler et al,
2001) irradiation of
the salivary glands
(Iannaccone et al,
1996; Stalpers and
Moser, 2002)
Persistent saliva -Bulbar weakness Carbocisteine Propranolol Home suction device
and bronchial - Respiratory Metoprolol (Newall, et al, hydrobromide
secretions complications 1996) (Miller, et al,
1999/Andersen, et al,
2005) Reduced intake
of diary products,
alcohol, and caffeine.
Excessive or Corticospinal tract Baclofen

violent yawning damage
(pseudobulbar
syndrome)
Laryngospasm Pharyngeal Lorazepam Reassurance

sensitivity
Pain Immobility, - Simple analgesics - Non- Comfort (seating,
stiffness steroidal anti-inflammatory sleeping, day and
drugs night care)
- Opioids
Emotional Pseudobulbar Tricyclic antidepressant
lability syndrome Selective serotonin-reuptake
inhibitors (Iannaccone and
Ferini, 1996) Levodopa
Dextrometorphan and
quinidien (Brooks, et al, 2004)
Communication Speaking techniques
difficulties (Murphy, 2004)
Voice amplifiers
Brain-computer
interfaces (Kübler et
al, 2005)
Constipation Immobility; Lactulose Hydration Increased
opiates, Senna fiber intake
Dehydration
Depression - Hopelessness; Amitriptyline Citalopram Psychological support
- Inability to counseling
communicate; and
frustration
Insomnia Discomfort, pain, Amitriptyline Comfort, analgesia
depression; Zolpidem
(consider
respiratory
insufficiency)
Anxiety Many Factors - Lorazepam Psychological
- Midazolam support, counseling
- Diazepam
suppositories
Fatigue - Muscle weakness Modafinil (Bradly et
- Anxiety al 2001)
- Depression
Table 7. Symptomatic treatment of Motor Neuron Disease. Modified From Radunovic et al
2007 and leigh et al 2003
12.3.3 Treatment of complication

a. Respiratory complications
Respiratory impairment is common in MND and may develop because of respiratory
muscle weakness, impaired bulbar function causing aspiration or obstructive sleep apnea, or
defects in central control. Dyspnea may be due to infection, pulmonary embolus, or airway
obstruction from mucous plug or inhaled pharyngeal contents. (Howard and Wiles,1989).
Symptoms of respiratory insufficiency may be subtle and develop insidiously. Patients may
report dyspnea, orthopnea, sleep fragmentation due to hypoventilation, morning headaches,
daytime somnolence and fatigue, poor concentration/memory and nocturia. Others may be
asymptomatic. Respiratory muscle weakness is an in dependent predictor of quality of
life.(Bourke, et al, 2001) and respiratory failure is the most common cause of death in ALS
patients. Assessment of respiratory insufficiency includes history, physical examination,
rarly morning arterial blood gas, and overnight pulse oximetry.
Nocturnal hypoventilation may present as daytime hypersomnolence, lethargy, morning
headaches, poor concentration, depression, anxiety, and irritability, while obstructive sleep
apnea is characterized by snoring and restless sleep with abnormal movements. (Howard
and orrell 2002).
Types of mechanical ventilation
There are several types of ventilatory aids. These are broadly classified in terms of invasive
versus noninvasive.
As its name suggests, invasive techniques require an endotracheal tube or more commonly a
tracheostomy. For patients in advanced respiratory failure (ie, no respiratory muscle
function), invasive ventilators can assume complete control of ventilation. (Simonds. 2003).
Non- invasive ventilatory aids can be divided into two groups, negative or positive pressure
ventilators. Negative pressure is exerted to the chest or abdominal wall mechanically to
assist inspiration. Positive pressure devices can be set to deliver variable inspiratory and
expiratory pressures, triggered by spontaneous effort (Simonds. 2003).
b. Management of Dysphagia
Management of Dysphagia includes modification of food and fluid consistency, postural
advice (e.g. chin tuck: flexing the neck forward on swallowing to protect the airway), and
parenteral feeding.
A percutaneous endoscopic gastrostomy (PEG) placement is indicated for those who have
symptomatic dysphagia or significant weight loss. (Miller, et al. 2002). Patients and their
families should be suitably counseled regarding the benefits and risks of the procedure.
13. Conclusion
Motor neuron disease is of the most common neurodegenerative disorders of unknown
etiology, and had no specific treatment. ALS is the commonest type, and in most literatures
is used as a synonym for motor neuron disease. Diagnosis is still clinical, mainly, and the
investigatory tools have a definite role for diagnosis of other motor neuron mimics. Once
motor neuron disease is diagnosed, the prognosis is usually bad, especially when bulbar,
and respiratory complications are evident.
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12
Spinal Muscular Atrophy

Yasser Salem
1University of North Texas Health Science Center,
2Cairo University, Faculty of Physiotherapy,
1USA
2Egypt
1. Introduction
1.1 Overview and incidence
Spinal muscular atrophy (SMA) is a neuromuscular disorder characterized by degeneration of
alpha motor neurons resulting in hypotonia, progressive muscular weakness and atrophy.30
Spinal muscular atrophy is one of the leading hereditary causes of infant mortality,31 it
comprises the second most common fatal progressive diseases after cystic fibrosis.28 Spinal
muscular atrophy is the most common neuromuscular disease in childhood after Duchenne
muscular dystrophy with an estimated incidence of 1 per 5,000 to 10,000 live births.4,11
2. Pathogenesis
Spinal muscular atrophy is known to be genetic disorder that is inherited as an autosomal
recessive disorder but some dominant or X-linked traits are reported. The pathological basis
of SMA is abnormality of the large anterior horn cells in the spinal cord caused by deletion
or mutation of the Survival Motor Neuron-1 (SMN1) gene located at chromosome region
5q.1 Absence of all or part of the SMN has been detected in 98% of patients with SMA18 and
results in reduction of the full length protein necessary for proper function of the anterior
horn cells.10,13 The decreased level of the SMN protein results in selective death of spinal
motor neurons,31 with the severity of the disease being inversely proportional to the amount
of the SMN in the anterior horn cells.1The severity of SMA ranges from total paralysis and
need for ventilatory support to relatively mild muscle weakness.1, 32
3. Clinical manifestation and classification

SMA is manifested by various clinical features that cause a variety of debilitating symptoms.
Muscle weakness is a hallmark feature of SMA and patients with SMA are among the
weakest and most hypotonic seen in any muscle clinic.13 Clinically, the disease is
characterized by progressive symmetrical muscle weakness, which starts proximally and
moves distally, with the proximal muscles being more affected than the distal muscles.5
Muscle weakness is associated with muscle atrophy, hypotonia, absence or marked decrease
of deep tendon reflexes, fasciculation of the tongue, and tremors of the hand.5,20 Patients
with SMA have normal intellectual function. Contractures and spinal deformity have been
reported to be common impairments. Pulmonary infections and restrictive lung disease are
the most serious complications in SMA.12 In general, the clinical course of SMA is highly
variable, and it is more of a continuous spectrum with the age of onset from birth to
adulthood, and the age of death from infancy to normal life expectancy. The severity of the
diseases and clinical manifestations show a continuous range from the very severe to very
mild forms of the disease.20 With age, muscle weakness increases, and the symptoms
progress and patients lose their functions over time.25 The progression of the disease process
varies both between and within types.21 Current evidence suggests that maximum function
achieved is more closely related to life expectancy than age at onset.24 Based on the age at
onset, clinical presentation, and the maximum functional level achieved, SMA is usually
classified into the following broad types.
3.1 Type I SMA (Werdnig-Hoffmann disease)

Type I SMA is the most severe form of SMA, it is also known as Werdnig-Hoffman disease.
The age of onset is typically from birth or in the first 6 months of life and the child never
developing independent sitting. Werdnig-Hoffmann disease is characterized by severe
generalized muscle weakness and hypotonia.20 Infants typically have significant wasting,
and weakness in the limbs and trunk and present with decreased movements, especially
against gravity. Most infants present with lack of head control and are never able to roll
from supine or to pull to sitting.13 Significant oral motor weakness results in difficulties in
sucking and swallowing and makes feeding progressively more difficult. Weakness of the
intercostal muscles results in limited respiratory function, and breathing is usually entirely
diaphragmatic resulting in development of abnormal breathing patterns and respiratory
complications. The severity of respiratory complications is generally proportional to the
weakness.24 Early morbidity and mortality are commonly associated with pulmonary
complications,30 and death occurs during the first 2 to 3 years of life.
3.2 Type II SMA (Intermediate form)

Children with the intermediate form have an onset between 6 and 18 months of age.17 They
are able to sit and may develop ability to stand but they are unable to walk
independently.21,30 Some of the less involved children are able to walk with braces or
assistive devices at some point of their life.8 Children with type II exhibit symptoms of
weakness similar to type I SMA but with much less severe degree. Distal muscle weakness is
less severe than proximal muscle weakness and starts later in the course of the disease. There
is a delay in the acquisition of motor skills, with the majority of those children sit at the age of
12 months of age. As the disease progresses, children exhibit more weakness and regressed
gross motor development. Feeding and swallowing are not difficult. Contractures are common
including scoliosis or kyphoscoliosis. Early onset and rapidly progressing scoliosis is
uniformly present; severity of scoliosis increases as the disease progresses and may require
bracing and/or spinal fusion. Pulmonary complications are pervasive especially with scoliosis
and as the disease progresses. Ventilatory assistance is common in later stages of the disease.
3.3 Type III SMA (Kugelberg-Welander disease)

Type III SMA, often referred to as Kugelberg-Welander disease or Juvenile-onset SMA, is
the mild form of the disease. Children with type III SMA have an onset age typically after 18
months. This form is more variable in age of onset, although most diagnosis prior to age 3
Spinal Muscular Atrophy 223
years is typical, weakness in other mild cases may not be noticeable until late childhood.
Patients are able to achieve independent walking and whilst some children may lose this
ability in childhood, others maintain walking until adolescence or adulthood.30 Early motor
milestones are often normal, including ability to walk, which is achieved at the normal age
or slightly late. Although they are able to ambulate, they may show difficulty with walking
at some point in their clinical course secondary to proximal muscle weakness. Walking is
characterized by lack of balance, falls, increased lumbar lordosis, hyperextended knees or
genu recurvatum, and excessive waddling. Muscle weakness mainly affects proximal
muscles of the lower extremities and is less severe than types I and II SMA. Proximal muscle
weakness often results in difficulty in stairs climbing, hopping, running and jumping.
Gower’s’ maneuver may be present when getting up off the floor. Scoliosis and pulmonary
complications are common in patients with type III SMA but less frequent and not severe as
in patients with type II SMA. The incidence and severity of complications including scoliosis
and pulmonary complications are related to the degree of muscle weakness and the
functional status. Many patients with type III lose the ability to functionally ambulate as
they get weaker during adulthood. Individuals with type III SMA usually have normal life
expectancy.
3.4 SMA type IV (Adult-onset form)

Adult-onset SMA is a rare type. The onset of the disease is in the adulthood, typically in the
third or fourth decades. The signs and symptoms are similar to those of type III SMA but the
impairments and degree of disability are often mild. Life expectancy is normal.
3.5 Other forms of SMA

There are other very rare types of SMA disorders with similar symptoms but they are
caused by different genes other than SMN1 and genetic mutation. Other forms of SMA
include distal spinal muscular atrophy, characterized by distal muscle weakness; X-linked
spinal and bulbar muscular atrophy (Kennedy disease), an X-linked adult onset form of SMA;
childhood bulbar SMA (Fazio-londe disease), a progressive bulbar palsy; Hexosaminidase a
deficiency, with variable neurologic findings, including progressive dystonia, spinocerebellar
degeneration, and lower motor neuron disease; and Monomelic muscular atrophy, a cervical
form of spinal muscular atrophy.24
4. Diagnosis
Diagnosis of SMA is suspected on the bases of the clinical picture, muscle biopsy and
electromyography. Genetic testing is the only definitive diagnostic test for patients with
SMA. With the use of genetic testing, the role of EMG and muscle biopsy in confirming the
diagnosis of SMA is limited. They can be used for the diagnosis of patients with SMA who
present without homozygous deletion of the SMN gene.32 Genetic testing of SMA shows a
deletion of the SMN gene on the fifth chromosome. EMG findings usually show a pattern of
denervation including fibrillation potentials, positive sharp waves, and large amplitude,
short duration actions potentials. Sensory nerve conduction velocities are normal with no
marked decrease of motor nerve conduction velocities. Muscle biopsy provides evidence of
muscle denervation with groups of small atrophic fibers with large hypertrophic fibers.
5. Prognosis
The course of SMA is relentlessly progressive. Prognosis varies according to the age of
onset, type of SMA, and the maximum function achieved. The age at the time of the onset
has the strongest relationship to prognosis. It appears that the earlier the onset of the
disease, the faster the progression and the poorer the prognosis. The current prognosis for
children with type I SMA is very poor, with the death usually occurs in the first two years of
life as a result of respiratory failure caused by respiratory complications. Some children
with SMA type I can survive beyond two years of age with the use of ventilator assistance.1
The prognosis of type II SMA is extremely variable. Patients with type II SMA have short
life span; survival into adulthood is possible with aggressive respiratory care. Majority of
patients with type III SMA remain independent in ambulation throughout adult life.
Patients with Type III SMA are expected to have normal life expectancy. Patients with the
onset begins before two years of age continue to ambulate until an average of twelve years
of age. Patients with the onset after two years of age continue to ambulate throughout the
adult life.25
6. Assessment
Since assessment is important for guiding clinical management and for evaluating
therapeutic outcomes, thorough assessment of patients with SMA is essential. Assessment
should include regular assessment pertinent to children with neuromuscular disorders
such as assessment of posture, muscle strength, performance, range of motion, gait
assessment, respiratory assessment, and quality of life measures. Assessment of functional
status and level of disability using standardized outcome measures should be also
included.
6.1 Joint integrity, range of motion and muscle flexibility

Active and passive joint range of motion can be assessed using goniometry. Functional
range of motion, muscle length, and soft tissue flexibility should be assessed using standard
methods. Assessment of joint integrity, range of motion and muscle flexibility should be
done periodically to monitor development of contractures, particularly when the patient
loses ability to ambulate.
6.2 Assessment of posture

Routine posture examination should be performed on a regular basis. Posture examination
includes examination of resting posture and changes in posture that occur with movement.
Examination for the presence of scoliosis is essential especially for patients who are
wheelchair dependent.
6.3 Muscle strength

Assessing muscle strength in children can be difficult, because the results depend on the
patient’s effort.15 Strength deficits in children with SMA can be assessed using manual
muscle testing (MMT) or hand-held dynamometer. Manual muscle testing is the most
widely method to assess muscle strength in clinical practice. It is a reasonably easy and
inexpensive in measuring muscle strength in patients with SMA, but it does not allow
grading small changes in muscle strength. A handheld dynamometer can be used to
quantify muscle strength. Using a dynamometer is easy and comfortable and allows for
measuring small changes in strength over a continuous range.19
6.4 Respiratory function

Pulmonary function tests are parts of the regular assessment in patients with SMA to
monitor changes in respiratory status. Routine assessment of respiratory function includes
complete pulmonary function tests, including sprirometery, lung volumes, and respiratory
muscle function tests.30 Assessments of cough effectiveness and breathing pattern are
important for the non-ambulatory patients or patients who are too weak or too young to
perform pulmonary function testing.30
6.5 Gait
No disease-specific gait test or measure exists for patients with SMA. Description of gait
deviations and safety and stability during walking should be included as part of routine gait
analysis. The 10-Meter Walk test can be used to measure gait speed. The Six Minute Walk
Test or the Two Minute Walk Test can be used to measure endurance during gait.
6.6 Measurement of functional status and quality of life

Examination of functional status including examination of functional mobility skills and
activities of daily living is an important consideration. Several clinical outcome measures
can be used to measure functional outcomes in patients with SMA including generic
measures and disease-specific measures. Generic outcome measures commonly used in
patients with SMA include the Gross Motor Function Measure, the Test of Infant Motor
Performance, the Alberta Infant Motor Scale, the Wee Functional Independence Measure,
the Motor Function Measure, and the EgenKlassifikation Scale. Disease-specific outcome
measures include the Hammersmith Functional Motor Scale, the Modified Hammersmith
Functional Motor Scale, the Expanded Hammersmith Functional Motor Scale, the Children’s
Hospital of Philadelphia Test of Strength in spinal muscular atrophy, the Infant Test for
Neuromuscular Disease, and the Spinal Muscular Atrophy Functional Rating Scale. Selection
of the outcome measures to be used is based on age of the patient, patient’s functional level,
aspects of function being measured, ease of administration, and burden imposed on the
patient. The Pediatric Quality of Life Inventory (PedsQL) instrument can be used to measure
quality of life.
7. Management
No specific therapy is currently available for SMA. Treatment is usually supportive, and
may include physical therapy, occupational therapy, nutrition, orthotic management, and
possibly surgical intervention. Appropriate recommendations are made on the basis of each
patient’s presentation and functional level.15 The most important goal in the management of
the patients is to achieve maximal independent living with maximized mobility, and to
prevent the development of complications.2,9,13,15,30 Treatment focuses on prevention of

complications of severe weakness including restrictive lung disease, orthopedic deformities,
immobility, and psychosocial problems.
The multidisciplinary approach is important to assess and address the needs of the
patient/family. The multidisciplinary team might consist of neurologist, pediatrician,
physiatrist, physical therapist, occupational therapist, speech therapist, nutritionist,
pulmonary specialist, orthotist, genetic counselor, social worker, and psychologist. Family
education and patient/family centered care are important parts in the management of
patients with SMA. Education should include the disease process, associated impairments
and complications, physical limitations, functional abilities, prognosis, and expected
outcomes.
7.1 Therapeutic exercises and strength training

The overall therapeutic goals are to achieve maximal independence in mobility,15 and to
prevent and delay progression of complications. Exercise programs may help to improve
and maintain range of motion, maintain mobility, and prevent or slow the progression of
contractures, orthopedic deformities and respiratory failure.
Strengthening exercises have been shown to be effective to slow the deterioration of muscle
weakness in patients with neuromuscular disorders. Strengthening exercises may prolong
ambulation and delay dependence on wheelchair for mobility in patients with
neuromuscular disorders including children with Duchenne muscular dystrophy.
Strengthening exercises may be used to slow the deterioration in muscle strength. The role
of strengthening exercises in SMA is not well established due to lack of clinical trials on the
effects of exercise programs and lack of trials critical data to support appropriate exercise
prescription. Appropriate exercise recommendations in SMA are based on the patient’s
presentations and functional status, and therapists’ experience with similar neuromuscular
conditions. Recommendations regarding strengthening of patients with SMA include
precautions and guidelines from other degenerative muscle diseases.7
In patients with neuromuscular diseases, excessive strengthening exercises may contribute to
deterioration in muscle strength by increasing muscle degeneration.7 Therefore, excessively
strenuous strengthening such as excessive resistive exercises, eccentric exercises, and maximal
aerobic training should be avoided. Excessive fatigue and overwork weakness should be
avoided, frequent rests and self-initiated rests should be given frequently especially for the
weaker patients and patients with decreased respiratory functions. Positioning and support
can be used to maximize biomechanical advantage and minimize the effects of gravity.
Monitoring with oximetry is recommended particularly for patients with compromised
respiratory functions. It is important to monitor responses to exercises such as fatigue, pain,
and muscle soreness.
Strengthening exercises for SMA may include low-intensity strengthening exercises, and
submaximal aerobic exercise. Since there is no evidence to support traditional strength
training for patients with SMA, practicing functional activities and tasks of activities of daily
living may be good recommendation for those individuals. These exercises and activities
should be designed based on the age, developmental stage, and functional level.
Exercise strategies for young children and infants may include practicing developmental
skills. This includes activities to facilitate head and trunk control; floor mobility skills such
as rolling and creeping; facilitation of weight shift and weight bearing and transitions
between positions; and facilitations of upright positions and skills such as sitting, standing
and walking as appropriate.3 For the less involved and older individuals, exercise strategies
include practice functional activities such as standing and walking, and gentle aerobic
programs.
7.2 Participation in physical activities

Weakness and difficulty in moving independently in patients with SMA contribute to
physical inactivity and limited participation in exercise programs. The consequences of
physical inactivity are particularly detrimental, could contribute to secondary impairments
and may lead to additional decline in functional status. Recent evidence suggests that
engagement in physical activities helps improve physical functioning in children with
disability. Participation in physical activities may promote physical functioning, quality of
life, health, and well-being.
Participation in physical activity may include participation in recreational and sports
activities. Recreational programs that can be beneficial include swimming, cycling, and
riding when appropriate.6 Activities should be selected carefully with the goal of improving
functional performance and daily activities, promoting aerobic fitness and preventing
complications of inactivity. Activities should be selected based on the age, developmental
skills, and functional abilities.
7.3 Aquatic exercises

Aquatic therapy or hydrotherapy is being used on an increasing basis and has been shown
to be beneficial for children with SMA.26 The use of aquatic therapy in SMA may be related
to the physical properties of water. The properties of water provide weight relief and
postural support, facilitate antigravity movements allowing more freedom of movement,
and provide an opportunity to perform activities that may be too difficult to accomplish on
land.26 Aquatic exercises provide low-intensity strength training, walking and balance
exercises, and aerobic training without the fear of fatigue or overwork.
7.4 Feeding and nutrition

Infants with type I SMA have poor oral motor control with sucking and chewing and
tendency to get fatigued easily during feeding and swallowing. Lack of head control and
head support may also affect swallowing. Those children may have difficulty getting
enough nutrition and are at risk of aspiration. Some infants may require indwelling
nasogastric tube to supplement oral feeding. Gastrostomy may be an option for some
children to improve carer satisfaction and quality of life,23 and to avoid aspiration.
7.5 Management of contractures

Muscle contractures and orthopedic deformities are common complications among patients
with SMA. Contractures and orthopedic deformities occur primarily in type II and type III
patients who have longer periods of muscle weakness. Contractures develop secondary to
muscle weakness, muscle imbalance, lack of mobility, and poor posture and positioning.
Development and severity of contractures are related to the severity of muscle weakness,
the duration of muscle weakness, and immobility. Muscle contractures are common in
muscles that cross two joints or more. Classic contractures are seen in iliotibial band, hip
flexors, knee flexors and plantar flexors.
Prevention and treatment of contractures are important issues in the management of
patients with SMA. Management of contractures should begin before the contractures exist.
Management of contractures includes combination of consistent program of range of motion
exercises, positioning, regular stretching, and splinting. Muscle groups that are at risk of
developing contractures should be targeted for stretching. Range of motion and stretching
exercises can be used to preserve and increase flexibility. Active range of motion and
stretching exercises can be used to maintain flexibility and prevent contractures in the
ambulatory patients. In the non-ambulatory patients, regular range of motion program and
passive stretching are used to prevent development and slow progression of contractures.
Ankle foot orthoses and night splints can be used to maintain flexibility and range of
motion. Positioning devices and custom fitted equipment can be used for positioning to
provide low-intensity prolonged stretching. A tilt in space or recliner chairs can be used to
allow easy positioning changes. Standing program provides low-intensity prolonged stretch
that can be used for the non-ambulatory children.
7.6 Adaptive equipment and assistive devices

Patients with SMA frequently benefit from use of assistive and adaptive devices, with
changing needs as their condition progresses. Adaptive equipment and assistive devices can
be used to provide positioning, control contractures and deformities, and support function.
The choice of assistive devices for patients with SMA is based on individual clinical
decisions due to lack of definite intervention trials. The decision to use an assistive device
should be a collaborative decision between the patient, family, orthopedic surgeon,
physiatrist, and therapist.
7.6.1 Orthotics
Ankle foot orthoses (AFO) or night splint can be used to provide prolonged stretch to
control the progression of plantar flexion contractures. Knee splints may be used to control
hamstring flexibility and knee flexion contractures. Thigh binders can be used to control
iliotibial band contractures. Assistive devices including braces, taping, AFO, knee-ankle-foot
orthoses (KAFO), and hip-knee-ankle-foot orthoses (HKAFO) can be used to provide
support and maintain joints alignments. Assistive devices may be used to facilitate stability,
weight bearing and upright posture during standing and ambulation.
7.6.2 Positioning devices

Positioning devices can be used to provide support, and control contractures and
deformities. Positioning devices can be custom fitted, special foam, or cushions. They allow
easy positioning and stretching, and provide support. Head and trunk lateral support can be
used to accommodate for weak neck and trunk muscles and lack of head and trunk control,
they can be used to assist in positioning and to maintain upright head and trunk during
sitting.
7.6.3 Standing devices

Non-ambulatory patients with SMA may benefit from a standing program using standing
frames or swivel walkers. Standing programs are used for non-ambulatory patients to
prevent or reduce secondary impairments by maintaining muscle extensibility, preventing
muscle and soft tissue contracture, promoting optimal musculoskeletal development, and to
address the issue of reduced bone mineral density.27,29
7.6.4 Wheelchairs and seating systems

Because of the progressive weakness associated with SMA, many patients benefit from a
wheeled mobility device as the primary means of locomotion. Wheelchair seating system
deserves special considerations since many patients require a full-time use of the wheeled
mobility device. The course and progression of the disease, presenting symptoms, degree of
spinal deformity, and whether the patient is using mechanical ventilation should be taken
into considerations when deciding on a mobility device. Manual wheelchairs allow the
patients to maintain upper body strength and cardiovascular endurance. A power wheelchair
should be considered when impairments prevent manual propulsion. Power wheelchairs
enable patients to maintain a level of independence while moving within their environment
and to compensate for mobility limitations.14 For young children who are not ambulatory,
power mobility may be used to provide independent mobility at appropriate developmental
age.25 Children as young as two years can independently propel wheelchair.14, 25
7.7 Management of scoliosis

Progressive weakness and reduced mobility associated with SMA place the patients at risk
of contractures and scoliosis. Scoliosis is the most serious orthopedic problem seen in
patients with SMA. Scoliosis develops earlier and progresses faster in non-ambulatory
children than ambulatory children, scoliosis is seen in almost all children with type II SMA
and majority of patients with type III, with the severity is less in type III SMA as compared
to type II SMA. The incidence and severity of scoliosis increase with age and severity of
muscle weakness, with the severity and progression of scoliosis increase once patients lose
ambulation and become dependent on wheelchair for ambulation. Reduced respiratory
function is common in patients with scoliosis. As muscle weakness progresses, the degree of
scoliosis increases causing more discomfort and difficulty in positioning and respiration.
Presence and degree of spinal deformity should be monitored periodically by examination
and routine radiography, particularly for the non-ambulatory patients or as patient loses
ambulation. Spinal x-rays are indicated once there is clinically detected scoliosis.32 Range of
motion program and spinal positioning are important to provide comfort and slow the
progression of spinal deformities. Adequate trunk supports on a wheelchair, and wheelchair
modifications such as custom molding, gel or air cushions may be needed to provide
maximum support, and comfort and may minimize the progression of spinal deformity. As
scoliosis progresses, external bracing such as thoraco-lumbo-sacral orthosis can be used to

provide support and to apply forces to realign the vertebral column. External bracing is
used to reduce, prevent, or slow the progression of scoliosis.16 Surgical correction of scoliosis
is required for patients to stop the progression of scoliosis and to maintain function and
respiratory reserve.22 The decision and timing of surgical intervention are based on degree
of scoliosis, curve progression, pulmonary function, and bony maturity.30 Surgical
correction of spinal fusion is indicated to prevent further progression and deterioration of
scoliosis and respiratory function. The outcomes of spinal stabilization include improved
sitting balance, endurance and cosmetics30 and slowed pulmonary progression. Intensive
preoperative and postoperative physical therapy is required to prevent respiratory
complications, and loss of strength or function after spinal fusion.13 Orthotic intervention,
new wheelchair or wheelchair modification are likely to be required after the surgeries and
should be included in the preoperative plan of care.
7.8 Management of respiratory complications

Lung diseases resulting from weakness associated with SMA are the most common and
most serious complications of SMA.12 Respiratory impairments place the patient at risk for
respiratory tract infections, and pulmonary insufficiency/failure, and are the major causes
of morbidity and mortality.
The key respiratory problems in SMA are impaired cough with poor clearance of lower
airway secretions; hypoventilation; chest wall and lung underdevelopment; and recurrent
infections.30 Sleep-disordered breathing resulting from hypoventilation is common in SMA.
Cardiopulmonary endurance reduces markedly once the child becomes wheelchair
dependent. Increased weakness, decreased mobility level, and development of scoliosis are
important factors to consider when assessing the respiratory function and progression of
respiratory complications.
Patients with SMA should be evaluated by a respiratory care specialist. Routine evaluation
of respiratory function including pulmonary function testing should be done on a regular
bases. Pulmonary function testing with forced vital capacity can be used as a baseline and as
a predictor of respiratory reserve. Pulse oximeters can be used at home as to indicate when
the child is not ventilating properly.12
Providing information about respiratory care and anticipated future needs is crucial to
respiratory management of SMA.30 Patients with SMA and their families should learn how
to monitor the respiratory function. Signs of respiratory insufficiency include deceased
alertness, confusion, headache, pallor, and night-time restlessness.
Chest infections should be treated with antibiotics, postural drainage, chest physical
therapy, and when appropriate, assisted ventilation. Patients and families should be
educated on how to perform postural drainage techniques, assisted coughing, and breathing
exercises.
Respiratory care for patients with SMA includes airway clearance techniques, respiratory
exercises, chest physical therapy, and noninvasive ventilation, including intermittent
positive pressure ventilation, bilevel positive airway pressure ventilation, and negative
pressure ventilation. Ventilatory assistance might be used for patients with respiratory
failure.
7.9 Genetic counseling

Genetic counseling for patients or parents who wish to have another child is extremely
important. SMA genetic testing can be used for carrier detection and detection of an affected
fetus.
7.10 Vocational counseling

Some patients with SMA are limited to occupations that do not require physical demands.
Vocational counseling and planning may be beneficial early during high school years to
facilitate transition from school to postsecondary education. Vocational counseling may be
necessary to help adjustment to work settings.
7.11 Psychological support

Counseling and psychological support are important strategies in the management of SMA.
Anxiety and depression can greatly impact patients and families’ quality of life and their
abilities to cope with the diseases and progressive changes in function and abilities. Formal
counseling and psychological support should be available to assist patients and families
coping with the severity and progression of the disease. Patients and families should be
educated regarding the disease process and expectations and making sure that families are
having the appropriate expectations for mobility and function.
8. Summary
Spinal muscular atrophy, a neuromuscular disorder, is one of the leading genetic causes of
infant mortality. The disease is caused by deletion or mutation of the SMN1 gene and a
reduction in the levels of functional SMN, resulting in selective death of spinal motor
neurons. The type of SMA (I, II, III, or IV) is determined by the age of onset, the severity of
symptoms, and the maximum function achieved. There are other rare types of SMA
disorders with similar symptoms but they are caused by different genes other than SMN1
and genetic mutation. Spinal muscular atrophy is characterized by severe progressive
muscle weakness, atrophy and hypotonia. Complications of muscle weakness include
decreased mobility function, restrictive lung disease, contractures, orthopedic deformities
and psychosocial problems. There is no cure for SMA. Treatment is usually supportive and
focuses on management of the symptoms and preventing complications of muscle
weakness. Pulmonary complication is a hallmark of the disease and is the main cause of
death especially in type I and type II SMA. The prognosis and clinical course of SMA are
highly variable, and they are more of a continuous spectrum with the age of death from
infancy to normal life expectancy.
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13
Respiratory Muscle Aids in the Management of

Neuromuscular Respiratory Impairment
to Prevent Respiratory Failure and
Need for Tracheostomy
A. J. Hon and J. R. Bach
Department of Physical Medicine and Rehabilitation,
UMDNJ-New Jersey Medical School
USA
1. Introduction
Respiratory impairment results from primary disease of the lungs / airways or from
impairment of the respiratory muscles. The proper identification of the respiratory
impairment allows for proper management to decrease morbidity and mortality. Patients
with neuromuscular impairment typically have hypoventilation or ventilator
insufficiency/failure resulting in hypercapnia, hypoxia and an ineffective cough. In contrast,
lung and airway diseases are characterized by hypoxia with eucapnia or hypocapnia, which
often occur during an exacerbation resulting in acute respiratory failure (ARF). Often
physicians evaluate and treat both as respiratory insufficiency/failure.
Historically and even currently, when neuromuscular patients develop respiratory failure the
traditional paradigm has been resorting to tracheostomy, resulting in increasing weakness of
inspiratory muscles and loss of ventilator free breathing ability. In contrast, we and others with
neuromuscular patient populations, successfully use a new management paradigm including
noninvasive interfaces for intermittent positive pressure ventilation (NIV) in place of
tracheostomy (TIV) to maintain not only life but also quality of life (Bach, 2010). It has been
noted previously that patient populations prefer NIV over TIV both overall and specifically
with regards to comfort, convenience, speech, swallowing, cosmesis, and safety (Bach, 1993).
NIV can provide from intermittent up to continuous ventilatory support for patients with
advanced neuromuscular disease who have normal lung tissue but respiratory muscle
weakness. These concepts and techniques can be used for any patient with respiratory
muscle weakness, for example high level traumatic spinal cord injury and polio patients
(Bach, 1991; Bach & Alba, 1990; Bach et al., 1989). Even in patients with severely
dysfunctional expiratory muscles with little to no vital capacity or maximum expiratory
pressures, noninvasive pressure aids can provide effective cough flows. The inability to
cough up secretions, due to an ineffective cough, often results in mucous plugging of the
airways, but when using noninvasive ventilatory muscle aids, a cough can be augmented
for effective and sufficient secretion removal.
Inspiratory and expiratory muscle aids, including devices and manual assisted techniques,
result in intermittent pressure changes to assist inspiratory and expiratory muscles in their
natural function. Noninvasive inspiratory and expiratory muscle aids are used to maintain
lung and chest wall compliance, maintain normal alveolar ventilation, and to maximize cough
peak flows (CPF) thus preventing episodes of acute respiratory failure, especially during
intercurrent chest infections. This allows for decreased hospitalizations and prolongs survival
without tracheostomy for patients with Duchenne muscular dystrophy (DMD), Spinal
Muscular Atrophy including type 1 (SMA), amyotrophic lateral sclerosis (ALS), and others.
2. Pathophysiology
Respiratory muscle groups include inspiratory muscles (predominately the diaphragm),
expiratory muscles (predominately abdominal and chest wall muscles used for coughing)
and bulbar-innervated muscles (used to protect the airway). Many patients with ventilatory
insufficiency manage for years without ventilator use but at the cost of orthopnea and
hypercapnia which can result in compensatory metabolic alkalosis which depresses central
ventilatory drive. As a result the brain becomes accustomed to the hypercapnia without
obvious symptoms of ventilatory failure. Patients not introduced to NIV are oftentimes
prescribed supplemental oxygen which exacerbates hypercapnia and eventually results in
the coma of carbon dioxide narcosis and ventilatory arrest.
Patients with inspiratory and expiratory muscle weakness can be sustained using NIV.
Ventilatory insufficiency/failure spans the spectrum from those with only diaphragm
dysfunction (resulting in nocturnal ventilatory insufficiency/failure when in bed) to
complete inspiratory muscle failure. Patients with complete inspiratory and expiratory
muscle failure (with as little as 0 mL of vital capacity) can be completely supported using
NIV for over 50 years without tracheostomy (Bach, 2004). Some of them use only nocturnal
ventilatory aids and use glossopharyngeal breathing (GPB) to maintain ventilation during
the day (Bach, 2004).
3. Evaluating a patient
On initial presentation, ambulatory patients with hypercapnic ventilatory insufficiency often
initially report exertional dyspnea and later morning headaches, fatigue, sleep disturbances
and hypersomnolence (Bach & Alba, 1990). On the other hand wheelchair users may report
wheelchair users may report very few symptoms, e.g., anxiety, dyspnea, and difficulty with
sleep, except during a respiratory infection. Physical signs of tachypnea, paradoxical
breathing, hypophonia, nasal flaring, accessory respiratory muscle use, cyanosis, flushing,
pallor and airway secretion and congestion are signs of increasing carbon dioxide levels.
Lethargy and confusion are indicative of carbon dioxide narcosis, which can be reversed
with proper management through NIV.
Evaluation can include obtaining a vital capacity (VC), cough peak flows (CPF),
capnography/oximetry and a polysomnogram. VC is measured in the supine and sitting
positions. The VC supine is a superior indicator of ventilatory dysfunction as
hypoventilation begins and is worse during sleep. The difference between the two should be
less than 7 percent, while a value greater than 20 percent indicates need for nocturnal NIV.
If the patient wears a thoracolumbar brace, a VC should be recorded with and without the
brace as the fit can improve or worsen the VC.
Respiratory Muscle Aids in the Management of Neuromuscular
Respiratory Impairment to Prevent Respiratory Failure and Need for Tracheostomy 237
Spirometry is also used for monitoring the maximum insufflation capacity (MIC), that is, the
ability to “air stack”. The ability to air stack is holding with the glottis a maximal volume by
holding consecutively delivered volumes of air delivered from a manual resuscitator or
volume cycling ventilator. Interfaces that can be used for air stacking include a simple
mouthpiece or when the lips are too weak for this, a nasal interface or lipseal. In patients
who have learned glossopharyngeal breathing (GPB) techniques, this enables them to
approach or attain the MIC independently.
Cough Peak Flow (CPF), measured with a peak flow meter, is an indicator of the patient’s
cough effectiveness. A CPF of 160 L/m is the minimum needed for sufficiently effective
coughing and airway clearance to reliably permit safe extubation (Bach & Saporito, 1996).
This is also the best indicator for tracheostomy removal, regardless of pulmonary function,
that is, the status of the inspiratory and expiratory muscles. Patients with a VC of less than
1,500 mL should have an assisted CPF measured using a maximal lung volume by air
stacking and an abdominal thrust for a manually assisted cough. The abdominal thrust
should be delivered simultaneously to the opening of the glottis.
In patients without significant intrinsic lung disease, arterial blood gas sampling is
unnecessary. Many patients (25%) tend to hyperventilate due to discomfort or anxiety from
the procedure (Currie et al., 1986), so accurate results can be difficult to obtain. Oximetry
monitoring and capnography, which is the measurement of end tidal pCO2, provide more
useful information. Most conveniently they can be performed in the home.
Patients with questionable symptoms, multiple hourly nocturnal oxyhemoglobin
desaturations to below 95%, and elevated nocturnal PaCO2 should undergo a trial of
nocturnal NIV. If the questionably symptomatic patient finds nocturnal NIV to be more
burdensome than the symptoms of ventilatory insufficiency, the patient can discontinue
NIV and should be reevaluated in 3 to 6 months.
In symptomatic patients with a normal VC, no carbon dioxide retention and no clear pattern
of oxyhemoglobin desaturation, a polysomnogram is warranted to evaluate for sleep
disordered breathing (Williams et al., 1991). Patients with obesity-hypoventilation also
should be treated with NIV or pressure or volume control ventilation and not CPAP.
Neuromuscular disease NMD patients with decreased VC have no indication for
undergoing polysomnography as the device is programmed to interpret each apnea and
hypopnea as having a central nervous system or obstructive etiology rather than being due
to inspiratory muscle weakness. Treatment of asymptomatic NMD patients based solely on
polysomnographic abnormalities with continuous positive airway pressure (CPAP) or low
spans of bi-level PAP is ineffective or at the least, suboptimal.
4. Lung expansion therapy

Lung expansion therapy often results in increasing VC, increasing CPF, maintaining or
increasing pulmonary compliance, decreasing atelectasis and facilitating introduction of
NIV. Various devices and techniques have been developed to prolong survival without
tracheotomy through maintaining pulmonary compliance, and augmenting inspiratory and
expiratory muscle function. For example, researchers have found that Duchenne muscular
dystrophy patients requiring up to continuous ventilator dependence as NIV, can avoid
hospitalizations, pulmonary morbidity and mortality for decades and tracheotomy

indefinitely when properly managed with respiratory muscle aids (Gomez-Merino & Bach,
2002). Forty percent of ALS patients can survive for almost a year on average and up to 8
years without a tracheostomy tube despite continuous ventilator dependence supplied via
NIV (Bach et al., 2004).
4.1 Maintaining pulmonary compliance

Maintaining pulmonary (chest wall and lung) compliance, constantly and consistently
maintaining normal alveolar ventilation, and maximizing cough peak flows are essential to
preventing episodes of ARF, avoiding hospitalizations and prolonging survival without
tracheotomy. Particularly for children, maintaining chest wall/lung compliance promotes
more normal lung and chest wall growth. Regular lung and chest wall mobilization is done
by air stacking, receiving deep insufflations, or using nocturnal NIV for small children who
cannot cooperate with air stacking (Bach et al., 2000). With increasing respiratory
muscle weakness, the patient cannot expand the lungs to the predicted inspiratory capacity.
This results in chest wall contractures and lung restriction (decreased pulmonary
compliance).
Regular mobilization through deep insufflations, air stacking or NIV can result in an
increase in VC and CPF. The degree to which the MIC exceeds the VC (MIC-VC) indicates
glottis/bulbar innervated muscle integrity and correlates with the ability to use NIV rather
than require tracheotomy. The Lung Insufflation Capacity (LIC) is the maximum passive
insufflation volume using the assistance of a device (Bach & Kang, 2000).
In patients with inability to close the glottis, insufflation can be achieved passively through
the use of a Cough AssistTM, pressure cycling ventilator with pressures 40 to 70 cm H2O, or
using a manual resuscitator with the exhalation valve blocked to air stack (Figure 1).
Patients are instructed to air stack at least 10 to 15 times, 2 to 3 times a day once the VC is
found to have decreased below 80% of predicted normal. For NIV users, volume cycling is
preferable to pressure cycling as it enables air stacking and this allows for increased volume
of voice (Bach et al., 2008). In patients with primarily ventilatory impairment, CPAP is not
useful since it does not aid inspiratory or expiratory muscles.
In addition, patients who are able to air stack are also able to use NIV. If at any point the
patient is intubated, he or she can more easily be extubated directly to NIV regardless of
ventilator free breathing ability (VFBA). Proper instruction is essential as the extubation of
inexperienced patients without VFBA to NIV can at times result in panic, ventilator
dyssynchrony, asphyxia or even reintubation.
In patients, such as infants, who can not cooperate with active insufflation therapy, that is,
who are unable to air stack, oral-nasal interfaces are used for deep passive insufflations.
Infants with spinal muscular atrophy (SMA) of any type or any neuromuscular disease with
paradoxical chest wall movement require nocturnal NIV to promote normal chest wall/lung
growth, prevent pectus excavatum, as well as possibly for ventilatory assistance (Bach et al.,
2002). Often by 14 to 30 months children can become cooperative with deep insufflation
therapy.
Fig. 1. Patient demonstrating air stacking using a manual resuscitator.
4.2 Inspiratory muscle assistance

Historically, negative pressure body ventilators have been used to apply pressure to the
body for ventilatory support, but this is less effective than NIV as they can cause obstructive
apneas and are decreasingly efficacious with increasing age and decreasing pulmonary
compliance (Bach et al, 1989). In figure 2, the intermittent abdominal pressure ventilator
(IAPV) or “Exsufflation Belt” is a body ventilator that can augment tidal volumes from 300
to 1,200 mL. The intermittent inflation of the elastic air sac worn in a corset or belt under the
patient’s clothing moves the diaphragm upward to assist in expiration. With bladder
deflation, passive inspiration occurs with the diaphragm and abdominal contents returning
to resting position with gravity. For effective use the trunk must be 30 degrees or more from
the horizontal. Patients with inspiratory capacity or ability to glossopharyngeal breathe can
add volumes of air to those mechanically taken in. Patients with less than one hour of
breathing tolerance usually prefer it to NIV during daytime hours (Bach & Alba, 1991).
Inspiratory muscles can be assisted using NIV. There are no contraindications to long term
use of NIV other than uncontrollable seizures. Multiple interfaces can be used and they can
be introduced to the patients in a clinic or home setting. They include 15 mm angled mouth
pieces, lipseals, and nasal and oral-nasal interfaces. Open NIV systems include mouthpiece
or nasal NIV which rely on central nervous system reflexes to prevent insufflation air
leakage during sleeping (Bach &Alba, 1990; Bach et al., 1955). A closed system, such as by
using a lipseal-nasal prong system, can avoid excessive leakage by delivering air via mouth
and nose during sleep (Figure 3). In addition to minimizing insufflation leakage, they
maximize skin comfort. Using nocturnal NIV improves daytime O2 and CO2. Supplemental
O2 and sedatives should be avoided to maintain maximal nocturnal NIV effectiveness.
Fig. 2. High level spinal cord injured patient with no measurable vital capacity or ventilator-
free breathing ability using an intermittent abdominal pressure ventilator for daytime
ventilatory assistance (Exsufflation BeltTM, Philips-Respironics International Inc.,
Murrysville, PA) and using a lipseal for nocturnal support for 15 years.
Fig. 3. Duchenne muscular dystrophy patient using an interface that includes nasal prongs
with lip covering to provide a closed system of ventilatory support during sleep, here seen
using it during surgery with general anesthesia.
In patients with some neck movement and lip function, the 15 mm angled mouthpiece
interface is the most useful, and is able to be used by some patients all day (Ishikawa, 2005).
Often times patients can keep the mouthpiece near the mouth with a metal clamp attached
to the wheelchair or affixed onto the motorized wheelchair controls, most commonly the sip
and puff, chin or tongue controls. The patient can grab the mouthpiece for supplemental air
or full breath support, as demonstrated in Figure 4.
The volume ventilator is set for large tidal volumes, commonly 800 to 1500 mL. Therefore,
the patient can control the volume of air obtained and can use air stacking to cough, increase
speech volumes, and maintain pulmonary compliance. To use mouthpiece NIV a patient
must be able to move the soft palate posteriocranially to seal off the nasopharynx, open the
glottis and vocal cords, and maintain hypopharynx and airway patency. These movements
quickly become reflexive. They must and usually can be quickly relearned by patients who
have been ventilated via tracheostomy and have lost them (Bach et al., 1993).
Fig. 4. A 66 year old woman with multiple sclerosis and continuous ventilator dependence
using a 15 mm angled mouth piece for daytime support for 27 years despite having only 30
mL of vital capacity.
For those who are unable to grab or maintain a tight seal on a mouthpiece for daytime NIV,
such as infants, nasal NIV using small nasal prong systems can be ideal and can be used
continuously as a viable alternative to tracheostomy (Bach & Alba, 1990). To prevent oral
insufflation leakage during nasal NIV, patients learn to close the mouth or seal the
oropharynx with the soft palate and tongue. Humidifying the air is essential for nocturnal
mouthpiece/lipseal ventilation but infrequently for nocturnal nasal NIV. Suboptimal
humidification results in dry, irritated mucous membranes and increased airflow resistance
to up to 8 cm H2O (Richards et al., 1996). The air can be warmed to body temperature and
humidified using a hot water bath humidifier to decrease irritation of nasal membranes
(Richards et al., 1996).
Complications from NIV are few. At times abdominal distension can occur sporadically.
The air usually passes as flatus when the patient is mobilized in the morning. If severe, it
can increase ventilator dependence and result in necessary placement of a gastrostomy or
nasogastric tube to burp out the air or a rectal tube to decompress the colon. In 1000 NIV
users there was noted to be one case of pneumothorax despite aggressive lung
mobilization and expansion three times daily with NIV support for most and, indeed for
over 50 years in many cases (Suri et al., 2008). Often mistakenly noted to be a complication
or limiting aspect of NIV, secretion management remains the most important aspect of
noninvasive management.
4.3 Cough Augmentation: Expiratory muscle assistance

Cough Augmentation is essential in maintaining the health of patients with a poor cough
due to weak expiratory muscles. Essential techniques include manually assisted coughing,
mechanically assisted coughing (MAC), glossopharyngeal breathing, and oximetry
monitoring to guide in airway clearance when using these techniques. Routine suctioning
through the upper airway or indwelling airway tubes misses the left main stem bronchus 90
percent of the time (Fishburn et al., 1990). Manually assisted coughing is the application of
an abdominal thrust timed to glottis opening after filling the lungs maximally with air,
usually through air stacking, Figure 5A and Figure 5B.
The air stacking is important for patients with less than 1500 mL VC. With air stacking,
manually assisted coughing has produced air flows of 4.3 ± 1.7 L/sec compared to 2.5 ± 2.0
L/sec unassisted (Kang & Bach, 2000). In our population of 364 NMD patient able to air
stack the mean VC in the sitting position was 996.9 mL, while the mean MIC by air stacking
was 1647.6 mL. Upper airway obstruction, often due to severe bulbar-innervated muscle
dysfunction, is indicated by the inability to generate 160 L/m of assisted CPF with a VC or
MIC greater than 1 L. With CPF this low, the airway should be evaluated by laryngoscopy
and reversible lesions corrected surgically.
Mechanical insufflation-exsufflation (CoughAssistTM) augments or substitutes for
inspiratory and expiratory muscles. Both mechanical and manually assisted cough
techniques provide effective exsufflation flows in the left and right airways, allowing for
their use in place of deep suctioning. Patients prefer MAC compared with suctioning for
comfort and effectiveness, in addition to finding it less tiring (Gastang et al., 2000).
Fig. 5.A. Manually assisted coughing with abdominal thrust applied concomittant with
glottic opening following air stacking with flows to be measured by peak flow meter.
Fig. 5.B. Assisted cough peak flow measured by peak flow meter.
4.3.1 Mechanically assisted coughing

Mechanically assisted coughing (MAC) combines mechanical insufflation-exsufflation with
an exsufflation-timed abdominal thrust to increase CPF. The CoughAssistTM can be
manually or automatically cycled with the deep insufflations followed immediately by deep
exsufflations, ideally with pressures of 40 to 60 alternating with -40 to -60 cm H2O. Interfaces
for MAC include oral-nasal masks, a simple mouthpiece, or translaryngeal or tracheostomy
tubes. With use via a tracheostomy tube, the cuff, if present, should be inflated. Manual
cycling allows caregiver-patient coordination during inspiration and expiration with the
insufflation and exsufflation.
Treatments can be as frequent as up to every 30 minutes during respiratory infections and
post-extubation. One treatment set includes about five cycles of MAC followed by a short
period of normal breathing or ventilator use to avoid hyperventilation. When patients
cannot cooperate with MAC, the timing of the insufflation and exsufflation is adjusted to the
patient’s breathing to provide maximum chest expansion and rapid lung emptying, in
general 2 to 4 seconds for adults but much more quickly for small children. Treatments
continue until no further secretions are able to be removed and oxyhemoglobin desaturation
due to mucus plugging is reversed. The abdominal thrust is also important for infants. By
2.5 to 5 years of age, children become accustomed to coughing simultaneously with the
insufflation-exsufflation.
With the elimination of airway secretions and mucus using MAC, vital capacity, abnormal
pulmonary flow rates and oxyhemoglobin saturation can improve immediately (Bach et al.,
1993). Fifteen percent to 42 percent increase in VC was noted immediately following MAC
for 67 patients with “obstructive dyspnea” and a 55 percent increase in VC was noted in
patients with neuromuscular conditions (Barach, 1954). In ventilator assisted neuromuscular
disease patients with chest infections, a 15 to 400 percent (200 to 800 mL) increase was noted
following secretion removal with MAC (Bach, 1993).
Although MAC can augment and even substitute for the inspiratory and expiratory
muscles, if bulbar innervated muscles, which prevent airway collapse and protect against
food and saliva aspiration, are inadequately functioning, tracheotomy becomes indicated.
However, this is generally only observed in advanced bulbar ALS patients. Patients with
intact bulbar muscle function can usually air stack to volumes of 3 L or more, and, unless
very scoliotic or obese, a properly delivered abdominal thrust can result in assisted CPF of 6
to 9 L/s, which is sufficient to clear secretions and prevent pneumonia and ARF without
requiring MAC. Those with moderately impaired bulbar muscle function, e.g., non-ALS
neuromuscular disease patients like those with Duchenne muscular dystrophy, that limits
assisted CPF to less than 300 L/m benefit the most from MAC (Gomez-Merino, 2002).
4.3.2 Glossopharyngeal Breathing

Glossopharyngeal Breathing (GPB) is a technique that involves “gulping” boluses of air into
the lungs using the glottis to add to the inspiratory effort. Six to 9 gulps (40 mL to 200 mL)
total a full breath. The technique can be taught, to assist inspiratory and indirectly
expiratory muscle function in patients with good bulbar-innervated musculature (Bach et
al., 1987), allowing for discontinuation of ventilator use from minutes up to a whole day.
Initial training can be supplemented with a training manual and videos (Dail et al., 1979;
Dail & Affeldt, 1954). The patient’s developing proficiency can be monitored using
spirometry to measure the milliliter of air per gulp, gulps per breath and the breaths per
minute as seen in Figure 6.
Fig. 6. Glossopharyngeal breathing used for 6 liters of minute ventilation in “gulps” of 60 to

90 mL or 6 to 8 gulps per breath, 12 breaths per minute, for autonomous respiration despite
having 0 mL of vital capacity for 52 years (Bach et al., 1987).
Normal minute ventilation and normal alveolar ventilation can be maintained by

glossopharyngeal breathing for individuals with little to no measurable vital capacity.
Autonomous breathing is possible from minutes to up to all day by using it. It has been
noted that 60% of ventilator users with no autonomous ability to breathe and sufficient
bulbar muscle function can use GPB for ventilator-free breathing (Bach et al., 1987; Bach &
Alba, 1990). This technique is ideal in the event of ventilator failure or disconnection during
the day or night (Bach et al., 1987; Bach, 1991). The versatility and safety afforded by GPB
are safeguards that make noninvasive management safer than support via tracheostomy.
Although severe oropharyngeal muscle weakness can limit the effectiveness of GPB, 13
Duchenne muscular dystrophy patients with no breathing tolerance could be maintained
solely with GPB (Bach et al. 2007).
4.3.3 Oximetry monitoring

Oximetry monitoring, through the use of a pulse oximeter, is essential in managing patients
with NMD using respiratory muscle aids. A SpO2 alarm set at 94% alerts the patient to take
deeper breaths to maintain SpO2 consistently over 94% all day (Gomez-Marino & Bach,
2002), and when tiring, to take ventilator assisted breaths usually via a mouthpiece. Thus,
SpO2 feedback provides a method to monitor a hypercapnic patient with desaturation due to
chronic alveolar hypoventilation and during transition from tracheostomy ventilation. If the
patient is unable to independently maintain a sufficient level of at least SpO2 of 94%,
mouthpiece or nasal NIV should be initiated for increasing periods to maintain normal SpO2
which helps to reset central ventilatory drive. Thereby, oximetry feedback facilitates the
introduction and indicates the extent of daytime need for mouthpiece and/or nasal NIV. In
addition, oximetry monitoring is especially useful during episodes of respiratory tract
infection as an indicator to use MAC to prevent cold triggered pneumonias and acute
respiratory failure, usually due to mucus plugging in the NIV patient population. Proper
instruction of NIV and MAC, and rapid access to MAC during the onset of a chest cold may
be all that is necessary to avert pneumonia, ARF and subsequent hospitalizations.
Especially in infants and small children, with often inadequate cough to prevent chest colds
from triggering pneumonia and ARF, MAC should be used for any desaturation below 95
percent. In continuous NIV users, desaturations are usually due to bronchial mucus plugging,
which can develop into atelectasis and pneumonia if the secretions are not quickly cleared.
5. Contraindications to noninvasive aids: Invasive ventilatory support

Certain patient populations are better managed with tracheostomy. Contraindications to
noninvasive aid include ventilator dependence with depressed cognitive function,
orthopedic conditions interfering with noninvasive interface use, restrictive pulmonary
syndrome along with severe pulmonary disease necessitating high FiO2, or uncontrolled
seizures or substance abuse (Waldhornet al., 1990). In addition, the presence of a nasogastric
tube can hamper the fitting of a nasal interface and the use of mouthpiece or nasal NIV by
limiting soft palate closure of the pharynx and the necessary seal at the nose. For
neuromuscular disease patients, only those with severe bulbar dysfunction, as observed
with severe bulbar ALS resulting in the inability for protect the airway, require tracheotomy
(Bach et al., 2004). Other than for the occasional spinal muscular atrophy type 1 patient,
tracheotomy is rarely if ever indicated for Duchenne muscular dystrophy or any other
neuromuscular disease (Bach et al., 2009). Although tracheostomy ventilation can support
alveolar ventilation and extend survival for many NMD patients (Bach, 1996), morbidity
and mortality outcomes are not as favorable as by noninvasive approaches (Bach et al., 1998;
Toussaint et al., 2006).
6. Long term outcomes

A number of centers have reported up to continuous NIV dependence to maintain patients
with neuromuscular disease. One hundred and one of our nocturnal only NIV users became
continuously NIV dependent for 7.6 ± 6.1 years to 30.1 ± 6.1 years of age with 56 patients
still living. Twenty six became continuously dependent on NIV without requiring
hospitalization, while eight continuous tracheostomy ventilation users were decanulated to
noninvasive NIV. Using the above described techniques for the DMD patient population,
we have extubated 31 “unweanable” intubated patients consecutively to NIV/MAC without
resort to tracheotomy (Bach & Martinez, 2001). Also reported by Kohler et al., continuous
NIV can prolong life in DMD. Seven of our DMD patients have lived to over 40 years of age
requiring continuous NIV for 20 years or more.
Of our 71 SMA type 1 patients sustained with NIV, (mean age 86.1 months (range 13–196) with
only 13 deaths at 52.3 months (range 13-111)), fifteen SMA-1 patients are over age 10 and 6
over age 15 without tracheostomy tubes and despite requiring continuous NIV in most cases
(Bach et al., 2009). Sixty seven of the patient population could verbally communicate. Schroth
also reported use of continuous NIV for SMA type 1 patients (2009). Of seventeen SMA type 1
patients using tracheostomy ventilation with mean age 78.2 months (range 65–179), 25 of 27
lost all autonomous breathing ability immediately upon tracheotomy. Those who had not
developed verbalization prior to tracheotomy did not develop vocalization following the
procedure. Two brothers with SMA-1 are pictured initially at age 4 then at age 14 and 16 with
no VC sustained entirely with NIV (Figure 7 and Figure 8).
Fig. 7. Two brothers with spinal muscular atrophy type 1 and continuous ventilator
dependence since 4 months of age.
Fig. 8. The same brothers as in Figure 7, now 16 and 14 years of age and with no measurable
vital capacity.
In our 176 ALS patients using nocturnal NIV, 42 percent (109 ALS patients) progressed to
requiring continuous NIV due to progression of disease, developing severe bulbar innervated
muscle impairment that would eventually lead to requiring tracheotomy. Significant
aspiration, resulting in consistent baseline SpO2 desaturations to below 95%, due to the
weakness of bulbar innervated muscles is the sole indication for tracheotomy in NMD.
7. Extubation of “unweanable” patient

Using new NMD specific extubation criteria and protocol, including MAC and pulse
oximetry monitoring, “unweanable” patients with DMD, SMA, ALS, and other
neuromuscular diseases, e.g., SCI and polio, were successfully extubated to NIV (Bach,
2010).
Extubation Criteria for Unweanable Ventilator Dependent Patients

1. Afebrile and normal white blood cell count
2. PaCO2 40 mm Hg or less at peak inspiratory pressures less than 30 cm H2O on full
ventilatory support and normal breathing rate, as needed
3. Oxyhemoglobin saturation (SpO2) ≥ 95% for 12 hours or more in ambient air
4. All oxyhemoglobin desaturations below 95% reversed by mechanically assisted
coughing and suctioning via translaryngeal tube
5. Fully alert and cooperative, receiving no sedative medications
6. Chest radiograph abnormalities cleared or clearing
7. Air leakage via upper airway sufficient for vocalization upon cuff deflation
Table 1. Adapted from Bach, J.R. (2010). Extubation of Patients With Neuromuscular
Weakness. Chest, 137( 5), 1033-1039
The extubation criteria and protocol have been developed for the neuromuscular disease
specific patient population. Instead of spontaneous breathing trials which patients typically
undergo prior to extubation attempts, once a NMD patient meets the criteria cited in Table
1, he or she can be directly extubated to nasal NIV, assist control 800 to 1500 mL and rate 10-
14 breaths/minute in ambient air, with aggressive MAC. Ideally the orogastric or nasogastic
tube should be removed to facilitate proper fitting of the NIV interface which can be nasal,
oro-nasal and/or mouthpiece interfaces.
As the patient receives full volume support via NIV, the assisted CPF, or CPF obtained by
abdominal thrust following air stacking, is measured within 3 hours of extubation. Patients
with sufficient neck movement and lip function used the 15 mm angled mouthpiece and
weaned themselves as tolerated by taking fewer and fewer positive pressure ventilations.
For those unable to effectively use the 15 mm mouth piece, diurnal nasal NIV was used via
nasal prongs, with a nasal or oronasal interface used for nocturnal ventilation. Patients were
educated and trained in air stacking and manually assisted coughing and assisted and
unassisted CPF were measured.
For SpO2<95%, ventilator positive inspiratory pressure (PIP), interface or tubing air leakage,
CO2 retention, ventilator settings, and MAC were considered. Therapists, nurses, and
especially family and personal care attendants were trained and provided with a
CoughAssistTM to use MAC via oro-nasal interfaces up to every 30 min until airway
secretions cleared and SpO2 could be maintained consistently above 94 percent. Open
gastrostomies were performed under local anesthesia using NIV without complication in 7
patients with unsafe post-extubation oral intake.
One hundred and fifty seven consecutive “unweanable” patients were treated including 25
with SMA, 20 with DMD, 16 with ALS, 17 with spinal cord injury, 11 with postpolio
syndrome, and 68 with other NMD. Eighty three of these were transferred from other
hospitals after refusing tracheostomy after inability to pass spontaneous breathing trials.
They were successfully extubated to NIV and MAC despite being unable to pass
spontaneous breathing trials before or after extubation. Not requiring re-intubation during
the hospitalization defined extubation success. Prior to hospitalization 96 (61%) patients had
no experience with NIV, 41 (26%) used it part-time, and 20 (13%) were continuously NIV
dependent.
There was an extubation success rate of 95% (149 patients) on first attempt. On patients with
assisted CPF ≥ 160 L/m, all 98 extubations were successful. Six of 8 patients who had
assisted CPF less than 160 L/m initially failed extubation but succeeded on subsequent
attempts (Bach et al, 2010). Only two bulbar ALS patients with no measurable assisted CPF
underwent tracheotomy (Bach et al., 2010). Multiple centers now routinely extubate DMD
patients to NIV directly to avoid tracheotomy.
8. “Unweanable” patient decannulation

In 1996 we initially reported the decannulation of 50 unweanable patients with
neuromuscular weakness (Bach & Saporito, 1996). Any ventilator dependent patient with
sufficient bulbar-innervated musculature to prevent significant secretion aspiration is a
candidate for decannulation to NIV. This is ideal as decanulation facilitates speech and
swallowing. The basic principles for decannulation are essentially identical to those for
extubation. Patients with tracheostomy tubes and with no VFBA, possessing VC of 250 mL
or greater developed VFBA subsequent to decannulation. Within 3 weeks of decannulation,
most weaned to only nocturnal NIV.
9. Conclusion
The ability to decannulate and maintain survival of neuromuscular disease patients using
NIV in place of tracheostomies is indeed possible, and in fact preferable regarding aspects of
convenience, speech, swallowing, cosmesis, comfort, safety, and is preferred overall (Bach,
1993). The extubation criteria set forth is a simple evaluation of patients with NMD
(ventilatory muscle weakness) compared with the extensive “ventilator weaning
parameters” used as criteria along with spontaneous breathing trials considered
for the extubation of patients with intrinsic/obstructive lung diseases before extubating
them.
To maintain a sufficient SpO2 of greater than 94 percent, inspiratory and expiratory muscle
aid is used to prevent and manage desaturations and hypercapnia instead of supplemental
oxygen. “Unweanable” patients, with sufficient glottic function to prevent significant
aspiration of secretions, can be extubated to NIV and maintained on NIV for many years,
averting tracheostomy. In the NMD patient population, with primarily ventilatory muscle
weakness rather than intrinsic lung disease, this alternative paradigm provides optimal
management and quality of life.
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14
Neuromuscular Diseases in the Context of

Psychology and Educational Science
Andrea Pieter and Michael Fröhlich
Institute for Prevention and Public Health,
University of Applied Sciences (DHfPG),
Institute for Sport Science, Saarland University
Germany
1. Introduction
In this chapter, neuromuscular diseases will be examined from both a psychological and an
educational science perspective. Neuromuscular diseases are usually accompanied by many
types of psychological strain as functional loss due to immobility or pain often corresponds
to emotional impairment, such as fear or depression. The restrictions caused by the disease
often remain life-long because as far as current knowledge is concerned no cure has been
found yet. Patients' experiences have an immediate impact on both their beliefs about
whether and how they can influence the course of their disease, and on their individual
perception of their quality of life (Lohaus & Schmitt, 1989). A series of experiments showed
that health-related control beliefs and individual quality of life of persons suffering from a
serious chronic disease can be lower than of healthy persons (Benassi et al., 1988; Kleftaras,
1997). However, there are hardly any empirical findings pertaining to the area of
neuromuscular diseases to this effect. Nevertheless, we may presume that health-related
control beliefs and individual quality of life differ between patients with neuromuscular
diseases and healthy persons. The following will summarize the findings from two studies,
examining the extent of how persons with different neuromuscular diseases differ from
healthy persons regarding their evaluation of their individual quality of life and health-
related control beliefs.
Poverty reports and reports on the correlation between the social situation of people and
their health agree that persons with a lower level of education (usually parameterized via
the type of graduation achieved) often show a particularly poor state of health, or that they
are sicker or die earlier than persons with a higher level of education (Altgeld & Hofrichter,
2000; Jungbauer-Gans & Kriwy, 2003; Richter, 2005; Lambert & Ziese, 2005; Robert Koch
Institut & Bundeszentrale für gesundheitliche Aufklärung, 2008). Both health sciences and
health politics agree that education by imparting knowledge and promotion of individual
disposition and talent support the development of health in childhood and adolescence, and
also corresponds to better health in adulthood (Lambert & Ziese, 2005).
Almost all epidemiological studies report on social inequality in the sense of unequal access
to life opportunities and life risks. Furthermore, data on individual educational biography is
being gathered in almost all international health surveys. Many of the social differences not
only map different living conditions, but also result in tangible advantages and
disadvantages among the individual members of society (Richter, 2005). Especially during
the past two decades, a vast number of publications have shown that a low socio-economic
status (defined as a low degree of educational achievement, low-level job, and/or low
income) is accompanied by an increased degree of mortality and morbidity (Mielck, 2000).
This applies to children, adolescents, adults, men, and women alike.
Why the mortality of someone who has a low income or a low degree of educational
achievement, respectively, but who does not have to starve or freeze is higher than the
mortality of someone with a higher income or educational level does not seem to be obvious
when only seen at a glance. Education, occupational status, and income continue to
influence the state of health only indirectly and are transferred with factors associated with
social status. The large number of health-relevant living conditions and behaviors makes a
complete explanation of status-specific differences in morbidity and mortality almost
impossible (Mielck & Helmert, 2006). To date, the focus of scientific discourse has been on
the unsolved causal chain of the socio-economic status affecting the state of health and the
state of health in turn influencing the socio-economic status (Mielck & Helmert, 2006). The
question of the extent to which both may be confounded by a third variable complicates the
causal approach even more.
Findings on educational differences in respect of disease frequency and health-related
behavior are reported in particular by the Robert Koch Institute (2006) within the framework
of a telephone survey on health. Heart attacks, angina pectoris, arthrosis, chronic back pain,
and dizziness in men are related to a low educational level. In women, the educational level
is related to hypertension, diabetes mellitus type 2, and chronic bronchitis (Lambert & Ziese,
2005). Furthermore, educational differences also become evident in health-related behavior
(smoking prevalence, physical activity, etc.), the distribution of overweight and obesity, as
well as the usage of information sources referring to health-related topics. It needs to be
noted that in this context, the term "education" is often used unidimensionally and current
definitions from the area of educational science are neglected.
2. Health-related quality of life in the context of education

2.1 Theoretical approach – Definition
Health-related quality of life is a multidimensional construct that has so far managed to
escape a clear definition, which explains why the term is extended, always depending on the
definition criteria (Daig & Lehmann, 2007). Another difficulty is finding plausible criteria for
a distinct, empirical validation. In principle, this context leads to the question to what extent
criteria can be used for explaining the term, with the help of which it is possible to reflect
and describe the general state of health regardless of existing diseases, or, on the other hand,
whether it would not be preferable to rather base the explanation of the term on disease-
specific criteria. With the latter, health would be defined as the degree of disease that allows
an individual to perform actions that the individual wants to perform.
Despite the problems described it seems possible to close in to the construct from different
perspectives. For example, the WHO sees quality of life as "an individual's perception of
Neuromuscular Diseases in the Context of Psychology and Educational Science 255
his/her position in life in the context of the culture and value systems in which he/she lives,
and in relation to his/her goals, expectations, standards and concerns. It is a broad-ranging
concept, incorporating in a complex way the person’s physical health, mental state, level of
independence, social relationships, and their relationship to salient features of their
environment" (WHOQOL-Group, 1994, p. 43). The term also includes personal targets,
expectations, criteria, and concerns. People are, however, faced with a number of
influencing factors: For example, physical health, mental state, social relationships, as well
as personal beliefs influence an individual's quality of life (Radoschewski, 2000). The term
quality of life is, at the same time, closely connected with happiness, content, and well-
being, often even used as synonyms (Daig & Lehmann, 2007).
Health-related quality of life is viewed in the context of the state of health and ability to act
of people who suffer from disease or are chronically ill (Bullinger et al., 2000). According to
Schumacher et al. (2003), primarily four dimensions play a determining role:
1. disease-related physical discomfort,
2. mental state,
3. disease-related functional restrictions in daily life,
4. quality of social contacts.
Health-related quality of life is a result of many individual, complex evaluation and
assessment processes that, in turn, all need to be analyzed based on many dimensions, as
well (Daig & Lehmann, 2007). They include, for example, emotional well-being, together
with a feeling of security, a stable and predictable environment, positive feedback by others,
as well as interpersonal relationships, which means that one feels accepted in a community
and works regularly. Moreover, personal development in terms of education, targeted
activities, and physical well-being defined by health care, mobility, a sense of wellness, and
a healthy diet, play an essential role. Not to be neglected in this context are self-
determination, social integration, the right of privacy, and property.
2.2 Quality of life within the framework of neuromuscular diseases

Quality of life comprises the emotional, social, mental, and functional areas of human life
(Bullinger & Pöppel, 1988). It cannot be observed from the outside but can only be indirectly
derived from various aspects. These aspects mainly include a person's physical well-being,
functional capabilities and performance in various areas of life, the number and quality of
relationships with other human beings, and physical shape. Especially with long-time
chronic diseases, individual quality of life is very important for the patients. Considering all
this is essential for the patients' dignity during medical treatment, which particularly applies
to long-term treatment and care. Since an evaluation of quality of life is unreliable and
variable due to disease, treatment, and impairments it is probably best assessed by patients
themselves (Helmchen, 1990). In practice, quality of life is rather still determined by doctors'
diagnoses and not by the patients themselves. A number of studies show, however, that
there can be significant differences between these two evaluations. When recording quality
of life, the postulate of the subject reference of the measurement of quality of life should be
taken into account, and indicators of personal and social resources should be integrated in
the measurement (Siegrist, 1990).
With neuromuscular disease, functional loss caused by pain or immobility are often so serious
that individual quality of life strongly depends on the way the patients cope with and handle
their state. To maintain and enforce required lifestyle changes, such as participating in specific
movement programs (Koch & Burgunder, 2002), self-regulating mechanisms and support from
the social environment (e.g., family, friends, other ill persons, etc.) are decisive factors. In the
course of neuromuscular diseases, personal and social resources play a special role in the
development and impact of the disease (Koch & Burgunder, 2002).
Interestingly, studies show that compared to a healthy group of persons, patients with
chronic, impairing, and progressive diseases express comparable or even better assessments
of their subjective quality of life. This phenomenon is usually called the "well-being
paradox" or "satisfaction paradox", or adaptation. It means that difficult living conditions do
not necessarily have to result in poorer assessments of subjective well-being or quality of life
(Daig & Lehmann, 2007). Robbins et al. (2001) showed that the assessment of the quality of
life of patients with ALS does not primarily depend on the physical state of health. In a
study by Lulé et al. (2008), the average subjective quality of life of ALS patients was 66-72 %
and thus in an area that is comparable with healthy control persons. Similar results
regarding the fact that many chronically ill people feel "quite well actually" are reported by
Raspe (1990). He is of the opinion that ill people obviously differentiate between perception
and description of complaints and an evaluation of their overall situation. Even if somatic
manifestations of disease and complaints have already led to disorders in the mental and
social balance, it is apparent that the afflicted persons do not inevitably connect each
disorder with dissatisfaction and negative evaluations. Being ill usually affects the
performance and reliability of the body. Physical ability is therefore an important, but not an
exclusive component of quality of life. Quality of life indicators are criterion variables that
can change in the short and medium term depending on disease characteristics and therapy
(Siegrist, 1990). For instance, Diehl et al. (1990) were able to show during their examinations
involving tumor patients that the disease brought to light variation and maturing
opportunities that had so far been unknown to the persons. They discovered new meanings
and values, particularly regarding their relationships with other persons, expectations of
life, and their newly obtained ability to set priorities and distinguish between the important
and unimportant. This all means that the risk of a possibly drastically reduced lifetime
seems to shift life-related preferences.
It has long been known that the educational background of a person corresponds to the
subjective assessment of health and disease aspects (Boltanski, 1976). In patients with ALS,
Lulé et al. (2008) discovered confounding variables in terms of education and depressive
symptomatology: the higher the degree of education, the lower the depression value. Based
on these findings, the first study was to elicit the extent to which persons with various
neuromuscular diseases differ from healthy persons in their assessment of overall quality of
life, and to what extent education is influencing this aspect.
2.3 Study 1 – Quality of life and education in the context of neuromuscular diseases
2.3.1 Methodology
For this study, data of 178 persons was collected. The experimental group comprised 96
persons, 37 men and 59 women with an average age of 50.02 years (SD = 13.22 years). The
most frequent disease patterns were muscular dystrophy (22.9 %), muscular atrophy (9.3 %),
and ALS (6.2 %). The control group consisted of 82 persons who did not suffer from either
neuromuscular or other chronic diseases. This group comprised 37 men and 45 women with
an average of 38.67 years (SD = 11.05). The distribution between the sexes did not show any
significant differences (χ2 = 0.79; df = 1; Cramérs V = 0.07). The persons with neuromuscular
diseases exhibited a significantly higher age than the control group (F = 37.84; df = 1; p <
0.05; η = 0.42). In terms of education, the test persons were divided into the categories
"without advanced technical college entrance qualification" and "with advanced technical
college entrance qualification and university entrance qualification". A significant difference
became evident insofar as the persons of the control group had a higher educational level (χ2
= 14.81; df = 3; p = 0.05; Cramérs V = 0.29).
The general overall quality of life was surveyed using the EUROHIS-QOL 8 Item Index
questionnaire (Brähler et al., 2007). Within the scope of this survey tool, the psychological,
physical, social, and environmental dimensions of the quality of life are recorded based on
two items each see Table 1. The index value is calculated by adding the 8-item scale values.
The higher the value, the better the quality of life was estimated (Brähler et al., 2007). The
individual items are to be answered using a five-step format ("Does not apply at all" to
"Applies completely").
Item Subscale Factor

How would you rate your quality of life? Psychological Endogenous
How satisfied are you with your health? Psychological Endogenous
Do you have enough energy for everyday life? Physiological Endogenous
How satisfied are you with your ability to perform Physiological Endogenous
your daily activities?
How satisfied are you with yourself? Social Endogenous
How satisfied are you with your personal Social Endogenous
relationships?
Have you enough money to meet your needs? Environment Exogenous
How satisfied are you with the conditions of your Environment Exogenous
living place?
Table 1. Items of the EUROHIS-QOL 8 Item Index
In addition to the general descriptive methods, such as averages and standard deviations,
the inferential statistics check was performed in dependence of the scale level with the
corresponding tests for difference checks. The prognostic potential was done via η or η2,
respectively. For internal consistency revision of the items, Cronbach's α was calculated. The
significance level was set to p < 0.05.
2.3.2 Results and discussion

The overall index (sum of four subscales) as a value for general overall quality of life
showed a major difference (F = 36.80; df = 1; p < 0.05; η2 = 0.18) between the experimental
group (26.95 ± 6.02) and the control group (31.68 ± 4.25) in the linear model based on the
factors Group (neuromuscular disease vs. no neuromuscular and chronic disease) and
Education (without advanced technical college entrance qualification vs. with advanced
technical college entrance qualification or university entrance qualification), as well as the
covariate Age. The interaction of Group by Education did not result in any significant
differences (F = 3.16; df = 1; p = 0.08; η2 = 0.02). When analyzing the individual subscales,
major effects became evident in the following dimensions:
Subscale Experimental group Control group

Psychological 5.82 ± 1.68 7.72 ± 1.42
Physiological 6.21 ± 2.06 7.87 ± 1.37
Social 7.18 ± 1.84 7.99 ± 1.26
Environment 7.51 ± 2.12 7.91 ± 1.76
Table 2. Significant main effects of subscales (all p < 0.05)
Moreover, the physiological subscale showed a significant interaction of Group and Education
(F = 8.00; df = 1; p < 0.05; η2 = 0.05). Summing up these findings, it is safe to state that persons
not suffering from neuromuscular diseases report a higher degree of satisfaction with life than
ill persons (Fröhlich et al., 2009). This difference is evident both from the overall index as well
as the questionnaire's subscales. Since the age of the persons surveyed can influence the result
it was taken into account as a covariate. The analysis of the level of education influencing the
satisfaction with life did not show any major connection between education and assessment of
the quality of life. This also applies if the persons suffering from neuromuscular diseases and
having a higher degree of education degree of education report on the general overall quality
of life. In contrast to the findings of Robbins et al. (2001), Lulé et al. (2008), and Raspe (1990),
the assessment of overall quality of life within the scope of this survey of persons having a
neuromuscular disease is lower than in a comparison sample with persons not suffering from
neuromuscular or other chronic diseases.
3. Health-related quality of life in the context of education

3.1 Theoretical approach – Definition
In line with the construct of control beliefs, persons expect to be able to positively
influence or control their own health-related behavior (Lohaus, 1992; Petermann & Roth,
2006). This construct is based on the social learning theory by Rotter (1966) and the locus of
control of reinforcement concept used therein. The center of the concept is that people
assume that they can influence events in their life (Krampen, 1988; Ferring & Filipp, 1989).
This particularly applies to how they presume that their own state of health may be
influenced by their own or other people's actions (e.g. doctors, physical therapists) or
even by fate. Other theories related to the concept refer to the model of learned
helplessness by Seligman (1975), the cognitive depression model by Beck (1972), and the
self-efficacy theory by Bandura (1977).
According to Filipp and Mayer (2005), to perceive oneself as competent and be convinced of
the efficacy of one's actions is fundamental human pursuit, which can already be observed
in the first year of one's life. The belief to be able to influence and control one's health is
usually based on previous knowledge about effects that individuals have learned of during
their development, and on the experiences made concerning self-determination and

heteronomy in the areas of physical and health-related processes (retrospective behavioral
plasticity). Accordingly, control beliefs in this area are understood as the generalized results
of previous learning experience (Lohaus & Schmitt, 1989), which are accompanied by
divergences if previous knowledge and experiences exist for different forms of disease,
which can lead to different expectations of the diseases' controllability.
If persons believe that their actions can lead to or influence specific events they have what is
called an internal control belief. If persons think they are not able to bring about certain
events through their own actions but are instead convinced that other people's actions or
even luck or fate are the cause of events, these persons are said to have social-external or
fatalistic-external control beliefs (Levenson, 1972, 1974). In this context, internal control
beliefs are evaluated as a personality resource for mental well-being and for coping with
health-related issues (Krampen, 1988). Faith in the influence of medical staff (social-internal)
can stabilize the patients' well-being if they depend on medical help (Taylor, 1999). Fatalism,
however, is deemed dysfunctional for psychological adaptation (Krampen, 1988). Here,
aspects of independent and interdependent self-construction come to play an important
role, i.e., to what extent persons experience themselves as actively planning and self-
determined (Pieter et al., 2010), or to what extent persons define themselves via the
association with other persons (Hannover & Kühnen, 2002).
The scope of subjective perception of control options correlates to thinking, feeling, and
acting. Often, a low control belief is directly related to depression, anxiety, and low self-
esteem (Bandura, 1993, Resetka et al., 1996). Positive control beliefs, however, are
accompanied by optimism. Difficult tasks are considered as individual challenges (Caraway
et al., 2003; Hintze & Shapiro, 1999). Persons with a high control belief show a higher degree
of stamina and recover faster from setbacks when faced with difficult and unpleasant tasks
(Bandura, 1999; Jerusalem & Mittag, 1999; Määta et al., 2002). Positive control beliefs are
pointed out as predictors or correlates of the ability to handle stress and mental and physical
health in a large number of empirical surveys (Flammer, 1990; Kuhl, 2001; Schwarzer &
Fuchs, 1996). A subjectively deemed low controllability of the disease can lead to reduced
ability to act according to Biebrich and Kuhl (2004). If persons feel helplessly subjected to the
disease they can hardly demonstrate intact control during the hard-to-control phases of the
disease's development.
A number of studies report that health-related control beliefs cannot be explained
exclusively based on the condition of persons and that the connection of health-related
control beliefs is moderated beyond the current condition by other variables (summarizing,
see Fröhlich et al., 2007). In this context it was shown that a low educational level and/or
low income are accompanied more by lower and fatalistic-external control beliefs and less
reverting to own capabilities (Ross & Sastry, 1999). Since control beliefs not only depend on
existing diseases and complaints, but also on health-related attitudes, perceptions, and
comparisons – on the one hand concerning the individual course of the disease and on the
other concerning the social reference group – educational differences can have particularly
serious effects. The general question arises whether a stronger development of control
beliefs is influenced by the educational level, or if the general condition or current state of
health has a stronger influence on the subjective control beliefs on health and disease.
3.2 Control beliefs within the framework of neuromuscular diseases

Neuromuscular diseases usually bring many handicaps for the affected, such as physical
damage, restricted functionality and activity, and general performance limitations in daily
life. These restrictions often correspond to emotional burden, such as fears, depression, low
self-esteem, and the endangerment of professional and social participation and integration.
The majority of patients must change their lifestyle to adapt to the disease genesis. They
must undergo frequent diagnostic examinations, continue to take their medication, and
possibly even make use of stationary therapy. The restrictions often remain life-long because
as far as current knowledge is concerned no cure has been found yet (Fröhlich et al., 2010;
Pieter et al., 2011).
To date, a series of examinations has shown that health-related control beliefs in persons
suffering from a major chronic disease can be less than in healthy persons. Krampen (1988),
for example, found that depressive patients exhibited a reduced self-concept of their own
ability and internality as well as a socially induced externality and significantly increased
fatalistic externality. A connection between reduced internal control beliefs and increased
fatalistic externality with depressive moods has also been proved in numerous studies
(Burger, 1984; Benassi et al., 1988; Kleftaras, 1997; Weinmann et al., 2001). The question
whether these control beliefs cause a depressive mood or whether the depressive mood
causes the control beliefs remains unanswered at this point.
As stated above, control beliefs associated with health and disease are mostly based on
previous knowledge about effects on health and disease, which individuals have attained in
the course of their lives, and on the experiences made concerning self-determination and
heteronomy in the area of physical processes (Lohaus & Schmitt, 1989). It is an obvious
assumption that control beliefs differ between healthy and ill persons. Particularly with
diseases occurring multiple times or over a long time, learning experience regarding
individual control options (both internal and external control) is likely to exist. Based on
these assumptions, the control beliefs of both persons suffering from neuromuscular
diseases and healthy persons will be examined and compared in the second study.
3.3 Study 2 – Control beliefs and education in the context of neuromuscular diseases
3.3.1 Methodology
The overall sample of this study consisted of 176 persons (41.2 % men and 58.8 % women)
with an average age of 44.67 years (SD = 13.42). The experimental group comprised 94
persons (38.5 % men and 61.5 % women) suffering from a neuromuscular disease diagnosed
by a doctor. The average age of this partial sample was 50.02 years (SD = 13.22). The control
group represents a random sample of 82 persons who were recruited through direct contact.
Precondition for being assigned to this group was, as in Study 1, that the persons had not
been diagnosed with neither neuromuscular nor other chronic diseases. These test persons
had an average age of 38.32 years (SD = 10.65) and were 45.1 % men and 54.9 % women.
The test persons were asked to evaluate their current general state of health based on a
seven-level Likert scale (1 = "very poor" to 7 = "very well") (as to the reliability of this
method, please refer to Ravens-Sieberer et al., 2000; Gunzelmann et al., 2006). Persons
without neuromuscular disease set their state of health at an average of 5.78 (SD = 0.91), the
ones with neuromuscular diseases at 3.74 (SD = 1.26). Their evaluations differed
significantly (F = 111.88; df = 1; p < 0.05; ηp2 = 0.40). In the control group, one person
evaluated themselves as currently not healthy at all, 7 persons experienced themselves as
partly healthy, and 78 persons felt completely healthy. In contrast, 38 persons of the
experimental group considered themselves as absolutely unhealthy at the point of the
survey, 30 persons felt partly healthy, and 20 persons felt completely healthy despite their
neuromuscular disease.
Overall Experimental Control

Degree of education sample group group
(N = 176) (N = 94) (N = 82)
Without advanced technical
college/university entrance 73 (41.5 %) 51 (54.2 %) 22 (26.8 %)
qualification
With advanced technical
college/university entrance 103 (58.5 %) 43 (45.8 %) 60 (73.2 %)
qualification
Table 3. Educational level of test persons from Study 2
The questionnaire developed by Lohaus and Schmitt (1989) on recording control beliefs
about disease and health was used as a survey tool. The questionnaire includes three
subscales that correspond to the control belief dimensions "internality", "social externality",
and "fatalistic externality". All items of the measurement tool are formulated as statements
that the test participants can process based on a six-level scale. From their answers, a score is
calculated that expresses the control belief in the three subscales. All items avoid the terms
"health" and "disease", rather pointing to physical states that both healthy and ill persons are
familiar with. Lohaus and Schmitt (1989) postulate that therefore, both healthy and ill
persons can process the items in the same manner. For statistical review, absolute and
percentage frequencies were calculated in addition to average values and standard
deviations. To meet the requirement of sufficient cell frequency, the educational level was
categorized into the group of test persons with certificate of secondary education/general
school-leaving certificate and in the group of test persons with advanced technical
college/university entrance qualification. Furthermore, using the median and identical
category ranges, the current general state of health was divided into very ill persons, partly
healthy, and completely healthy persons. Due to the low degree of cell frequency in the
control group (see remarks on sample) this group is not considered in the calculations of the
current general state of health.
For the inferential statistics check, variance-analytical procedures were calculated after
verifying the corresponding preconditions. To estimate the effect size, eta squared (η2) or
partial eta squared (ηp2), respectively, were applied. Values for ANOVA calculations of 0.1
and 0.24 are to be viewed as small effects, values of 0.25 and 0.39 as medium, and above 0.4
as large effects (Bortz & Döring 2006). Since there are major differences in the two groups in
terms of age (F = 40.97; df = 1; p < 0.05; ηp2 = 0.19), the age was taken into account in all
calculations as a covariate. The level of significance was p < 0.05.
3.3.2 Results and discussion

In the internality subscale, persons with neuromuscular diseases and healthy persons differ
significantly (F = 9.91; df = 1; p = 0.02; ηp2 = 0.06). The following table illustrates the relevant
average values and standard deviations:
Without advanced technical With advanced technical

college/university entrance college/university entrance
qualification qualification
Experimental group 28.22 ± 7.12 25.44 ± 7.54
Control group 22.85 ± 7.81 20.93 ± 5.64
Table 4. Average values and standard deviations for the internality subscale
Concerning the educational level (without advanced technical college/university entrance

qualification vs. with advanced technical college/university entrance) no significant
differences (F = 1.10; df = 1; p = 0.30) were founded. However, for persons with
neuromuscular disease, this subscale exhibited a significant difference (F = 6.55; df = 2; p =
0.02; ηp2 = 0.13) between very ill persons and completely healthy persons (p < 0.05), as well
as between partly healthy and completely healthy persons (p < 0.05).
In the social externality subscale, neither group differences (F = 1.61, df = 1; p = 0.21) nor
educational differences (F = 1.51; df = 1; p = 0.22) were evident. With persons with
neuromuscular disease, no significant differences (F = 2.64; df = 2; p = 0.08) were evident
concerning the evaluation of the general state of health. When observing the fatalistic
externality subscale, there are no group differences between ill and healthy persons (F =
1.08; df = 1; p = 0.30). However, in terms of education, significant differences between
persons without advanced technical college/university entrance qualification and persons
with advanced technical college/university entrance qualification came to light (F = 4.50; df
= 1; p = 0.04; ηp2 = 0.03). The average values and standard deviations are illustrated in the
following table:
Without advanced technical With advanced technical

college/university entrance college/university entrance
qualification qualification
Experimental group 29.91 ± 8.25 33.15 ± 6.95
Control group 32.15 ± 5.81 35.25 ± 4.37
Table 5. Average values and standard deviations for the fatalistic externality subscale
For persons with neuromuscular disease, a significant difference (F = 4.20; df = 2; p = 0.02; ηp2
= 0.09) is shown in this subscale between completely ill and partly healthy persons (p < 0.05).
Persons suffering from neuromuscular diseases are obviously more convinced than healthy
persons that their own activities and actions positively influence the course of their disease,
which enables them to better cope with health-related burdens. Regarding their health, they
experience themselves as actively planning and acting in a self-determined way. All this is
evidence for optimism in this group and the conviction that difficult tasks represent a
challenge and can be solved. In all, this finding is in favor of the mental health of the
examined persons with neuromuscular somatic disease. The lower values in the group of
healthy persons could be based on the fact that previous knowledge and experience with
severe diseases are lacking or only very rare and thus lead to different expectations of the
individual scope of actions than is the case with ill persons. Ill persons seem to be able to
anticipate and assess the future impact of their own behavior based on their existing
experience with diseases. In contrast, healthy persons can align their behavior only with
mentally represented states of disease (Goschke, 2004).
Even if persons with neuromuscular diseases are objectively seen ill they still estimate their
current general state of health as rather well. A large number of the persons surveyed even
feel completely healthy. When looking at the diagnoses of these persons with a view to their
subjective control beliefs it becomes evident that the three subgroups differ significantly in
their internality. Those persons who assessed themselves as partly healthy at the time of the
survey have the highest degree of internality, followed by the completely ill and the
completely healthy. The diagnoses in these cases again speak for a learning effect or,
respectively, can be interpreted as a clue that the terms health and sickness are indeed social
constructs. Considerably more partly healthy persons than completely sick persons consider
luck and coincidence to be strongly influencing their disease, i.e. completely sick persons
will more likely actively fight their disease using their own means or asking others for help.
With respect to education, there was only a significant difference when it came to fatalistic
externality. Persons with a higher level of education (with advanced technical
college/university entrance qualification) are more convinced that health and sickness
depend on coincidence and fate. This conviction, however, can turn out to be dysfunctional
for psychological adaptation within the framework of coping with a disease. This seems to
be strange to the group of those with a higher level of education and contradicts the findings
of Ross and Sastry (1999). At first glance, the result is surprising and requires more detailed
verification in further surveys. At large, however, the low effect size and the fact that the test
persons of the experimental group generally have a lower level of education need to be
considered here, as well (Fröhlich & Pieter, 2009).
4. Conclusion
Persons suffering from neuromuscular diseases are more convinced than healthy persons
that their own activities and actions positively influence the course of their disease. They use
this personality resource to a higher degree, which enables them to better cope with their
personal health-related problems. They experience themselves as actively planning and self-
determined with respect to their health. This is evidence of optimism in this group and the
conviction that difficult tasks represent a challenge and can be solved. Overall, these
findings all points toward the mental health of the persons examined here with a
neuromuscular somatic disease. The lower values of the healthy persons may result from
their lack of or very little previous knowledge and experience with severe diseases and that
they therefore have different expectations of their individual ability to act than ill persons. Ill
persons seem to be able to anticipate and assess the future impact of their own behavior
based on their existing experience with diseases. In contrast, healthy persons can align their
behavior only with mentally represented states of disease (effect anticipation and
determination sensu Goschke 2004). The anticipation is thus directly associated with the
individual learning history of the person. Therefore, it seems easier for persons with
neuromuscular disease to establish preventive goals that are not based on the current needs,
but rather geared to the satisfaction of future requirements. This type of suppression of
current needs in favor of future needs requires a certain measure of willpower in an
individual (cf. Goschke, 2004; Pieter et al., 2010).
Even if persons with neuromuscular diseases are objectively seen ill they still estimate their
current general state of health as rather well. A large number of the persons surveyed even
feel completely healthy. Considerably more partly healthy persons than completely sick
persons consider luck and coincidence to be strongly influencing their disease, i.e.
completely sick persons will more likely actively fight their disease using their own means
or asking others for help.
With respect to education, there was only a significant difference when it came to fatalistic
externality. Persons with a higher level of education (with advanced technical
college/university entrance qualification) are more convinced that health and sickness
depend on coincidence and fate. This means that these persons turn out to be less persistent
in difficult and uncomfortable health-related situations, that their ability to act is reduced
and that they process setbacks slower. This may be explained by an inability to anticipate
and assess the future impact of their behavior. Being convinced of the fact that a disease
depends on coincidence and fate is accompanied by the feeling of being helplessly exposed
to the disease. According to Tausch (2008), feelings such as helplessness or powerlessness
are further promoted by not understanding external processes and subsequently
recognizing pointlessness.
In addition to the fact that it is difficult to compare educational levels within age groups, it is
also difficult to suitably record education and learning processes in general (Reinmann,
2010). Therefore, the question arises whether the operationalization of the construct of
education (in the sense of educational level achieved) selected in this context may not be
sufficiently exhaustive as an explanatory variable in the context of health, and whether
education as a health resource should rather be a combination of many more factors than
mere education in the sense of educational level achieved. In this context, an
operationalization of education via competence seems to be more plausible even though a
definition of the term is difficult because it has multiple connotations in both informal and
scientific speech (Hartig, 2009). In educational research, the comprehension of competences
as learnable, context-specific cognitive performance dispositions has been proven (Hartig,
2009). In health research, they should also include motivational orientations, attitudes,
tendencies, and expectations sensu Weinert (1999). Instead of operationalizing general
education via school education, an approach taken from positive psychology (see Seligman,
2010) and the resulting deliberations on the meaning of the so-called "wisdom competences"
seem to be more productive in the area of health (see also Baumann & Linden, 2008) and
more suitable in connection with coping with the stresses of life. When considering the
assumptions by Erikson (1976) about the central development task in adolescence being to
master one's one life and fate, this presumes a certain degree of "mature thinking" in an
individual (Baumann & Linden, 2008, p. 32). This mature thinking can be described as
relativizing, dialectic, complementary, and closely corresponding with learning processes,
but not necessarily with the level of education achieved. In its highest form, this type of
thinking is called "wisdom" in psychological development research (Baltes & Smith, 1990;
Staudinger & Baltes, 1996), represents - according to current knowledge - an important
resource in terms of positively coping with critical life events (Baumann & Linden, 2008),
and could therefore be utilized in health research. In this context, wisdom can be defined as
skill or expertise in a specific context, with the thoughts on this being based on philosophic,
implicit, and explicit wisdom theories (for an overview, see Baumann & Linden, 2008). From
these theories, a ten-dimensional model of wisdom competencies has been derived,
comprising cognitive, emotional, and motivational competencies. Furthermore, it is to
analyze what are the differences between the neuromuscular disorders and other chronic
disorders causing disability in the context of psychology and educational science and what
are the effects of the therapy of different neuromuscular disorders in this context. The low
degrees of cell frequency in the present studies not allow these conclusions. Further studies
could shed a more detailed light on this area of research.
5. Summary
It was examined to what extent persons with various neuromuscular diseases differ in terms
of their evaluation of their individual quality of life and health-related control beliefs in
from a comparison sample. As expected, healthy persons reported a higher degree of
satisfaction with life. In contrast, persons with neuromuscular disease display a higher
degree of internal and a lower degree of fatalistic control beliefs.
According to these findings, education is ascribed only a limited, explanatory value in
association with health-related control beliefs. It is recommended that further studies extend
the concept of education to include health sciences based on current findings from
educational research. One option is a diagnostic on wisdom competencies carried out using
established measurement methodology and linked with health-specific knowledge, skills,
and strategies.
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Edited by Ashraf Zaher

Copyright © 2012 InTech

Publishing Process Manager Oliver Kurelic

First published July, 2012

A free online edition of this book is available at www.intechopen.com

Neuromuscular Disorders, Edited by Ashraf Zaher

Chapter 1 Integrins in the Development

Chapter 2 Facioscapulohumeral Muscular Dystrophy:

Chapter 3 AON-Mediated Exon Skipping

Chapter 4 Psychosocial Support Needs

Chapter 5 Comparison Between Courses of Home

Chapter 6 Myopathy in Autoimmune Diseases –

Chapter 7 Dermatomyositis 129

Chapter 8 Interstitial Pneumonia in Dermatomyositis 143

Chapter 9 IBMPFD and p97, the Structural

Chapter 10 Congenital Myasthenic Syndromes –

Chapter 11 Motor Neuron Disease 201

Chapter 12 Spinal Muscular Atrophy 221

Chapter 13 Respiratory Muscle Aids in the Management of

Chapter 14 Neuromuscular Diseases in the Context

Recent advances in the understanding of the genetics and basic mechanisms of

The information in each chapter is intended to complement that in others, although

I am honored and grateful for the collaboration of an excellent group of renowned

Integrins in the Development

University College London,

2.1 Developmental expression of integrins in skeletal muscle

3. Integrins in skeletal muscle development

3.1 1-integrin and talin

Downregulation of filamin C in C2C12 myoblasts via siRNA causes an impairment of cell-

4. Structural connections of integrins to the cytoskeleton

4.3 Centrally nucleated fibres in myopathies

5. Integrin signaling: Responses to mechanical stimuli

5.2 Integrin-linked kinase (ILK)

6. Conclusions and future perspectives

component of the cardiac mechanical stretch sensor, controls contractility in the

both hypertrophic and dilated cardiomyopathy', Molecular genetics and metabolism

subjects and represent an additional complication to FSHD molecular diagnosis. However,

2. FSHD Clinical features: Role of D4Z4 repeats reduction

2.2 Molecular diagnosis

Fig. 1. Schematic representation of Polymorphisms at the 4q and 10q subtelomeres.

Fig. 2. Schematic representation of FSHD diagnostic approach at 4q35 locus.

2.3 FSHD clinical ascertainment and molecular diagnosis: Necessity of standardized

2.3.3 A standardized clinical evaluation tool: FSHD score

3. Genomic characteristic of the 4q35 region: D4Z4 and role of specific

3.1 Genetic variability and haplotypes

3.2 Permissive and non-permissive genetic background

Fig. 4. Schematic representation of the current view of permissive and not-permissive

4. One disease (too) many theories

4.1 Direct mechanism: DUX4

4.2 Indirect mechanism: Iindirect overexpression of candidate genes

5. Direct role of D4Z4: The double homeobox gene 4 (DUX4)

6. 4q35 genes in FSHD phatogenesis: Role of genes overexpression

6.1 FSHD region gene 2 (FRG2)

prevalently located in subtelomeric or pericentromeric regions (Winokur et al., 1994; van

6.2 FSHD region gene 1 (FRG1)

6.3 Adenine Nucleotide Translocator (ANT1)

7. Epigenetic and FSHD: Role of methylation and chromatine structure

7.1 DNA methylation

7.2 Histone modification