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Validation of a Treatment-Based Classification System for Individuals

With Facial Neuromotor Disorders Downloaded from https://academic.oup.com/ptj/article/78/7/678/2633301 by guest on 27 September 2021

Background and Purpose. A method for linking treatments to of facial neuromotor disorders is needed. We describe the construct validation of a treatment-based classification system for facial neuromotor disorders. Subjects and Methods. Based on physical signs and symptoms, 148 patients (mean age=48.9 years, SD= 16.1, range = 20 -93) were assigned to treatment-based categories. The pattern of impairment and disability was compared with clinical expectations. Results. The distribution of impairment and disability scores demonstrated the expected signs and symptoms of the treatment-based categories. Confirmatory principal-components factor analysis indicated 4 factors, corresponding to the treatment-based categories; the factor loadings confirmed the presence of the key sign or symptom characteristic of the categories. Conclusion and Discus- sion. Classifying facial neuromotor disorders into treatment-based categories appears to be a valid method for categorizing patients with specific impairments or disabilities and may be useful in linking treatments to outcomes. [VanSwearingen JM, Brach JS. Validation of a treatment-based classification system for individuals with facial neuro- motor disorders. Phys Ther. 1998;78:678-689.1

Key Words: Classification, Facial , Rehabilitation.

Jessie M VanSwearingen I Jennifer S Brach

Physical Therapy . Volume 78 . Number 7.July 1998 Downloaded from https://academic.oup.com/ptj/article/78/7/678/2633301 by guest on 27 September 2021

acial neuromuscular dysfunction is a complex Facial neuromuscular reeducation using surface electro- disorder of the facial neuromotor system and myographic (EMG) or mirror feedback is may involve facial motoneurons and their axons, one rehabilitation technique that has been shown to , or connections of other brain lead to improvement in facial n~o~en~ent.~~~-~)Random- centers with neurons in the facial nucleus in the brain ized clinical trials have shown that qualitative and quan- stem. Disorders of the facial neuromotor system can titative improvements in facial movement occurred after affect an individual's function in many ways, disrupting treatme~~t.'~."Facial neuromuscular reeducation is a physical as well as psychosocial function.'.Veople process of relearning facial movement using specific and with these disorders may have diff~c~iltinitiating rnove- accurate feedback to (1) enhance facial muscle activity ment, controlling abnormal movement, or relaxing mus- in functional patterns of facial movement and expres- cles that are contracting involuntarily. Functional lirnita- sion and (2) suppress abnormal muscle activity interfer- tions such as difficulty drinking from a glass, eating, and ing with facial f~lnction.L'-'*~~The exercise program is speaking also may be present.' Because of their individualized for each patient and is based on the signs altered appearance, many people with facial neuro- of facial impairment identified and the key symptoms muscular disorders feel uncomfortable in social the patient reported at evaluation. situation^.^ Although Ross et alls and Se~alet alfl reported that 2 Rehabilitation for facial neurornotor disorders has con- randomized clinical trials of facial ~ieuromuscularre- sisted of rna~sage,~.'.electrical stim~lation,~~hndrepeti- education showed improvements after treatment, in tions of common facial expressions in a general exercise neither of the studies did the researchers define which regirnem4 This "generic" form of treatment has been patients improved with what treatments, nor did the found to be of little be~lefit.~."ome authors suggest that studies provide an adequate measure of treatment out- some i~l~erventionsmay even adversely affect recovery come. The outcomes are described for a homogenous of facial neuromotor fun~tion,"~,~including disrupt- group of patientsl%hen the group was most likely hetero- ing reinner~ation,~-'~or result in "mass action," geneous with respect to facial neuromuscular dysfunction, a generalized contraction of all or many of the fac- based on the mean and variability reported for the facial ial muscles when voluntary facial expressions are impairment measures for the samples. A homogenous group of patients in a study may result in masking differ-

JM \'anSwraril~ger~,PhD, PT, is Assistant Professor of Physical Therapy, Departn~entof Physical Thcrapv, School of Hcal~haud Rchahiliratior~ Sciences, LJniversity of Pittsburgh, 6035 Forbes Tower, Pittsburgh, PA 15260 (LJSA) (jessievs+Qpitt.ed~~),and Director oS Rrhabilitation, Facial (:en~er,(:ORE Ne~work,1,irnitt-d L.ial)ility (:orporatio~~,LJ~~iversity of Pittsburgh Medical Center. Acldress all corresponde~~ceto Dr Val~Sweari~~gen.

JS Brach, PT, is Clinical Assistant Professor of Physical Therapy, Department of Physical Therapy, School of Health and Rehabilitation Scirncrs, I!ni\~rrsity01' Pi~tsb~~rgh,and Phpical Therapiqt, (:ORE Network, L.imited L.iability Corporation, University of Pittrb~~rghMedical Center.

This ~ludywas approved by the Institutional Revirw Boarrl for Biomedical Research of the University of Pittsburgh

Physical Therapy . Volume 78 . Number 7 . July 1998 VanSwearingen and Brach . 679 Table 1. Treatment-Based Categories and Treatments Designed for Each Category

Category Signs/Symptoms Treatmenta

Initiation Drooping brow, lowered eyelid, cheek, and corner of the mouth at rest; AAROM, matching movements, small unable or iust able to initiate muscle activity or movement, incomplete range, education about the recovery eye closure; marked physical function and psychosocial problems process Facilitation Minimal to no drooping of the face at rest; mild to moderate facial AROM, resistive exercises weakness, complete eye closure; physical function problems greater than psychosocial difficulties Movement control Eye narrowed, cheek fold deepened, corner of the mouth pulled and Isolated movements, correct movement philtrum shifted laterally, tension at rest; mild to moderate facial patterns, stretches weakness; abnormal movement with voluntary movement; physical function problems less than psychosocial difficulties Downloaded from https://academic.oup.com/ptj/article/78/7/678/2633301 by guest on 27 September 2021 Relaxation Increased resting facial tension; spontaneous twitching and , Rhythmic motions, relaxation exercises, increasing in frequency or amplitude with increasing effort to move; stretches few or no physical function problems; marked psychosocial difficulties

"AAROM=active-assistedrange of motion, AROM=active range of motion. ential responses of a patient with a variety of facial move- rather on the (1) observed signs of resting posture ment disorders, particularly when treatments are tailored changes,- voluntary movement, abnormal movements to match the signs and symptoms of the disorders. The accompanying voluntary movement (synkinesis), or reliability and validity of the outcome measure used by abnormal spontaneous movements and (2) reported Segal et alZ1 were not clearly described or demonstrated. In symptoms of difficulties in usual facial functions. both clinical trials, the outcome was assessed using mea- sures of the impairment of facial movement or measures The purpose of this report is to describe an attempt to reflecting pathology. No measure of disability or inventory validate a classification system for individuals with facial of the patient's experience while performing typical activ- neuromotor disorders, a system that was derived from ities involving the face was reported. our clinical experience in tailoring treatments based on physical signs and symptoms. By comparing the pattern A systematic means of defining the characteristics of a of facial neuromotor impairments and disabilities, as patient's facial neuromotor disorder in multiple determined with disorder-specific instruments for mea- domains is needed, particularly for the domains of suring facial impairment and disability, with our a priori impairment and disability. A system for classifying the clinical assumptions about the primary problems of disorder could enhance our understanding of facial patients classified in each of the 4 treatment categories, neuromotor problems22 and provide a framework for we provided evidence for the validity of our measure. We assessing interventions. expected that categories based on the treatments that would be given for the physical signs and symptoms The purpose of classification, like diagnosis, is to ulti- would demonstrate a specific pattern of impairments mately impose a label on sets of signs and symptoms that and disability characteristic of each category. implies an understanding of the conditions and treat- ments.",Z4 A number of pathologies result in a facial Method neuromotor disorder. Bell palsy, primary tumors of the From our experience and observations of patients with facial nerve, cranial-based tumors, and trauma all can facial neuromotor disorders, we derived 4 treatment- lead to impairments of the facial neuromotor sys- based categories (initiation, facilitation, movement con- In our experience, the pathology rarely guides trol, and relaxation), named to suggest the physical therapists in their interventions. For example, a patient therapy tailored for the physical signs and symptoms of with a 9-month history of Bell palsy may have signs of the category (Tab. 1). The treatments tailored for the profound facial paralysis and symptoms of severe drying different sets of signs and symptoms of each category of the eye, or the patient may have moderate facial were based on the rationale that the underlying neuro- , marked synkinesis (abnormal movements), and muscular physiology was different for each, although the symptoms of excessive tearing of the eye. There also pathological diagnosis may have been similar. could be mild facial paresis, frequent spasms (involun- tary sustained contractions) of the facial muscles, and no We theorized that patients who exhibited the ability to reported symptoms of irritation of the eye. Treatment just barely activate facial muscles had few working facial would not be based on the pathology (Bell palsy) but nerve-muscle connections. Slight movement could typi-

680. VanSwearingen and Brach Physical Therapy . Volume 78 . Number 7 . July 1998 cally be detected at the initiation of voluntary facial cle activity such as spasms and twitches at rest, the movement, but the movement ceased as the contra- neurophysiological mechanism appears to involve some lateral (uninvolved) side movement of the face instability of the activation of the facial or mus- exceeded the excursion of the involved side movement. cles," disrupting the usual control. The experience We believe that a greater-than-usual resting length of the gained through relaxation exercises of maximally con- paralyzed facial muscles, due either to the effects of tracting and relaxing the facial muscles may provide an gravity or. to the repeated activation of the uninvolved environment in which the difference between rest and facial muscles shifting the face toward the uninvolved activity can be known. Presumably, the brain is then side, alters length-tension relationships, reducing the better able to attain either state voluntarily and interrupt ease of activation of the involved facial muscle^.^^-"^ We the abnormal spontaneous facial muscle pattern of also believe that passively moving the face to restore the activity.36 resting length often enables the patient to voluntarily initiate activity of the lengthened facial muscle. Patients Based on our belief that certain treatments work better with signs and symptoms of minimal facial movement for some patients, we attempted to recognize the signs Downloaded from https://academic.oup.com/ptj/article/78/7/678/2633301 by guest on 27 September 2021 and physical function improved with intervention focus- and symptoms of patients that were characteristic of ing on strategies, such as the passive positioning each of the treatment-based categories. These signs and described, for initiating facial muscle activity. symptoms were assessed in an interview and by observa- tion of voluntary and spontaneous facial movement Patients, who demonstrated voluntary, but incomplete, patterns. Patients with the characteristic signs and symp- facial movement and whose involved side movement was toms described were assigned to 1 of 4 treatment-based less but tlid not disappear with increasing activation of categories representative of the physical therapy tailored the uninvolved facial muscles, improved with exercises for the signs of facial impairment: (1) initiation, designed to enhance facial muscle activity. Given that (2) facilitation, (3) movement control, and (4) relax- the patients demonstrated the ability to move in an ation. These 4 categories are described in Table 1. appropriate pattern for the intended facial movement or expression, we assume they have motor programs, the Description of the Treatment-Based Categories set of communications for coordinating movements and postures for skillful a~tion.~"ccording Initiation. The initiation category was commonly to Brooks," who described how movements are gov- present when there was (1) moderate to marked asym- erned, repeated activation of motor programs (practice) metry of the face at rest (eg, a drooped face, with a improves learned movements. sagging lower eyelid, a sunken cheek, and a drooped corner of the mouth); (2) marked asymmetry with Among the patients who demonstrated abnormal facial voluntary facial movement attempts (eg, little or no movements accompanying the intended voluntary move- ability to initiate facial movements in expressions or ment (synkinesis), we believed the primary neurophysi- facial functions); and (3), rarely, abnormal movements ological problem to be errors in recruitment, as pro- (synkinesis). Facial expressions may be distorted, in our posed by Edgerton et a1,S4 who defined muscle opinion, because the unopposed activity of the unin- dysfunction. Muscle dysfunction represents an atypical volved facial muscles overpowers the muscles of the pattern of muscle activation for an intended motor task, involved side. Typically, these patients have the most reflecting changes in motoneuron re~ruitment.~~These difficulty performing facial functions such as closing the patients improved facial movement when they were eyes, eating and drinking, speaking, or performing oral taught strategies for reducing abnormal movements. hygiene. Marked disfigurement of the face occurs at rest Those strategies included techniques for inhibiting syn- and with voluntary movement, and this disfigurement kinetic muscle activity, isolating the facial muscles for the usually has a major impact on the patients' psychosocial intended movement, and limiting this activity to a level well-being and personal and work-related interactions. at which the abnormal movements did not appear. In this way, the brain has a chance to learn the identity of Treatment tailored for patients in this category consisted the facial neurons and the pattern of facial muscle of active-assisted range-of-motion exercises and practic- activation for intended facial movements and ing facial movements in a small range. The patients were expre~sions."~ instructed to attempt to match the movement of the uninvolved side to the movement limitations of the Patients who demonstrated abnormal, spontaneous involved side, in theory avoiding overpowering the mus- facial muscle activity not directly associated with cle function of the involved side. The patients also intended facial movements (eg, facial muscle spasms and appeared to benefit from education about the usual twitches) improved with interventions designed to process of the recovery of facial movement and function, enhance muscle relaxation. In patients with facial mus- including expected physical signs of recovery.

Physical Therapy . Volume 78 . Number 7 . July 1998 VanSwearingen and Brach . 68 1 facilitation. In this category, there is (1) mild to mod- of the cheek when eating, and speech problems when erate facial asymmetry at rest (eg, a slightly sagging lower speaking quickly. Despite the usually mild resting asym- eyelid, a less obvious cheek fold, a slight droop of the metry and some ability to voluntarily move the face, the corner of the mouth), (2) voluntary initiation of facial involuntary synkinetic movements and the alteration of muscle activity, but voluntary facial movement and facial functions can be socially disfiguring and seriously expressions are mildly to moderately asymmetrical (eg, disruptive to personal and work relations. incomplete facial movements and expressions), and (3) usually little or no synkinesis. The face usually does The treatment we tailored for this category involved not appear to be as severely distorted with voluntary neuromuscular reeducation techniques to help the movement as in the initiation category, with overpower- patients learn to produce isolated muscle contractions, ing by the uninvolved facial musculature being much thus reducing abnormal movement patterns. The goal of less of a problem. There are problems in the physical treatment was for the patients to produce the desired performance of facial functions such as difficulties keep- facial movement patterns without the accompanying Downloaded from https://academic.oup.com/ptj/article/78/7/678/2633301 by guest on 27 September 2021 ing the eye closed for moistening and protection on a synkinetic movements. Once the patients could consis- windy day or when washing the face. Problems with tently produce correct movement patterns of facial eating, drinking, and completing oral hygiene without expressions and functions, we believed that the patients drooling or slobbering are common, but to a lesser were then in the facilitation category and an effort was degree than for the initiation category. The lesser made to increase the excursion of facial movements. For degree of resting and voluntary facial asymmetry and example, if the patients demonstrated symmetrical facial of physical disabilities generally appears to result in movement for a smile at 50% of the maximum smile on less psychosocial distress than is characteristic of the the uninvolved side, then they were encouraged to other 3 categories. increase the intensity of effort to increase the width and breadth of the smile to 75% of maximum, all the while Treatment tailored fbr patients in this category usually aiming for symmetry and without abnormal movements. did not include active-assisted exercises because the Patients in the movement control category may develop patients could initiate the movement. Active exercises a shortening of facial muscles (ie, "tightness") from the and resistive exercises to increase the excursion of facial unintentional overactivation of muscles. Sustained movements are, in our view, most appropriate. Patients stretching exercises of the shortened facial muscle tis- were taught to be accurate in their performance of sues also inay be indicated. exercises and to be aware of some of the typical abnor- mal movements (synkinesis) that may develop with the Relaxation. Individuals with facial movement disorders increasing recovery of movement. in this category demonstrated combinations of marked asymmetry of resting facial posture (similar to the pat- Movement control. Asymmetry at rest varies in this cat- tern of the narrowed eye and pulling of the cheek egory, but some degree of asymmetry in one or more characteristic of the movement control category) and regions of the face is typical. Unlike the "drooped" spontaneous twitching and spasms of the facial muscles, asymmetry of the initiation category, the eye is often increasing in frequency and amplitude with increasing narrowed at rest by a raised lower eyelid, the cheek fold effort to make voluntary facial movements. Although is deepened, and the corner of the mouth is pulled facial movement with maximal voluntary muscle contrac- laterally. The cheek often appears to be raised and tion of the involved side is generally 50% or more than plumped, and the center of the lips (philtrum) can be that of the uninvolved side, the usual voluntary facial shifted laterally toward the involved side of the face. movement may be moderately restricted (eg, slow and Voluntary facial movements and expressions are controlled, as if the patient were hesitant about moving). decreased but not absent, as in the facilitation category. Observers may have the impression that the patient is Unlike the facilitation category, facial movements and unable to contract one or more of the muscles necessary expressions are often distorted by synkinesis (eg, eye for the pattern of movements of a specific facial func- closure with a smile, retraction of the corner of the tion, such as whistling or speaking. The uncontrolled mouth and deepening of the cheek fold with a raise of closing of the eye with ocular spasms makes some the brow). activities unsafe. Hobbies such as sewing, reading, or watching television can be intolerable, and the patient's Physical performance problems are similar in function usual facial expressions are distorted. Psychosocial prob and degree to the facilitation category but, in our view, lems often increase for individuals with facial twitches are different because of mechanisms arising largely from and spasms. These patients spend considerable energy abnormal movement patterns, not weakness. Patients and time trying to control their facial movements, and reported excessive tearing of the eye, difficulty keeping some patients fear that the can return at any time, the eye open when speaking or eating, biting the inside interfering with daily activities.

682 . VanSwearingen and Brach Physical Therapy . Volume 78 . Number 7 . July 1998 The treatment we tailored for patients in the relaxation tion and region on the involved side compared with the category included active and passive exercises to achieve uninvolved side (a measure of symmetry) and (2) by the primary goal of relaxation of the irritable facial rating the presence and relative amount of abnormal motor system. Standard relaxation exercises (originally (synkinetic) movements accompanying the voluntary described by Jacob~on~~)and small rhythmic, alternat- movement and not present on the uninvolved side of ing movements were used to relax the facial muscles. the face. Sustained stretching and cross-friction massage tech- niques were used to reduce passive tissue restrictions. Palpation. Muscles were palpated at rest to locate mus- cle spasms restricting facial motion.94Areas targeted for Classification History and Examination palpation were regions of the face in which attempts at The patients underwent a history and a physical exami- voluntary movements produced fixation of the face or nation to determine their classification into 1 of the 4 movement in a direction opposite of that expected. treatment-based categories. The components of the Frequently, subtle changes in the topography of the face Downloaded from https://academic.oup.com/ptj/article/78/7/678/2633301 by guest on 27 September 2021 examination were divided into 3 main categories: (eg, dimpling of the skin) are seen at rest or during (1) historical information, (2) assessment of resting movement in patients with facial neuromotor disorders, posture (eg, position of face [anatomical landmarks of and these changes are indicative of abnormal muscle the face] under conditions in which no voluntary or activity that may restrict the voluntary motion. For elicited facial muscle activity was occurring) and volun- example, excessive activity of the depressor muscle tary movement tests, and (3) palpation tests focusing on group of the lower lip restricts the elevation of the patterns of restriction of facial muscle activity. corner of the mouth during smiling and results in a characteristic dimpling of the soft tissue of the chin. History. Patients classified into the initiation category Passive tissue restrictions are often present in regions of typically reported food or drink falling from their mouth the synkinetic muscle activity. For example, patients with when eating or a dryness of the eye. Patients classified abnormal cheek muscle contractions with lip move- into the facilitation category reported similar, but ments during speaking or eating will not be able to "puff milder, symptoms. For example, dryness of the eye may out the cheek by filling the cheek with air because the have occurred only if they were outside on a windy day, cheek muscles cannot be elongated to allow for cheek or they may have lost fluids from the mouth when expansion. rinsing the mouth and not necessarily when drinking from a cup. Patients classified into the movement con- Measurements trol category reported symptoms such as the eye closing when they were eating or smiling (often first noted from Impairment. The Facial Grading System (FGS), photographs), tears running from the eye with attempt- designed by Ross et is an observer-based rating scale ing lip movements, and a tendency to "spit" when for measuring facial impairments. Facial impairments in speaking. Incidents of biting the inside of the cheek 3 areas are assessed: (1) resting posture (FGS rest) of the while eating also were described. Patients in the move- eye, the nasolabial (cheek) fold, and the corner of the ment control category often report that the cheek "feels mouth, (2) voluntary movement (FGS movement) for tense" and that all of the symptoms have become worse the facial movements and expressions of forehead wrin- since first recognized. Patients classified into the relax- kle, eye closure, open-mouth smile, snarl, and pucker, ation category generally reported symptoms such as and (3) synkinesis (FGS synkinesis) associated with the pulling of the face, repeated closing of the eye, or voluntary movements tested. Scores for each of the 3 difficulty opening the eye on the involved side. These components of the scale are recorded, and the FGS rest symptonis interrupted or prevented activities such as and FGS movement scores are weighted, multiplying the reading, watching television, sewing, writing, or driving component raw score by a factor of 5 and 4, respectively. a car. The scores on the FGS rest section range from 0 to 20, and the scores on the FGS synkinesis section range from Movement tests used to classify the patients. Patients 0 to 15, with 0 representing no impairment. The scores were observed with their face at rest for changes in on the FGS movement section range from 0 to 100, with symmetry of the face, for evidence of twitches or spasms 100 representing no impairment. A composite total of the facial muscles, and then for symmetry of the face score is calculated as follows: FGS total=FGS with attempted voluntary movements. Patients were movement- FGS rest - FGS synkinesis. Total scores for asked to perform facial movements or expressions and to the FGS range from 0 to 100, with overall higher scores then return to the relaxed state before being requested indicating lesser impairment. to repeat the facial movements or expressions. Move- ments were scored in 2 ways: (1) by rating the presence Ross and colleague^^^ previously reported the construct and amount of facial movement in the expected direc- validity and responsiveness of the FGS for clinically

Physical Therapy . Volume 78 . Number 7 . July 1998 VanSwearingen and Brach . 683 meaningful change in patients with a facial neuromotor Sample disorder. Adequate interrater and intrarater reliability We studied 199 consecutive, ambulatory patients with a also have been determined for the use of the scale to rate facial nerve disorder who were referred for physical the impairment of patients with facial neuromotor dis- therapy evaluation for facial rehabilitation at the Facial orders (intraclass correlation coefficient [ICC(2,1)]1.90 Nerve Center between August 1993 and January 30, and .94, respectively) .22 1997. Demographic information, history of the disorder, results of the physical examination and classification, Disability. The Facial Disability Index (FDI) is a disease- and data obtained from the clinical assessment of specific, self-report questionnaire of facial disability, with impairment and disability were recorded. Patients were physical (FDI physical) and social well-being (FDI social) included in the study if they (1) had a history of a facial sub scale^.^ The FDI was developed and validated for nerve disorder with some residual facial neuromotor disability associated with facial neuromotor disorders to impairment, (2) were 18 years of age or older at the time provide an account of the patient's daily experience of the evaluation, (3) could speak and read English, Downloaded from https://academic.oup.com/ptj/article/78/7/678/2633301 by guest on 27 September 2021 while living with a facial nerve disorder. Five areas of (4) appeared able to follow all instructions for the physical performance are assessed: eating, drinking, physical performance and self-report assessments, and tearing of the eye, speaking, and oral hygiene. Five areas (5) had completed the assessments and had data of social well-being also are assessed: the patient's per- recorded for the history, classification, and assessment ception of peacefulness, irritability, withdrawal, sleeping, measures (impairment and disability measures). One and social activity. Each of the physical function items is hundred fifty-eight patients met the inclusion criteria. scored on a scale of 0 to 5, with the highest score Ten of these patients were subsequently excluded representing no diff~ciulty.Each of the social well-being because the assessment information represented a dif- subscale items is scored on a scale of 0 to 6, with 6 ferent episode of care for a patient already included in representing no limitation in social function. Each sub- the study. The remaining 148 patients with facial neuro- scale score is transformed to a score on a 100-point scale, motor disorders, who had completed the history, classi- with higher scores indicating less limitation of function. fication, and impairment assessment measures, had a The reliability and construct validity of the FDI have mean age of 48.9 years (SD= 16.1, range=20-93). Of been demonstrated for patients with disorders of the this sample, a subset of 114 patients, with a mean age of facial neuromotor system.3n 47.6 years (SD= 16.3, range=20-93), had completed the history classification and both the impairment and dis- The history, the physical examination to determine ability measures. The types of facial neuromotor disor- classification, and the FGS and FDI used to assess the ders, mean ages of the patients, and durations of the outcome of rehabilitation for facial neuromotor disor- disorders prior to the Facial Nerve Center evaluation are ders are typical components of the physical therapy shown in Table 2. evaluation of all patients who agree to evaluation and treatment at the Facial Nerve Center, CORE Network, Validity Limited Liability Corporation, University of Pittsburgh Construct validity was determined by comparing the Medical Center, Pittsburgh, Pa. The examination and distribution of mean values of impairment and disability the FGS are administered by 2 physical therapists who measures with our a priori expectation of the distribu- are experienced in the described assessment and treat- tion of the pattern of scores across the categories. A ment of facial neuromotor disorders. Both of the thera- multivariate analysis of variance (MANOVA) was used to pists had approximately 3 months of continuous experi- determine whether there was an overall difference in ence in the evaluation and treatment of facial and nerve mean scores across the groups.3Vhe MANOVA was disorders prior to the time covered in this report. In followed by univariate analyses and the ScheEi. test to addition, one therapist had 15 years of experience and determine whether the expected differences existed in the other therapist had 3 years of experience in diverse impairment measures for the sample (n= 148) or disabil- areas of practice prior to their involvement in the ity measures for the subset of the sample (n=114) treatment of facial neuromotor disorders. The patients between certain treatment categories. complete the self-report FDI prior to the examination by the physical therapists. The FGS and FDI outcome Construct validity also was determined by looking at the assessment measures are scored and recorded at a later pattern of association of impairment and disability mea- time, after the examination has been completed and the sures indicated by component loadings on 4 factors (ie, treatment initiated. The examination takes approxi- the 4 treatment-based categories) of a confirmatory mately 20 to 30 minutes to complete. principal-components factor analysis (PCFA) with the expected signs and symptoms of each category (n= 114). All statistical analyses for the determination and compar- isons of group means across measures and the factor

684 . VanSwearingen and Brach Physical Therapy . Volume 78 . Number 7 . July 1998 Table 2. Age and Duration of Disorder by Facial Neuromotor Disorder

Age (Y) Duration of Disorder (mo) - - IFacial Neuromotor Disordera n X SD Range X SD Range I Bell palsy" 63 48.6 16.87 22-93 47.3 105.14 0.25-780 Acoustic 27 49.2 15.73 20-79 50.6 77.8 1 0.75-324 Tumorc 17 53.1 16.60 24-79 45.6 7 1 .OO 2-288 Trauma 23 45.4 12.99 25-66 63.6 100.49 0.5-384 Hemifacial spasmd 8 60.5 14.09 36-80 28.0 16.46 0.5-60 Congenital 5 33.3 1 1.64 20-48 303.6 225.63 3-600 Othere 5 46.6 16.32 29-7 3 82.6 65.87 3-1 56 Total group 148 48.9 16.09 20-93 59.0 107.29 0.25-780

"Seconda~ycondition; primary diagnosis at time of visit was facial paralysis for all patients. Downloaded from https://academic.oup.com/ptj/article/78/7/678/2633301 by guest on 27 September 2021 "Includes 3 patients w~thRamsay-Hunt syndrome. ' Other than an acoustic rleuroma (eg, meningioma, parotid gland tumor, primary facial newe tunlor). "Includes 2 patieotf. with . 'Vascular and other (eg, ar-teriovenous nralformation, Arnold-Chiari maIformation, cerebrovascular accident)

analysis were performed using SYSTAT for Windows, kinesis), which patients usually describe as socially unac- Version 5 (1992).* ceptable. We therefore expected the mean FGS synkine- sis score to be greatest for individuals in this category. Construct validity by comparison with impairment and We also expected the mean FDI social well-being score to disability measures. The construct validity of the be lower than for the facilitation category, even though treatment-based categories was determined by compar- we expected that a similar level of facial movement (FGS ing the category assigned by the treating physical thera- movement) and physical function (FDI physical) would pist with the clinical measures of impairment (FCS) and be found. disability (FDI) for the patients in each of the treatment- based categories. We expected that the distribution of In the relaxation category, in which patients often mean scores for the components of the FGS and the FDI demonstrate few resting abnormalities, minimal weak- across the 4 treatment-based categories would demon- ness, and few difficulties in physical function, we strate the characteristics of the key signs and symptoms expected a low mean FGS rest score, a high mean FGS of each category. movement score, and a high mean FDI physical score. We expected to find intermittent spasms and facial We expected that patients classified into the initiation muscle twitching, which occur unpredictably and distort category would have the greatest abnormality in a resting the patient's appearance, seriously disrupting the posture, the least facial movement, and little or no patient's social interactions and feelings of well-being. synkinesis. We expected that physical function would be We expected that these findings would be represented most limited in individuals with this severe lack of facial by the lowest mean FDI social well-being scores. movement, as indicated by the lowest FDI physical mean score of all of the treatment-based categories. Construct validity by confirmatory principal-components factor ana/ysis. To provide further evidence of the We expected that patients classified into the facilitation validity of the treatment-based categories, we performed category would have less severe resting postural abnor- a confirmatory PCFA to determine the correlation malities, mild to moderate weakness, little synkinesis, matrix, with number of factors set to 4 and using varimax and less physical and social disability than individuals in r~tation.~~.~'We expected that 4 factors (corresponding the initiation category. Thus, we expected the mean FGS to the 4 treatment-based categories) would account for rest score to be less, the mean FGS movement score to be the range of patterns of facial neuromotor impairment greater, the FGS synkinesis score minimal, and the FDI and disability of patients with a facial nerve disorder, and physical and social well-being measures to be higher that the factor loadings would represent the key signs than the initiation category mean scores. and symptoms of each of the 4 treatment-based catego- ries, as described. We believe the use of PCFA to confirm The characteristic problem of the movement control the 4 treatment-based categories to be appropriate category is the presence of abnormal movements (syn- because the method accounts for the contribution of the components of impairment and disability to each cate- gory while demonstrating the role of impairments or * SYSTAT lnc, I800 Shcrrnan Ave, Evanston, IL 60201.

Physical Therapy . Volume 78 . Number 7 . July 1998 VanSwearingen and Brach . 685 Table 3. Scores for Impairment and Disability Measures by Treatment-Based Category

Initiation Facilitation Movement Control Relaxation - - .- - Measurea X SD Range X SD Range X SD Range X SD Range

n FGS rest FGS movement FGS synkinesis FGS total n FDI physical FDI social Downloaded from https://academic.oup.com/ptj/article/78/7/678/2633301 by guest on 27 September 2021 "F(;S=Facial Grading Sysreni.?' FDI=Facial Disability Index.:'w 1.owc1 F(;S I-est and F(;S ynkinesis scores indicate beuel. prriormance; highrr FGS rnovernent and total FGS scores indicalr I,rttrr prl-formance. " K.01, cornparr~lwit11 all othrr categories: Scheffe test, df=3,144. ' R.05,inilialion compared with movement control catcgoty; ScheffC trst, iif==J.110. 'R.O.5, movement control ron1parc.d with I-elaxation ratcgoly: ScheE ~rsl,df=5.141 disabilities in certain categories of treatment for facial score=57.2), and only minimal, if any, synkinesis (FGS neuromotor disorders. synkinesis score=1.2). Fewer impairments related to difficulties in physical and social functions involving the Results face were found for the patients in the facilitation The distribution of mean scores for the components of category when compared with the patients in the initia- the FGS measure of facial impairment and the self- tion category. Differences in resting posture and volun- report FDI measure of disability associated with a facial tary movement between the facilitation and initiation neuromotor disorder demonstrated the expected key categories and between the facilitation and movement signs and symptoms of each of the treatment-based control categories for synkinesis were confirmed by the categories (Tab. 3). The results of the MANOVA indi- post hor testing (Tab. 3). cated that, overall, the irrlpairment (Wilk's Lambda=.23; F=31.63; df=9,345; P= .OO) and disability measures were The mean scores for impairment and disability measures different across the treatment-based categories (Wilk's for the patients in the movement control category Lambda=.81; F=3.97; df=6,218; P=.OO). Univariate demonstrated the severity of the predominant problem analyses indicated differences in each impairment and of this category (ie, synkinesis). Patients in the move- disability measure across the treatment-based categories, ment control category had the greatest impairment of except for social disability (Tab. 3). Patients classified synkinesis compared with any of the other categories into the initiation category had the greatest abnormality (mean FGS synkinesis score=6.7). The Scheffi. test of resting posture (mean FGS rest score= 16.7). the least confirmed that synkinesis was greater in this category voluntary facial movement (mean FGS movement than in the other 3 treatment-based categories (Tab. 3). score=32.2), and little to no synkinesis (mean FGS synkinesis score=0.6). Post hoc testing using the Scheffi. Lesser abnormality of resting posture compared with the test for specific between-group differences confirmed initiation and facilitation categories and less synkinesis that patients in the initiation category had the greatest compared with the movement control category were abnormality of resting posture and the least facial move- found for the relaxation category, as was expected. ment (Tab. 3).As we expected, these patients with severe There was a relatively higher degree of facial movement deficits in resting facial posture and voluntary movement and physical function compared with all of the other had the lowest mean FDI physical score (62.7) of categories for the patients in the relaxation category, as patients in any treatment-based category, representing indicated by the distribution of the impairment and the difficulty in physical functions. Differences were disability mean scores. The marked impact of spontane- found only between the initiation and niovement con- ous, unpredictable movements, such as the muscle trol categories. twitching and spasms characteristic of the patients in this category, on social interactions and well-being was con- As we expected, the mean scores fbr impairment and firmed by the most marked social disability of all of the disability for the palients in the facilitation categoly treatment-based categories (corresporlding lo he lowest showed lesser severity of resting facial posture (lower me2un FDI social score=53.2). mean FGS rest score=13.2), fewer deficits in voluntary facial movement (greater mean FGS movement

686 . VanSwearingen and Brach Physical Therapy . Volume 78 . Number 7 . July 1998 Table 4. Confirmatory Principal-Component Factor Analysis of Treatment-Based Categories of Facial Neuromotor Disorders

Factor Loading' Item Initiation Facilitation Movement Control Relaxation

FGS~rest md -0.245 -0.142 0.023 FGS movement 0.367 lzEl -0.089 FGS synkinesis 0.136 0.132 6% -0.034 FDICphysical 0.049 1O1;7231 0 060 FDI social -0.042 0.030 -0 051 Latent root (eigenvalue) 1.067 1.312 1.018 1.273 Percentage of total variance 2 1.34 26.24 20.37 25.47

"Factor loadings from principal-component factor analysis; rotated loadings. Shading indicates the primary contribution of impairment and disability to each Downloaded from https://academic.oup.com/ptj/article/78/7/678/2633301 by guest on 27 September 2021 ~rratrr~ent-basedcategory. " FGS=Fa<:ialGrading Sv~tem."' ' FDI-Facial Disability Index.>"

The cor~firmatory PCFA indicated that 4 factors mining the effectiveness of physical therapy intervention explainecl approximately 93% of the variance of the for these patients. impairment and disability of patients with facial neuro- motor disorders (n= 114).The pattern of factor loadings Facial rehabilitation has often involved many repetitions of the facial impairment and disability measures on the of general facial movement exercises, done with little 4 factors (corresponding to the 4 treatment-based cate- attention to the accuracy of the pattern of muscle activity gories) confirmed a key sign or symptom of each of the or symmetry of the facial movements produced. This categories (Tab. 4). The factor loadings also indicated intervention was often reinforced by electrical stimula- the separability of the treatment-based categories of tion into the same pattern of muscle a~tivity.~-7,11,'2The initiation, facilitation, movement control, and relax- benefits of such approaches to facial rehabilitation have ation, using measures of impairment and disability. Only not been demonstrated; thus, many authors 5.7.42 have factors with latent root values greater than 1, indicating considered physical therapy to be no better than no that the factor represented a considerable component of intervention for the recovery of facial movement and the construct being measured (eg, facial neuromotor function. The ability to tailor the physical therapy treat- disorders), are shown in Table 4. ment for the characteristic impairments and disabilities of the facial neuromotor disorder may not only improve The impairment measure of resting facial posture (FGS outcomes but also provide evidence for the cost- rest) loaded most on the first factor, the initiation effectiveness of physical therapy for facial rehabili- category. The combination of high factor loadings for tation. If physical therapy tailored for the specific movement (FGS movement) and physical disability (FDI treatment-based category improves the accuracy of facial physical) defined the second factor, the facilitation movements in facial functions (eg, eating, speech) category. As we expected, the movement control cate- and expressions, much secondary impairment (eg, eye gory was confirmed by the key role of synkinesis, with the irritation, dental abnormalities), disability (eg, social highest factor loadings for the measure of synkinesis isolation, addiction), and handicap (eg, difficulty return- (FGS synkinesis) on the third factor. The fourth factor, ing to work or personal roles) may be prevented. Some the relaxation category, was indicated by the highest authors have described a link between facial expression, loading fbr social disability (FDI social), the most noted emotion, and depres~ion,~"~~a relationship that sign of the category. The moderate loading of physical may be influenced by the impairment of facial move- disability (FDI physical) on this factor, making the combi- ment patterns as well as the social disability of facial nation of physical and social disability the measures defin- disfiguremen t.233 ing this treatment-based category, is in contrast to the combination of facial movement impairment and physical Validating the treatment-based categories by establishing disability defining the facilitation category (Tab. 4). the construct validity of the categories relative to mea- sures of facial impairment and disability means that the Discussion and Conclusion clinical measures can be used to systematically place The development of a classification system based on patients into treatment categories by use of signs and physical signs and symptoms that enables clinicians to symptoms. place patients with facial neuromotor disorders into treatment-based categories can be a first step in deter-

Physical Therapy . Volume 78 . Number 7 . July 1998 VanSwearingen and Brach . 687 Results of the confirmatory PCFA may appear slightly neuroscience of movement control in a system without different than expected. Physical disability did not load evidence of the usual peripheral feedback (eg, few or no on the factor representing the initiation category as muscle receptors in facial muscle and no joint receptors, expected. Instead, physical disability loaded on the fac- as there are no joints in the face proper)4"4"and by the tor associated with the facilitation category. Resting integration of emotion and movement in facial expres- posture asymmetry may be such a predominant feature sion. The relationship between impairment and disabil- for describing patients in the initiation category that ity is affected by psychological distress in these patients.4i physical disability is not a major component of the subset The combination of problems can be overwhelming to of items that distinguishes this category from the other the therapist (as the problems usually are to the patients treatment-based categories of facial neuromotor disor- themselves) and thereby disrupt or delay clinical deci- ders. In multiple-factor analysis, items are rotated in sion making and implementation of an effective plan of search of the item or pattern of items that best describes physical therapy. The classification system for facial or distinguishes each of the facto~-s.~'In this case, neuromotor disorders described can provide a frame- Downloaded from https://academic.oup.com/ptj/article/78/7/678/2633301 by guest on 27 September 2021 initiation is clearly identified by the resting asymmetry, work for clinical decision making. We have found the and facilitation is identified by the pattern of facial system particularly helpful in educating therapists and movement and physical disability. physical therapist students regarding the care of persons with facial neuromotor disorders. The possibility exists that the factor loadings identified by the confirmatory PCFA represent constructs different Classification into treatment-based categories can also be from the treatment-based categories we defined. We important in establishing the effectiveness of physical ther- believe, however, that the rotated loadings of the PCFA, apy for people with facial neuromotor disorders. Classifica- in light of the unrotated loading solution, support our tion according to treatment-based categories provides a interpretation that the loadings demonstrate the key group of patients with a relatively homogenous set of signs signs and symptoms of each of the categories. The data and symptoms of a facial neuromotor disorder. Testing the for the unrotated loadings (not shown) illustrated the effectiveness of physical therapy, relating the care the greatest factor loadings for resting posture (-.733), patient needs to specific outcomes, helps focus outcome voluntary movement (.841), and physical disability re~earch.~8Such classification allows for controlled clinical (.701) were all on a single factor, the initiation category. trials that can be conducted to compare the effectiveness of physical therapy designed for the patient with that of Of the other 3 factors of the unrotated factor matrix, general exercise treatment approaches to facial rehabilita- synkinesis primarily loaded on one factor, social disability tion. The ability to place patients with facial neuromotor loaded on another factor, and the last factor exhibited a disorders into treatment-based categories presumably can pattern of weak positive component loadings for resting increase the quality of research. posture, movement, and physical disability. The compe nent loadings of the last factor would be consistent with our In summary, the treatment-based classification system original expectations for patients in the facilitation cate- for facial neuromotor disorders appears to be a valid gory to demonstrate less impairment and disability than method of classifying patients based on signs and symp patients in the initiation category. After the varimax rota- toms into 1 of 4 treatment-based categories. The catego- tion, resting posture was the key sign of the initiation ries represent specific patterns of facial impairment and category, and synkinesis was the hallmark of the movement facial disability for the purpose of linking specific pro- control category. The relaxation category was most associ- cesses of care to specific patient outcomes. The classifi- ated with social disability. The facilitation category was cation system is an initial step in establishing the effec- perhaps distinguished by the lack of marked signs of tiveness of tailored treatments performed by physical resting posture, synkinesis, or social disability, in addition therapists in the rehabilitation of patients with facial to the loadings of movement and physical disability. We neuromotor disorders. accepted the rotated factor-matrix solution of the PCFA because the variance explained by each factor was greater and the variation in the contribution of the components of References impairment and disability to any one factor was reduced for I Ekman P. Psychosocial aspects of facial paralysis. In: May M, ed. 771~ the rotated solution.41 ficinl Nmr. New Yor-k, NY: Thierne Medical Publishers Inc; 1986 781-787.

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