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- •Contents
- •Preface
- •Acknowledgments
- •Video List
- •Introduction
- •Need for Early Intervention
- •Epidemiology
- •Discussion Questions
- •Study Questions
- •References
- •Biomedical Ethics: Principles and Practices
- •Summary
- •Introduction
- •Central Nervous System
- •Peripheral Nervous System
- •Anatomy of the Swallowing Mechanism
- •The Normal Swallow
- •Cranial Nerves Involved in Swallowing
- •Sphincters
- •Central Neural Control of Swallowing
- •Respiration and Deglutition
- •Summary
- •Discussion Questions
- •Study Questions
- •References
- •Introduction
- •Neurological Disorders
- •Swallowing Disorders Found in Critical Care Patients
- •Esophageal Swallowing Disorders
- •Infectious Diseases
- •Medications and Swallowing Disorders
- •Autoimmune Disorders and Diseases
- •Anterior Cervical Spine Disorders
- •Summary
- •Discussion Questions
- •Study Questions
- •References
- •Introduction
- •Neoplasms
- •Head and Neck Surgery
- •Laryngeal Surgery
- •Skull Base Surgery
- •Tracheotomy
- •Swallowing Disorders Following Radiation Therapy
- •Zenker Diverticulum
- •Summary
- •Discussion Questions
- •Study Questions
- •References
- •Introduction
- •Evidence-Based Practice
- •Multidisciplinary Dysphagia Team
- •Swallowing Screening
- •Clinical Swallow Evaluation
- •Self-Assessments
- •Related Self-Assessments to Dysphagia
- •Summary
- •Discussion Questions
- •Study Questions
- •References
- •Introduction
- •Flexible Endoscopic Evaluation of Swallowing
- •Modified Barium Swallow
- •Modified Barium Swallow, Flexible Endoscopic Evaluation of Swallowing, and Silent Aspiration
- •Manometry and High-Resolution Manometry
- •Tongue Pressure/Strength Measurement
- •Other Instrumental Tests Associated With Swallowing Disorders
- •Summary
- •Discussion Question
- •Study Questions
- •References
- •Introduction
- •Evidence-Based Practice
- •Multidisciplinary Approach to Swallowing Therapy
- •Oral Hygiene
- •Compensatory Swallowing Therapy
- •Rehabilitative Swallowing Therapy
- •Prophylactic Swallowing Therapy for Head and Neck Cancer Survivors
- •Other Swallowing Treatment Methods
- •Summary
- •Discussion Questions
- •Study Questions
- •References
- •Introduction
- •Dietitian and Dysphagia
- •Properties of Liquids and Foods
- •Oral Nutrition and Dysphagia Diets
- •Nonoral Diets
- •Malnutrition and Dehydration
- •Summary
- •Discussion Questions
- •Study Questions
- •References
- •Ethical Considerations
- •Summary
- •Discussion Question
- •Study Questions
- •References
- •Introduction
- •Aging Process Related to Swallowing
- •Changes in Swallowing
- •Nutrition in the Aging Population
- •Dementia
- •Feeding Assistance
- •Introduction
- •Multidisciplinary Care Team
- •Lactation
- •Prematurity
- •Family Goals for Feeding
- •Caring for Diverse Families
- •Weaning
- •Cross-Disciplinary Educational Opportunities
- •Summary
- •Discussion Questions
- •Study Questions
- •References
- •Introduction
- •Etiologies
- •Epidemiology
- •Feeding Versus Swallowing
- •Prematurity
- •Milk to Solids
- •Taking a Case History
- •Intellectual Development
- •Summary
- •Discussion Questions
- •Study Questions
- •References
- •Introduction
- •Swallowing Phases
- •Collaborative Goal Setting
- •Growth Faltering
- •Nonoral Feeding
- •Case Illustrations Within Diagnoses
- •Support for Families
- •Summary
- •Discussion Questions
- •Study Questions
- •References
- •Introduction
- •Diagnosis
- •Instrumentation
- •Personnel
- •Facilities
- •Case Studies From Voice and Swallowing Centers
- •Summary
- •Discussion Questions
- •Study Questions
- •References
- •Glossary
- •Answers to Study Questions
- •Index

132 CLINICAL MANAGEMENT OF SWALLOWING DISORDERS
TABLE 5–5. Critical Components of the Clinical
Case History
The clinician should be prepared to answer the following
questions as a result of conducting a thorough case
history:
1. Is the patient currently eating by mouth or relying on
nonoral feeding?
2. Is there a history of aspiration pneumonia?
3. Was the patient recently hospitalized? If so, for what
reasons?
4. Does the patient have other associated medical
conditions (including past surgery and trauma)?
5. Is the patient thriving or maintaining general health
and nutrition status based on the current diet and
method of eating? Any significant weight loss
recently?
6. What are the patient’s main concerns and
expectations?
7. Any environmental support upon discharge from
hospital (eg, meal preparation, feeding assistance,
training support)?
The clinician should be prepared to answer the following
questions as a result of completing a clinical swallow
examination:
TABLE 5–6. Common Clinical Findings in Dysphagic
Patients
General Health Status
• Weight loss
• Bronchorrhea
• Fluctuating low fever
• Pulmonary infiltrates
• Increased or insufficient oral or pharyngeal
secretions
• Edentulous (lacking teeth)
• Drooling
• Ineffective cough
Behaviors or Observations During Mealtimes
• Resistance to eating or drinking
• Increased time to consume meal
• Changes in taste
• Difficulty in swallowing foods of specific texture
• Complaints of food stuck in throat
• Oral residue
• Multiple swallow patterns
• Coughing or choking during or after swallow
• Wet vocal quality during or after mealtime
1. Is there a risk of aspiration given the present
nutritional status and diet?
2. What is the anatomical and functional status of the
oral mechanism?
3. Should the patient be referred for further evaluation of
their swallowing based on the information gleaned at
the CSE?
4. Is the patient cognitively capable of participating in
instrumental testing and rehabilitation?
5. What changes in the treatment plan should be
anticipated or planned given the outcome of the CSE?
as a team. For those patients with a weak or breathy
voice, a consultation with an otolaryngologist is recommended. The otolaryngologist may perform an
examination of the larynx and vocal folds using a
flexible endoscope.
Cognitive Assessment
Knowing the general cognitive level of the patient
can help clinicians adjust the assessment procedures
and make appropriate recommendations for intervention and environmental adjustments. A cognitive
assessment may be informal or conducted using one
of the validated screening tools. Informal assessment may involve asking questions related to time
and place orientation, ability to follow simple commands, and general attention and alert level while
the clinician was obtaining the case history. MiniMental State Exam (MMSE) and Montreal Cognitive Assessment (MoCA) are 2 commonly used and
validated cognitive screening tests that may also be
used by SLP. The MMSE takes around 8 minutes to
complete, while the MoCA takes around 12 minutes
to complete.
Oral, Pharyngeal, and
Laryngeal Examination
A thorough examination of the oral, laryngeal, and
pharyngeal structures should include an assessment of lip closure, tongue strength and mobility,

5. CLINICAL EVALUATION OF SWALLOWING DISORDERS 133
facial symmetry, voice quality, and volitional cough
strength. Table 5–7, modified from Daniels et al,
52
provides a comprehensive orderly approach to
the oropharyngeal examination. Clinicians, even
those with extensive experience in oral examination, may profit from this structure, as it provides
an orderly approach to assessing muscular function related to the cranial nerves most important for
swallowing.
Prior to the oropharyngeal examination, the
clinician should have a general knowledge of
the patient’s characteristics that may interfere
with parts of the examination. These include the
following:
n Airway
n Cognition/alertness/endurance
n Ability to follow instructions
n Body tone/size/posture/positioning
n Self-feeding potential
Oral Examination
2. Sensation. Assess by light touch of lips,
tongue, and buccal cavity.
3. Structural anatomy. Look for abnormalities of
lips and oral cavity.
4. Range and coordination of movement
n
Jaw — ability to open and close the jaw
n
Lips — labial closure and compression at rest
and during swallowing
n
Tongue — anterior lingual movement may
be assessed by having the patient extend,
lateralize, elevate, and depress the tip and
by having the patient sweep the tongue
from front to back along the roof of the
mouth
n
Velum — movement of the velum, or soft
palate, may be assessed by having the
patient open the mouth and then observing
palatal movement during production of a
sustained /a/ sound
5. Secretions. Note location and amount.
6. Articulation. Screen with sentences or words
containing tongue tip and posterior tongue
consonants (p, t, b, d, th, k, g).
7. Resonance. Note presence of hypernasal
quality.
The oral examination should include assessment of
the range of motion, strength, and sensory function
of all oral structures. Prominent atrophy and fas-
ciculation of the tongue not related to any previous
medical conditions should raise the possibility of
amyotrophic lateral sclerosis.
1. Reflexes and responses
n
The gag reflex includes a head and jaw
extension, rhythmical tongue protrusions,
and pharyngeal contractions in response to
stimulation at the posterior part of the oral
cavity. Recent literature suggests that the
gag reflex may not be important for normal
swallowing to occur.
n
The bite reflex is clamping of the teeth
or up and down movement of the jaw in
response to stimulation of the gum, molar,
or other dental surfaces.
n
The transverse tongue response is a lateral
movement in response to tactile stimulation
at the lateral border of the tongue.
Pharyngeal and Laryngeal Examinations
1. Vocal quality/changes — listen to patient
talking before and after swallowing. Is there a
difference in voice quality?
2. Pitch control/range — a voice without pitch
changes may be indicative of sensory paralysis. Is the pitch of the voice appropriate, and
does the patient have variation in their pitch
range?
3. Breathing — is the patient experiencing
labored breathing or is there an audible noise
associated with inhalation or exhalation?
4. Volitional cough/throat clear — lack of the
ability to cough may suggest poor vocal fold
closure. Can the patient produce a normal
cough and clearing of the throat?
5. Saliva swallow: laryngeal management — does
the patient continue to feel saliva or mucous
in the throat? This may sometimes be a sign
of reflux or a more serious problem called
Zenker diverticulum.

134 CLINICAL MANAGEMENT OF SWALLOWING DISORDERS
TABLE 5–7. The Oropharyngeal Examination for the Clinical Swallow Examination
Name _________________________________ Date ____________________
Diagnosis ______________________________
Mandible (CN V)
Symmetry on Extension __________ Strength __________________
Lips (CN VII)
Symmetry: Rest ________________ Retraction _________________ Protrusion
Strength _______________________
Nonspeech Coordination: Repetitive Movement ___________________ Alternating Movement
Speech Coordination: Repetitive (/p,w/) _________________________ Alternating (/p-w/)
Tongue (CN XII)
Symmetry: Rest ________________ Protrusion _________________ Lateralization
Elevation Yes/No Lateralization Yes/No Fasciculations Yes/No
Strength
Nonspeech Coordination: Repetitive Movement ___________________ Alternating Movement
Alternating Movement (/p^t^k^/)
Multisyllabic Word Repetition (tip top, baseball player, several, caterpillar, emphasize)
Conversation: (speech, voice, coordination characteristics)
Laryngeal Function: Isolated Movement (/i-i-i/ on one breath)
Alternating Movement (/u-i/)
Buccofacial Apraxia: “Blow out the candle” _______________________ “Lick an ice cream cone”
“Lick milk off your top lip” ________ “Sip through a straw” __________ “Kiss a baby”
Velum (CN IX, X XI)
Symmetry: Rest ______________________________ Elevation
Coordination: Repetitive Movement (/a/)
Appearance of Hard Palate
Dentition
Reflexes (CN IX, X, XI)
Gag (Abnormal: Yes/No)
Swallow (Cough: Yes/No)
Voice Change (Yes/No)
Additional Information
c/o Facial Numbness or Tingling: Yes/No ______ Light Touch
Dysphonia: Yes/No (mild, moderate, severe)
Dysarthria: Yes/No (mild, moderate, severe)
Breath Support
Resonance
Volitional Cough (Abnormal: Yes/No)
_____________________________________ ___________________________
Clinician Date
a
Adapted with permission from Daniels, McAdam, Brailey, and Foundas.
52

5. CLINICAL EVALUATION OF SWALLOWING DISORDERS 135
6. Laryngeal elevation — lack of laryngeal
elevation usually suggests a nerve injury
at the laryngeal level. Place your finger on
the thyroid cartilage. Do you feel the larynx
elevate when the patient is asked to swallow?
Trial Swallows
Based on the patient’s input, family input, medical
records, and the severity of the problem, clinicians
will decide whether to proceed to trial swallows. The
final portion of the CSE consists of trial swallows of
water and different food textures. This can be combined with the measurement of oxygen saturation
or auscultation. The clinician should be consistent
in the amount of water to be swallowed. The majority of reports suggest that it is appropriate to begin
with a 5-mL bolus.
can advance to 10- and 20-mL boluses. The fluid
consistencies may be thickened or thinned according to the patient’s performance. A selection of food
textures should also be tested to determine if diet
modification may be necessary for the patient. The
patient’s chewing ability should also be assessed
during trial swallows of different textures; referral to
a dentist may be necessary if chewing difficulties are
related to the jaw and dentition. Laryngeal elevation,
identified by palpation of the thyroid prominence,
should be monitored for each swallow. After each
swallow, the patient is asked to sustain the /a/ vowel
for a few seconds or count from 1 to 5 to determine
if there is wet hoarseness or other drainage in voice
quality. Daniels and her associates
wet hoarseness and a weak cough are 2 signs of
increased risk for aspiration. If aspiration is suspected, the patient should be referred for further
instrumental swallow evaluation. Table 5–8 shows a
list of signs and symptoms that may be observable
during trial swallows.
Cervical Auscultation
Cervical auscultation refers to placing a stethoscope
gently on the lateral aspect of the larynx to listen to
“swallowing sounds” and respiration. Cervical auscultation assesses swallowing-respiration coordination and detection of aspiration and penetration.
27
Depending on the results, one
17
suggest that
53,54
TABLE 5–8. Signs and Symptoms That May Be
Observable During Trial Swallows
The clinician should observe for the following signs
and symptoms while the patient tries foods of different
textures and drinks of different consistencies.
Limited arm movement needing feeding assistance
Poor lips seal with food and drinks leaking from mouth
Poor bolus control
Chewing difficulties
Prolonged oral phase
Nasal regurgitation
No swallow reflex
Incoordination of swallowing reflex
Reduced laryngeal elevation
Cough (before swallow)
Cough (during swallowing)
Cough (after swallow)
Throat clearing
Double/multiple swallows
Gurgly voice after swallow
Shortness of breath
Oral residue after swallow
The sensitivity of using cervical auscultation to
detect aspiration is approximately 85%, with specificity ranging from 56% to 71% across studies.
55
interrater reliability was considered to be poor to
fair across studies. It is suggested that cervical auscultation should only be used in conjunction with
other swallowing tests, instead of using this technique as a screening test to detect aspiration.
Trial Swallows With Pulse Oximetry
Pulse oximetry refers to the monitoring of peripheral blood oxygen saturation level while conducting
trial swallows.
56,57
It aims to identify aspiration based
on the principle that aspiration of food or liquids
will lead to hypoxia and desaturation. Conflicting
results have been reported in the literature. Some
studies have reported that the use of pulse oximetry during trial swallows achieved excellent sensitivity and good specificity for detecting aspiration.
However, a number of other studies reported poor
sensitivity and specificity and found no additional
The
58

136 CLINICAL MANAGEMENT OF SWALLOWING DISORDERS
value in the use of oximetry during clinical swallow
examination.
59,60
Mann Assessment of Swallowing Ability
A noninvasive assessment protocol for quantifying
the severity of swallowing impairment was developed by Mann.
61
This protocol, called the Mann
Assessment of Swallowing Ability (MASA), is a comprehensive clinical examination of oropharyngeal
dysphagia consisting of 24 items. The MASA is one
clinical measure of dysphagia that has demonstrated
strong reliability and has been validated against videofluoroscopic and videoendoscopic swallowing
examinations in several populations. It provides a
numerical score reflecting the severity of dysphagia symptoms and is sensitive to change in patient
performance over time. The 24 items in the MASA
combine to provide a total score and cutoff criteria
for dysphagia and aspiration severity. It is considered simple to use and score.
Functional Oral Intake Scale
The Functional Oral Intake Scale (FOIS) is a validated and reliable scale to describe the current
mode and type of diet intake.
62,63
The scale has
been validated with different populations, including adults with traumatic brain injury, stroke, head
and neck cancer, neurological and neuromuscular
disorders, and children with dysphagia.
64–66
It has
been translated to different languages, including
Chinese, German, Italian, and Persian.
67–70
The current functional diet is described on a 7-point ordinal
scale. Table5–9 shows the descriptors for each level.
Silent Aspiration and the Clinical
Swallow Examination
Silent aspiration is the penetration of food, liquid,
or saliva to the subglottic area without the elicitation of a cough.
The clinician must always be aware of the possibility of silent aspiration. It has been estimated
that the occurrence of silent aspiration may be as
high as 40% in patients with dysphagia, and it is
not generally identifiable during the CSE. However,
TABLE 5–9. Functional Oral Intake Scale
Level 1 Nothing by mouth
Level 2 Tube dependent with minimal attempts of food
or liquid
Level 3 Tube dependent with consistent oral intake of
food or liquid
Level 4 Total oral diet of a single consistency
Level 5 Total oral diet with multiple consistencies
but requiring special preparation or
compensations
Level 6 Total oral diet with multiple consistencies
without special preparation but with specific
food limitations
Level 7 Total oral diet with no restrictions
Adapted from Crary et al.
62
a history of pneumonia, a weak or absent cough,
changes in body temperature after eating, and a
voice that has a “wet hoarse” quality suggest the
possibility of silent aspiration. Additionally, the use
of sensory testing provides an objective test of sensory awareness that may be the best indicator that
the patient is a silent aspirator.
71,72
SUMMARY
Normal swallowing consists of a series of wellcoordinated neuromuscular movements beginning
with placement of a bolus in the mouth. From that
point, bolus transport and bolus awareness become
an integrated neural process. Although originally
thought to be a serial processing pattern, we now
know that the 4 phases of swallowing (described in
detail in Chapter 1) overlap considerably in a parallel processing paradigm. This chapter pointed out
the importance of the clinical assessment and case
history to guide further evaluation of the swallowing complaints. Depending on the types of patient
complaints and by using self-assessment techniques
and case history information, tests may be selected
by one or more specialists involved in the patient’s
care. It should be noted that the diagnosis of swal-

5. CLINICAL EVALUATION OF SWALLOWING DISORDERS 137
lowing disorders extends into many disciplines
and that there is no single gold standard test for all
swallow complaints. Different disciplines may opt
for specific tests based on their initial evaluations.
There has been significant growth in new screening
and diagnostic clinical tools for dysphagia over the
past decade. Some of them remain experimental or
may be extremely costly to use on a regular basis.
Nonetheless, clinicians should be aware of all of
the possible tests for identifying the basis of the
swallowing disorder and how the tests may aid in
treating the problem.
DISCUSSION QUESTIONS
1. Which screening and self-assessment tool
would you use for a patient with (a) physical
disability, (b) myasthenia gravis, (c) pain, and
(d) stroke? Why?
2. If a patient cannot cooperate during the clini-
cal swallow evaluation, what alternatives does
the clinician have to assess patient’s readiness
to swallow?
STUDY QUESTIONS
1. Patient self-assessment in the management of
swallowing disorders has limitations related to
A. The number of tests now available
B. The lack of construct validation of scales or
charts now being used
C. The cognitive condition of the patient
when asked to complete the assessment
D. The length of assessment scales
2. In conducting various clinical screenings of
swallowing function, a false-positive test
A. Is better because it will suggest
conservative treatment procedures
B. Indicates the patient is having problems
that the patient really does not have
C. Suggests that feeding or oral eating should
be stopped due to aspiration
D. Requires another test to verify the results
3. The prerequisites of conducting an oropharyngeal examination are that the
A. Patient has self-reported swallowing
problems
B. Clinician is aware of patient’s
characteristics that may interfere with the
examination
C. Swallowing problems are because of
neurological deficits
D. Patient is on nonoral feeding
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Instrumental Evaluation
of Swallowing Disorders
CHAPTER OUTLINE
Introduction
Flexible Endoscopic Evaluation of Swallowing
Measurement Scales for Flexible Endoscopic
Evaluation of Swallowing
Modified Barium Swallow
Modified Barium Swallow Test Observations
Radiation Safety During Modified Barium Swallow
Measurement Scales for Modified Barium
Swallow
Modified Barium Swallow, Flexible Endoscopic
Evaluation of Swallowing, and Silent Aspiration
Manometry and High-Resolution Manometry
Tongue Pressure/Strength Measurement
Other Instrumental Tests Associated With
Swallowing Disorders
Ultrasound
Electromyography
Magnetic Resonance Imaging
Functional Magnetic Resonance Imaging
Positron Emission Tomography
Esophagram (Barium Swallow)/Upper
Gastrointestinal Series
Computed Tomography
Esophagoscopy
Scintigraphy
Esophageal pH Monitoring
Summary
Discussion Questions
Study Questions
References
Chapter
6
141
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