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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. Table5–9 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
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