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488 R. Speyer
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Actually, in daily practice, most clinicians or speech
therapists will use a variety of treatment strategies
instead of restricting therapy to a single technique.
However, as stated before, it is hard to distinguish the
particular contribution of each intervention in a
behavioural therapy approach that is based on a
combination of different techniques. Still, most of
these studies show statistically significant, positive
therapy effects (Carnaby et al. 2006; Kasprisin et al.
1989; Lin et al. 2003; Prosiegel et al. 2005). But no
blanket answer can be given when trying to determine
whether swallowing therapy is effective or not. Many
questions about the effects of therapy in oropharyngeal dysphagia as applied by speech and language
therapists remain unanswered, and many methodological problems still need to be resolved.
4.2 Methodology in Outcome Studies
An overview of the literature on the effects of
behavioural swallowing therapy in oropharyngeal
dysphagia raises some questions about evidencebased practice in this field. The diverse methodological problems to which many of the outcome studies
attest warrant further attention. First, it is striking that,
despite the great impact on a patient’s quality of life,
relatively few studies have been published on this
subject. Furthermore, among the research that has
been done, there is great diversity in study design and
treatment protocols.
To evaluate treatment outcome, most effect studies
use a limited set of assessment instruments. They
strongly favour videofluoroscopy, which seems to be
the gold standard in effect studies, whereas very few
studies use quality-of-life questionnaires (Speyer et al.
2010). Since correlations between therapy effects as
measured by different assessment tools may differ
greatly, it may be difficult to draw comparisons
between therapy outcome from studies not using
similar tools. But even if studies do use the same
assessment instrument, for example videofluoroscopic
swallowing recording, the choice of outcome parameters, rating procedures, or protocols may differ
considerably. Outcomeparameters maybe restricted to
a single dichotomized variable such as the presence or
absence of aspiration. But they may also consist of
multiple complex temporal and/or spatial variables
measured in digitized videofluoroscopic recordings
using specialized software packages (Clavé et al.
2006). There may be differences in the number of
swallow trials performed, in the bolus consistencies
and bolus volumes, or in the clinical cut-off points
(e.g. wet voice, coughing, aspiration, or unsafe
swallow as judged by the clinician during the videofluoroscopy). Many studies do not explain how the
recordings have been assessed. A single expert or
clinician can make the assessment during a patient’s
visit to an outpatient clinic for dysphagia. But the
assessment could also be performed afterwards by a
panel of blinded expert raters. Using panel ratings,
one can gather information about the intra- and
inter-rater reliability of scoring visuoperceptual
variables in videofluoroscopic or fibre-optic endoscopic recordings of swallowing. The limited
comparability may reflect the diversity of assessment
protocols, in the absence of universal standardization. Furthermore, the frequent use of unvalidated or
unreliable instruments or questionnaires may generate data that can neither be interpreted adequately
nor make any useful contribution to formal assessment. Another issue is the enormous variation in the
duration of therapies as found in the literature. Quite
a few studies claim significant, usually short-term
improvement after a single treatment session,
such as when using postural adjustments or bolus
modification. In contrast, other studies describe long
series of therapy sessions. Very few trials have
described any long-term treatment effects. The
generalizability or comparability of effect data may
be another problem. Treatment techniques that have
been found effective in a specified patient population
may not have the same positive therapy outcome
when applied in a different group of dysphagic
subjects with other etiological problems or patient
characteristics, such as differences in age, severity of
the dysphagic symptoms or underlying diseases, or
motivation for therapy. Some studies use very small
patient populations or restrict the number of therapists involved in treatment, thus introducing bias
when no therapy effects may be found. The absence
of significant therapy effects may be the result of a
noneffective swallowing intervention. But if too few
subjects or therapists have been included, the
absence of clear effects may also be due to an
underpowered study design or a clinician lacking
sufficient expertise. A further methodological issue
concerns blinding of the assessors or raters to the

Behavioural Treatment of Oropharyngeal Dysphagia 489
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pre- and post-treatment data; another concerns the
random allocation of patients to different treatment
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Rheological Aspects of Swallowing
https://t.me/med1917
and Dysphagia
Edmundo Brito-de la Fuente, Olle Ekberg,
and Crı´spulo Gallegos
Contents
1 Introduction.............................................................. 493
2 Rheology Fundamentals.......................................... 494
2.1 Basic Concepts of Rheology ..................................... 494
2.2 Linear Viscoelastic Behaviour .................................. 494
2.3 Nonlinear Viscoelastic Behaviour............................. 497
3 Rheology, Swallowing, and Dysphagia: State
of the Art .................................................................. 500
3.1 Rheology and the Swallowing Process..................... 500
3.2 Rheology in Nutritional-Support-Product Design .... 503
4 Conclusions............................................................... 505
References.......................................................................... 505
E. Brito-de la Fuente (&)
Innovation and Development Centre Clinical Nutrition
and Pharmaceuticals, Science Production and Technology,
Fresenius Kabi Deutschland GmbH,
61440 Oberursel, Germany
e-mail: edmundo.brito@fresenius-kabi.com
O. Ekberg
Department of Clinical Sciences/Medical Radiology,
Shane University Hospital, Lund University,
205 02 Malmö, Sweden
C. Gallegos
Departamento de Ingeniería Química,
Universidad de Huelva,
21071 Huelva, Spain
Abstract
Dysphagia is a combination of symptoms affecting a
person’s ability to swallow. On the other hand,
swallowing is about transferring of liquids and
boluses from the mouth into the stomach. Boluses
may have several solid-like consistencies and drinks
may have different viscosities. Because rheology is
the study of the deformation and flow of matter; the
connection between swallowing and rheology and
thus dysphagia is clear. This rheology science helps
to betterunderstandhowabolusis deformedandthus
flowing during the swallowing process. Knowledge
of the deformability and flow of a bolus is important
to better understand dysphagia, or swallowing
impairment. This chapter is organized as follows.
Section 2 gives a short description of the material
functions or rheological properties. Rheological data
of products used for dysphagiaare used asexamples.
Section 3 focuses on the rheological aspects of oral
processing and bolus transportation. This is followed
for the nutritionalmanagementofdysphagic patients.
The chapter ends with some concluding remarks.
1 Introduction
Eating and drinking are essential activities of humans.
Swallowing is a complex mechanism involving many
muscles and nerves aiming to transport a bolus into the
stomach. Because boluses may have several solid-like
consistencies and drinks may have different viscosities,
rheology is involved. This science helps to better
understand how a bolus is deformed or flows during the
O. Ekberg (ed.), Dysphagia, Medical Radiology. Diagnostic Imaging, DOI: 10.1007/174_2011_362,
Ó Springer-Verlag Berlin Heidelberg 2012
493

494 E. Brito-de la Fuente et al.
https://t.me/med1917
swallowing process. Knowledge of the deformability
and flow of a bolus is important to better understand
dysphagia, or swallowing impairment. This chapter is
organized as follows. Section 2 givesa short description
of the material functions or rheological properties.
Rheological data of products used for dysphagia are
used.Section 3 focusesontherheologicalaspects of oral
processing and bolus transportation. This is followed by
a practical example on how to design new products
for the nutritional management of dysphagic patients.
The chapter ends with some concluding remarks.
2 Rheology Fundamentals
2.1 Basic Concepts of Rheology
‘‘Rheology,’’ a term invented by Prof. Eugene
Bingham of Lafayette College in Easton (PA, USA),
is defined as ‘‘the study of the deformation and flow
of matter’’ (Walters 2010).
It is well accepted that a given material can behave
as a solid or a liquid depending on the timescale of the
deformation process (Gallegos and Walters 2010).
In other words, the mechanical properties of all materials are time-dependent, i.e., they vary with time in
response to an applied load or deformation. This phenomenon is simply a consequence of the second law of
thermodynamics, according to which a portion of the
imparted energy of deformation is always dissipated as
heat by viscousforces even while the rest may be stored
elastically. The dissipation is neither instantaneous nor
infinitely slow and is therefore a rate process. It is this
that renders the physical properties time-dependent
(Emri 2010). THe rheological behavior of materials
ranges from virtually purely elastic (no dissipation) to
virtually purely viscous (instantaneous dissipation),
showing both elasticand viscous propertiesin between.
The behavior of many materials such as puddings for
dysphagia nutritional support typically falls between
the extremes and such materials are defined as viscoelastic. The behavior may be expressed suitably by the
Deborah number, De,the ratio of thecharacteristic time
of the material, k, on which molecular rearrangements
take place and the characteristic time of the deformation process, T (Reiner 1964):
High Deborah numbers correspond to solid-like
behavior and low Deborah numbers correspond to
liquid-like behavior. A material can appear solid-like
either because it has an infinite characteristic time
or because the deformation process is very fast.
One obvious consequence of this is that even mobile
liquid systems with very low characteristic times can
behave like elastic solids when exposed to a very fast
deformation process (viscoelastic liquids). In contrast,
solid-like materials will be able to flow for a time
(viscoelastic solids).
2.2 Linear Viscoelastic Behaviour
Viscoelastic materials possess both viscous and
elastic properties in differing degrees. For a viscoelastic material, internal stresses depend not only of
the instantaneous deformation, but also on the whole
past history of deformation. When a material is
deformed, thermodynamic forces immediately begin
to operate to restore the minimum-energy state.
Movement from the rest state represents storage of
energy. If a material is submitted to deformations or
stresses small enough so that its rheological functions
do not depend on the value of the deformation or
stress, the material response is said to be in the linear
viscoelasticity range (Gallegos and Martínez-Boza
2010).
Consider the function c(t) as representative of some
cause (shear strain) acting on a given material, and the
shear stress, r(t), the effect resulting from this cause
(Dealy and Wissbrun 1995). A variation in shear strain
occurring attime t
at some time later, t, which can be expressed as
G(t-t
) is known as the relaxation function, or the
1
relaxation modulus, which is a property of the material and relates cause and effect. It is a function of the
time delay between cause and effect.
A series of N changes in the shear strain, each
occurring at a different time, will contribute cumulatively to the stress at some later time (Boltzmann
superposition principle). Thus,
will produce a corresponding effect
1
rðtÞ¼Gðt t
Þdcðt1Þ: ð2Þ
1
De ¼
k
: ð1Þ
T
rðtÞ¼ R
i¼1
N
Gðt tiÞdcðtiÞ: ð3Þ

Rheological Aspects of Swallowing and Dysphagia 495
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3
10
G(t): linear viscoelasticity
γ
= 10% = 30%
γ
γ
= 100% = 2 00%
2
10
,t) (Pa)
G(γ
1
10
0
10
-2
10
-1
10
0
10
10
t (s)
γ
γ
= 50% = 80 %
γ
1
2
10
10
Fig. 1 Evolution with time of the linear and nonlinear
relaxation modulus for a selected enteral pudding formulation
If the change in strain occurs continuously, the
sum may be replaced by an integral:
t
Z
rðtÞ¼
Gðt t0Þdcðt0Þ: ð4Þ
1
This linear constitutive equation is appropriate to
describe the behavior of materials subjected to shear
deformation, which is one of the most relevant types of
deformation concerning the food swallowing process.
However, this equation can be generalized for any type
of deformation that can be applied to the material.
To gain information on the influencing function
that relates cause and effect, a number of small strain
experiments are used in rheology. Some of the more
common techniques are stress relaxation, creep, and
sinusoidal oscillations (Ferry 1980; Macosko 1994;
Dealy and Wissbrun 1995; Barnes 2000). Different
experimental methods are used because they may be
more convenient for a particular material or because
they provide data over a particular time range.
2.2.1 Stress Relaxation
Stress relaxation after a step strain is the fundamental
way in which the relaxation modulus is defined.
In this experiment, a sample is suddenly deformed at
a given strain, c
, and the resulting stress is measured
0
as a function of time. The relaxing stress data can be
used to determine G(t):
-4
8x10
-4
7x10
-4
6x10
-4
5x10
-4
4x10
-4
J(t) (Pa)
3x10
-4
2x10
-4
1x10
0
0 100 200 300 400 500
3
Fig. 2 Typical evolution of the creep compliance with the
time (s)
elapsed time, in the linear viscoelasticity region, for a selected
pudding formulation
sðtÞ
GðtÞ¼
: ð5Þ
c
0
The evolution of the linear relaxation modulus for
a selected enteral pudding formulation is presented in
Fig. 1.
Knowledge of the evolution of the linear relaxation
modulus with time is essential to model the nonlinear
viscoelastic behavior of complex fluids, as will be
reviewed in Sect. 2.3.
2.2.2 Creep
Creep experiments are particularly useful for studying
certain practical applications where long times are
involved. In a creep experiment, a constant stress, r
is instantaneously applied on a sample, and the
resulting strain is recorded versus time. The strain
values obtained as a function of time can be used to
calculate the compliance, J(t), as follows:
cðtÞ
JðtÞ¼
: ð6Þ
s
0
A typicalevolutionofthecreepcompliancewithtime
for a selected pudding formulation is shown in Fig. 2.
This creep compliance function is independent of the
shear stress applied in the linear viscoelasticity range.
2.2.3 Small Amplitude Oscillatory Shear
The most common type of test to characterize the
linear viscoelastic behavior of complex fluids is the
small amplitude oscillatory shear.
,
0

496 E. Brito-de la Fuente et al.
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In a similar way to performing relaxation or creep
tests over a range of time, oscillatory tests over a
range of frequencies can be conducted. It is obvious
that short times correspond to high frequencies, and
long times correspond to low frequencies.
In this test, the material is subjected to a simple
shearing deformation by applying a sine-wave-shaped
input of stress or strain (Macosko 1994; Dealy and
Wissbrun 1995;Barnes2000). If a sinusoidal strain
is applied, theshearstrain as afunctionof time isgivenby
where c
cðtÞ¼c
is the strain amplitude and x is the
0
sinðxtÞ; ð7Þ
0
frequency.
By differentiating, one obtains the evolution of
shear rate with time:
_
cðtÞ¼c
x cosðxtÞ¼_c0cosðwtÞ; ð8Þ
0
where_c is the shear rate amplitude.
The resulting stress is measured as a function of
time:
where r
rðtÞ¼r
is the stress amplitude and d is a phase shift,
0
sinðxt þ dÞ; ð9Þ
0
also known as the loss angle.
The stress data can be analyzed by decomposing
the stress wave into two waves of the same frequency,
one in phase with the strain wave (sin xt) and the
other 90° out of phase with this wave (cos xt):
0
r ¼ r
þ r00¼ r0sin xt þ r00cos xt: ð10Þ
Two dynamic moduli can be then defined:
0
r
0
0
G
¼
; ð11Þ
c
0
the elastic, storage, or in-phase modulus, and
00
r
00
0
¼
G
; ð12Þ
c
0
the viscous, loss, or out-of-phase modulus.
The loss tangent is given by
00
tan d ¼
G
; ð13Þ
0
G
3
10
2
10
G', G'' [Pa]
1
10
-2
10
Fig. 3 Evolution of the storage and loss moduli with frequency
for a selected enteral nutrition pudding as a function of ageing
0
G
and G00being its real and imaginary parts,
-1
10
r
0
0
10
ω [rad/s]
¼ G
jj
1
10
; ð14Þ
c
0
2
10
10
respectively:
G
ðxÞ¼G0ðxÞþiG00ðxÞ: ð15Þ
For a purely elastic material, there is no viscous
dissipation, no phase shift, and the loss modulus is
zero. In contrast, there is no energy storage for a
purely viscous liquid, the storage modulus being zero
and the loss angle being 90°.
Typical evolutions of the storage and loss moduli
with frequency for a selected enteral nutrition pudding as a function of ageing are shown in Fig. 3.
Another way to interpret the results obtained from
small amplitude oscillatory shear tests is in terms of a
sinusoidal strain rate. Two new material functions are
then defined:
rðtÞ¼c
:
g0ðxÞcosðxtÞþg00ðxÞsinðxtÞ½; ð16Þ
0
where
00
r
0
¼
g
r
0
0
¼
:
c
sin d ¼
:
c
0
0
00
G
; ð17Þ
x
and
3
In addition, a complex modulus, G*, can be
defined as
0
r
00
g
¼
r
0
0
¼
cos d ¼
:
:
c
c
0
0
0
G
: ð18Þ
x

Rheological Aspects of Swallowing and Dysphagia 497
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The complex viscosity is
g
ðxÞ¼g0ðxÞig00ðxÞð19Þ
and its magnitude is
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
q
r
g
jj
0
0
g
¼
ðÞ2þ g00ðÞ
:
c
0
2
: ð20Þ
The reciprocal of the complex modulus is also
defined as an additional oscillatory material function,
the complex compliance, J*:
J
ðxÞ¼
1
G ðxÞ
0
¼ J
ðxÞþiJ00ðxÞ; ð21Þ
where the real and imaginary components of the
complex compliance are related to those of the
complex modulus by
0
J
ðxÞ¼
02
G
G0ðxÞ
ðxÞþG
; ð22Þ
002
ðxÞ
and
00
J
ðxÞ¼
02
G
G00ðxÞ
ðxÞþG
002
ðxÞ
: ð23Þ
2.2.4 Linear Viscoelastic Behaviour
Modeling
For dispersions with complex microstructure, their
dynamic linear viscoelastic behavior can be described
by a generalized Maxwell model (Mackley et al.
1994; Madiedo and Gallegos 1997a, b):
ðxkiÞ
xk
i
2
; ð24Þ
2
; ð25Þ
2
where G
N
0
G
¼ Geþ
G
is the elastic modulus. This model con-
e
X
G
i
1 þðxkiÞ
i¼1
N
X
00
¼
G
i
1 þðxkiÞ
i¼1
siders a superposition of a series of N independent
relaxation processes, each process having a relaxation time, k
, and a relaxation strength, Gi. The
i
resulting distribution or spectrum of relaxation times
can be used to compare the mechanical behavior of
complex fluids.
On the other hand, in the case of the linear relax-
ation modulus,
N
GðtÞ¼ R
Giexpðt=kiÞ½: ð26Þ
i¼1
However, Madiedo and Gallegos (1997a, b) have
also used a continuous relaxation, or retardation,
spectrum, H(k), to represent the linear viscoelasticity
data of food emulsions, which provides a continuous
function of relaxation times, k, rather than a discrete
set. Thus, the linear relaxation modulus and the
dynamic viscoelasticity functions are now defined as
1
Z
GðtÞ¼
0
G
ðxÞ¼Geþ
HðkÞ expðt=k½dðln kÞ; ð27Þ
1
1
Z
HðkÞ
1
2
x2k
1 þx2k
dðln kÞ; ð28Þ
2
and
1
00
G
ðxÞ¼
Z
HðkÞ
1
xk
1 þx
dðln kÞ: ð29Þ
2
2
k
As the spectra cannot be directly obtained from
experimentation, the problem that generally arises is
the calculation of these spectra from experimental
data for a given linear viscoelasticity function. This,
of course, implies inverting the corresponding integral
equation relating the spectrum with the selected
material function. However, it is well known that the
resolution of these equations is an ill-posed problem,
as small changes in the rheological functions give rise
to strong oscillations in the spectra. For that reason,
many approximation methods have been developed to
perform such calculations (Madiedo and Gallegos
1997a, b).
2.3 Nonlinear Viscoelastic Behaviour
At sufficiently large deformations, many products
for dysphagia nutritional support show nonlinear
viscoelastic characteristics. This behavior is clearly

498 E. Brito-de la Fuente et al.
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observed, for instance, by applying increasing deformation during relaxation tests or by characterizing the
viscous flow behavior of these formulations in a wide
range of shear rates.
Viscosity (Pa s)
2.3.1 Viscous Flow Behaviour
Thus, as a consequence of their complex microstructure, complex fluids (e.g., puddings for dyspha-
Shear stress (Pa)
gia nutritional support) show linear viscoelastic
characteristics at a sufficiently small deformation, and
a non-Newtonian viscous response in a certain range
of shear rates. The flow curve of a non-Newtonian
fluid shows an apparent viscosity, the shear stress
divided by the shear rate, which depends on the flow
conditions, e.g., shear rate, and, sometimes, even on
the kinematic history of the fluid element under
Fig. 4 Log–log plot of the viscous flow behavior of a standard
‘‘structured’’ fluid
Shear rate (s-1)
consideration (see Sect. 2.3.2).
Complex materials may show different types of
non-Newtonian behavior. However, the most common one found in dysphagia nutritional support
products rheology is the shear-thinning behavior. This
viscous response is characterized by a continuous
decrease in the apparent viscosity as the shear rate
increases (Partal and Franco 2010).
However, most shear-thinning fluids with a complex microstructure also exhibit Newtonian regions at
low and high shear rates. The resulting constant viscosity values at very low and high shear rates are
known as the zero-shear-rate-limiting viscosity, g
and the high-shear-rate-limiting viscosity, g
. Thus,
?
2.3.1.1 Ostwald–de Waele or Power-Law Model
The relationship between shear stress and shear rate
(plotted on a log–log scale) for a shear-thinning fluid
can often be approximated by a straight line over a
wide shear rate range (or stress):
n
r ¼ k_c
; ð30Þ
where k is the consistency index and n is the flow
index. Thus, the apparent viscosity for the so-called
power-law (or Ostwald–de Waele) fluid is given by
,
o
n1
g ¼ k_c
: ð31Þ
the apparent viscosity of a shear-thinning fluid
decreases from g
These fluids are known as ‘‘structured fluids’’ because
the shear rate affects the microstructure of the material and their viscous behavior changes according to
the evolution of the microstructure. Data in a sufficiently wide range of shear rates may illustrate this
complete viscous behavior (see Fig. 4).
to g?with increasing shear rate.
o
For n = 1, the fluid shows Newtonian behavior.
For a shear-thinning fluid, the index n ranges from 0
to 1, so the smaller the value of n, the greater is the
degree of shear thinning. The value of k can be
viewed as the value of the apparent viscosity at a
shear rate of unity.
Several equations have been proposed to model the
non-Newtonian flow behavior of food dispersions.
Some of them have a theoretical basis, whereas others
are curve fittings which provide empirical relationships for the shear stress (or apparent viscosity) versus
shear rate curves (Bird et al. 1987; Carreau et al.
1997; Chhabra and Richardson 1999). The more
widely used viscosity models that may represent the
‘‘structured’’ fluid response of these binders are
described next.
2.3.1.2 Sisko’s Model
This three-parameter model predicts a shear-thinning
region at intermediate shear rates and a Newtonian
viscosity, g
where g
, at high shear rates:
?
n1
1
þ k_c
g ¼ g
is a high-shear-rate-limiting viscosity and
?
; ð32Þ
k and n are parameters related to the consistency and
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