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Swallowing Dysfunction in Patients

Receiving Prolonged Mechanical


Ventilation*
Kenneth Tolep, MD, FCCP; Cathy Leonard Getch, MA; and
Gerard J. Criner, MD, FCCP

Several studies have suggested that swallowing dys swallowing examination were abnormal in 31% of pa
function and pulmonary aspiration occur in patients tients with a neuromuscular disorder and 37% of pa
receiving prolonged ventilation. However, the inci tients without a neuromuscular disorder. MBS/VF was
dence of swallowing dysfunction, its rate of resolution, abnormal in 83% of patients (85% in patients with and
and the sensitivity of tests used to characterize swal 80% in patients without a neuromuscular disorder).
lowing abnormalities are not well defined. The goals of Results of early (<1 month) repeated MB SAT exami
our study were to evaluate swallowing function in this nations usually remained unchanged; however, in a
group of patients by (1) defining the specific swallow small group of patients, later studies (>1 month)
ing abnormalities that occur in this patient population, revealed significant improvement. In 50% of patients
(2) comparing the sensitivity of bedside evaluations to who underwent direct laryngoscopy, important abnor
modified barium swallow with videofluoroscopy (MBS/ malities were found that contributed to swallowing
VF), (3) performing endoscopic evaluation of the up dysfunction. Our data show that patients requiring
per airway to characterize glottic function during prolonged mechanical ventilation have a high inci
swallowing, (4) evaluating the relationship between dence of swallowing abnormalities, regardless of the
swallowing dysfunction and neuromuscular disorders, presence or absence of neuromuscular disorders.
and (5) studying the temporal resolution of swallowing MB SAT and direct laryngoscopy can provide useful
abnormalities. Swallowing function was evaluated in information about laryngeal action and swallowing
35 patients receiving prolonged ventilation (ie, >3 dysfunction, and can facilitate the implementation of
weeks) admitted to a specialized rehabilitation unit corrective actions to prevent respiratory complica
dedicated to the care of patients requiring prolonged tions. (CHEST 1996; 109:167-72)
ventilation. The average age of the 35 patients was
61 15 years. The total duration of intubation at the
time of the initial swallowing evaluation was 29 34 MBSATsmodified barium swallow with videofluoros
days via a cuffed tracheostomy tube and 15 9 days via copy
an endotracheal tube. Neuromuscular disorders were
present in 16 patients (45%). Thirty-four percent of the
patients had at least one swallowing abnormality Key words: long-term ventilation; pulmonary aspiration;
detected by bedside examination. Results of bedside swallowing; tracheostomy

"D ecent studies have suggested that swallowing dys- neuromuscular blocking agents; and an underlying
*-*
function and pulmonary aspiration occur in pa neuromuscular illness. Any or all of these factors may
tients receiving ventilatory support via translaryngeal contribute to the swallowing abnormalities that have
intubation followed by a cuffed tracheostomy tube.1,2 been reported previously.12 Recognition of swallowing
In patients who receive prolonged ventilation (ie, >21 dysfunction in these patients may identify patients at
days), multiple factors maybe present that increase the high risk of pulmonary aspiration, and thereby help to
avoid respiratory complications such as recurrent
prevalence of swallowing dysfunction. These include
the following: glottic injury due to preceding transla pneumonia and atelectasis.
ryngeal intubation; the effect of tracheostomy on The major goal of this study was to define swallow
laryngeal movement; prolonged inactivity of the skel ing function in patients receiving prolonged ventila
etal muscles of the larynx; the use of anxiolytics/ tion. We attempted to do this by the following: (1)
*From the Division of Pulmonary and Critical Care Medicine, defining the specific swallowing abnormalities that
occur in this patient population; (2) comparing the
Department of Medicine, Temple University School of Medicine,
Philadelphia.in
Supported part by a grant from the Health Care Financing Ad sensitivity of bedside evaluations, made byexperienced
ministration (HCFA) 29-P-99401/3/01. speech pathologists, to modified barium swallow with
Manuscript received April 12, 1995; revision accepted June 23.
Dr. Criner, Pulmonary and Critical Care Medi videofluoroscopy (MBSAT); (3) evaluating the rela
Reprint requests:
cine, Parkinson Pavilion 925, Temple University School ofMedicine, tionship between swallowing dysfunction and neuro
3401 N. Broad Street, Philadelphia, PA 19140 muscular disorders; and (4) studying the temporal
CHEST /109 /1 / JANUARY, 1996 167

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Table 1.Redside Evaluation in Patients With Abnormal could tolerate 30 to 60 min of spontaneous unassisted ventilation.
Results of Studies (n=12) During the MBS/VF, patients swallowed three different textures of
material (thin, thick liquids, and semisolid paste) and fluoroscopic
NMD* Present NMD Absent imaging was obtained that was recorded on videotape for detailed
(n=5) (n=7) analysis. All patients were seated upright during the study. Attempts
I-1 I-1 at swallowing were made with the tracheostomy cuff inflated and
Parameters Normal Abnormal Normal Abnormal deflated while subjects breathed spontaneously without ventilatory
Lingual control 35 2 2 support. Parameters that reflected the oral and pharyngeal phases
Palatal elevation 17 0 4 of swallowing {ie, lingual propulsion, swallowing reflex, laryngeal
Swallowing reflex 40
14 elevation) were judged to be normal, mildly, moderately, or severely
abnormal. If tracheal aspiration (penetration of barium-coated
Laryngeal elevation 2 3 4 3 material below the glottis) or abnormalities that increased the risk
Laryngeal control 26 1 3
for delayed, intermittent aspiration (ie, premature spillage, vallec-
Tinted tracheal secretions 4 5
12
ular and pyriform stasis, pharyngeal coating, cricopharyngeal spasm)
*NMD=neuromuscular disorders. were present, they were graded in a similar fashion (Table 2).
Early repeated MBS/VF studies (<1 month after the initial
resolution of swallowing abnormalities. In a subgroup MBS/VF) were performed in nine patients who had abnormal re
sults of initial studies. In a smaller subset of patients (n=5), delayed
of patients, endoscopic evaluation of the upper airway repeated MBS/VF studies (>1 month after the initial MBS/VF)
was performed to better characterize glottic function were performed to evaluate the response to a program of swallow

during swallowing. ing therapy.


Endoscopic evaluation of thein upper airway via flexible fiberop
Methods tic endoscopy was performed ten patients with abnormal results
of initial MBS/VF examinations to further define glottic abnormal
All patients were admitted to a tertiary care, noninvasive respi ities. Topical anesthesia was applied only to the nasal mucosa so that
ratory care unit that is one of four national demonstration sites for laryngeal sensation could be evaluated.
the Health Care Financing Administration Chronic Ventilator
Demonstration Project. Patients admitted to this unit receive Data Analysis
aggressive whole body and respiratory reconditioning. The admis Group data are shown as the means SDs. An unpaired t test was
sion criteria and care plan are outlined in prior publications.3
used to compare the frequency of abnormalities seen on bedside
Thirty-five consecutive ventilator-dependent patients underwent evaluation and MBS/VF between the groups with and without a
a bedside swallowing evaluation performed by an experienced
7 days after they were accepted into the neuromuscular disorder. Patients with underlying neuromuscular
speech pathologist within disorders were examined separately because of the previously
unit. The evaluation included a review of the patient's medical his
tory and an examination of the oral anatomy. Patients were closely reported high association of swallowing abnormalities. An unpaired
t test was used to compare the number of days that a tracheostomy
observed while they swallowed materials of different textures. Six was in place at the time of the MBS/VF between patients with
parameters that reflected the oral and pharyngeal phases of swal normal and abnormal results of studies. A p value less than 0.05 was
lowing were judged to be either normal or abnormal (Table 1). Food
to be swallowed and recovery considered to be significant.
coloring was added to the materials
of tinted trachealsecretions was considered as evidence for aspira
tion.
Results
An MBS/VF was performed on all patients in whom results of the The average age of the 35 patients was 61 15 years;
bedside evaluation were abnormal (n=12) and in 11 patients who 21 were men.The total duration of intubation at the
had normal findings from the bedside evaluation but who were time of the initial swallowing evaluation was 29 34
because of unexplained fevers and/or
suspected of aspiratingabnormalities.
recurrent radiographic The MBS/VF was performed days via a cuffed tracheostomy tube and 15 9 days via
as soon as the patient's clinical condition was stable and the patient an endotracheal tube. Most patients required pro-

Table 2.Findings on Initial MRS/VF in Patients With Abnormal Results of Studies (n=19)
NMD Present NMD Absent
(n=ll) (n=8)
Abnormal Abnormal
Parameters Normal Mild Moderate Severe Normal Mild Moderate Severe

Lingual propulsion 5 2
Premature spillage* 3 4
Swallowing reflex 4 5
Tracheal aspiration* 7 1
Vallecular stasis* 3 2
Pyriform sinus stasis* 3 2
Pharyngeal coating* 4 2
Laryngeal elevation 5 0 0
Cricopharyngeal spasm* 7
*"Normal" indicates that this finding was absent on the study.
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Table 3.Changes Seen on Repeated MBS/VF in Patients Without Neuromuscular Disorders (n-7)
Initial Repeated Study*
Abnormal Abnormal
Parameters Normal Mild Moderate Severe Normal Mild Moderate Severe
Lingual propulsion
Premature spillagef
Swallowing reflex
Tracheal aspiration'
Vallecular stasis1
Pyriform sinus stasis*
Pharyngeal coating*
Laryngeal elevation
*
Average length of time between studies=19ll days.
^"Normal" indicates that this finding was absent on the study.

severe. In the one patient who had only mild abnor tients at the bedside, a greater incidence of abnormal
malities noted on the initial MBSAT, there was no ities in the oral and pharyngeal phases of swallowing
improvement on the repeated MBSAT. Similarly, no has been observed compared with the complaint of
significant improvement was seen in the two patients
with a neuromuscular disorder on the early repeated
dysphagia.and
Ancillary methods such as the tinting of
feedings13 the measurement of thefurther
centration of tracheal secretions6
glucose con
MBSAT. Delayed repeated MBSAT examinations
showed dramatic improvement in two of three patients
may enhance
the sensitivity of bedside evaluations. MBS/VF appears
without a neuromuscular disorder. One patient with to be even more sensitive for the detection of swal
neurofibromatosis ofthe spinal cord had no significant lowingand
dysfunction, and as shown in our study, can be
improvement seen on the delayed repeated MBSAT; safely easily employed patients requiring me
in
however, in a patient with Parkinson's disease, signif chanical ventilation.
icant improvement was seen on the delayed study af The 43% incidence of aspiration detected by
ter levodopa (L-dopa) was given on a regular basis. MBSAT in our study (60% in the patients without a
neuromuscular disorder), is quite similar to the 45%
Laryngoscopy Findings and 50% incidences reported in two other recent
Abnormalities were seen in five often patients who studies.1,2 We believe that although actual aspiration is
underwent direct laryngoscopy. These included the observed in only 50% of patients receiving ventilatory
following:secretions
decreased sensation ofthe vocal cords (n=2); support via a cuffed tracheostomy tube, intermittent
pooled above the vocal cords (n=2); limited
vocal cord motion (n=2); and edema of arytenoids
aspiration likely occurs due to pooling ofmaterial in the
vallecula and pyriform sinuses (Fig 2), especially when
(n=l). In the seven patients without a neuromuscular coupled with an abnormal swallowing reflex. The high
disorder, four had abnormalities detected. The relative incidence of swallowing abnormalities detected by
frequency of the abnormalities was similar in patients
with and without a neuromuscular disorder.
MBSAT in patients considered to have a normal
finding from a bedside examination pointsevenoutwhen the
Discussion problem of relying ontrained
bedside evaluations
Our data show that patients with and without neu
performed by highly speech pathologists. We
believe that bedside evaluation should be considered
romuscular disorders requiring prolonged intubation only a screening procedure to detect gross distur
(translaryngeal followed by tracheostomy) and positive bances of swallowing function.
pressure ventilation have a high incidence of swallow The addition of direct laryngoscopy to the bedside
ing abnormalities. Moreover, the types of swallowing examination allows one to more fully assess hypopha-
abnormalities are complex and more than one type of ryngeal sensation, detect vallecular and pyriform sinus
abnormality is commonly present. Finally,
and direct laryngoscopy can provide useful information
MBSAT pooling, observe hypopharyngeal muscle contraction,
and observe the integrity of epiglottic and vocal cord
about swallowing dysfunction that may help to prevent function. We have found examination of the unanes-
subsequent respiratory complications.
Earlier studies that used dysphagia as a marker of
thetized upper airway via direct laryngoscopy to pro
vide important information while simultaneouslybeing
swallowing dysfunction suggested that swallowing ab
normalities in patients with tracheostomies were as low
well tolerated by the patient. Following visual inspec
tion of the upper airway for edema and pooling of se
as 7%.4 When speech pathologists have evaluated pa cretions in the valleculae or pyriform sinuses, the oral

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Table 3.Changes Seen on Repeated MBS/VF in Patients Without Neuromuscular Disorders (n-7)
Initial Repeated Study*
Abnormal Abnormal
Parameters Normal Mild Moderate Severe Normal Mild Moderate Severe
Lingual propulsion
Premature spillagef
Swallowing reflex
Tracheal aspiration'
Vallecular stasis1
Pyriform sinus stasis*
Pharyngeal coating*
Laryngeal elevation
*
Average length of time between studies=19ll days.
^"Normal" indicates that this finding was absent on the study.

severe. In the one patient who had only mild abnor tients at the bedside, a greater incidence of abnormal
malities noted on the initial MBSAT, there was no ities in the oral and pharyngeal phases of swallowing
improvement on the repeated MBSAT. Similarly, no has been observed compared with the complaint of
significant improvement was seen in the two patients
with a neuromuscular disorder on the early repeated
dysphagia.and
Ancillary methods such as the tinting of
feedings13 the measurement of thefurther
centration of tracheal secretions6
glucose con
MBSAT. Delayed repeated MBSAT examinations
showed dramatic improvement in two of three patients
may enhance
the sensitivity of bedside evaluations. MBS/VF appears
without a neuromuscular disorder. One patient with to be even more sensitive for the detection of swal
neurofibromatosis ofthe spinal cord had no significant lowingand
dysfunction, and as shown in our study, can be
improvement seen on the delayed repeated MBSAT; safely easily employed patients requiring me
in
however, in a patient with Parkinson's disease, signif chanical ventilation.
icant improvement was seen on the delayed study af The 43% incidence of aspiration detected by
ter levodopa (L-dopa) was given on a regular basis. MBSAT in our study (60% in the patients without a
neuromuscular disorder), is quite similar to the 45%
Laryngoscopy Findings and 50% incidences reported in two other recent
Abnormalities were seen in five often patients who studies.1,2 We believe that although actual aspiration is
underwent direct laryngoscopy. These included the observed in only 50% of patients receiving ventilatory
following:secretions
decreased sensation ofthe vocal cords (n=2); support via a cuffed tracheostomy tube, intermittent
pooled above the vocal cords (n=2); limited
vocal cord motion (n=2); and edema of arytenoids
aspiration likely occurs due to pooling ofmaterial in the
vallecula and pyriform sinuses (Fig 2), especially when
(n=l). In the seven patients without a neuromuscular coupled with an abnormal swallowing reflex. The high
disorder, four had abnormalities detected. The relative incidence of swallowing abnormalities detected by
frequency of the abnormalities was similar in patients
with and without a neuromuscular disorder.
MBSAT in patients considered to have a normal
finding from a bedside examination pointsevenoutwhen the
Discussion problem of relying ontrained
bedside evaluations
Our data show that patients with and without neu
performed by highly speech pathologists. We
believe that bedside evaluation should be considered
romuscular disorders requiring prolonged intubation only a screening procedure to detect gross distur
(translaryngeal followed by tracheostomy) and positive bances of swallowing function.
pressure ventilation have a high incidence of swallow The addition of direct laryngoscopy to the bedside
ing abnormalities. Moreover, the types of swallowing examination allows one to more fully assess hypopha-
abnormalities are complex and more than one type of ryngeal sensation, detect vallecular and pyriform sinus
abnormality is commonly present. Finally,
and direct laryngoscopy can provide useful information
MBSAT pooling, observe hypopharyngeal muscle contraction,
and observe the integrity of epiglottic and vocal cord
about swallowing dysfunction that may help to prevent function. We have found examination of the unanes-
subsequent respiratory complications.
Earlier studies that used dysphagia as a marker of
thetized upper airway via direct laryngoscopy to pro
vide important information while simultaneouslybeing
swallowing dysfunction suggested that swallowing ab
normalities in patients with tracheostomies were as low
well tolerated by the patient. Following visual inspec
tion of the upper airway for edema and pooling of se
as 7%.4 When speech pathologists have evaluated pa cretions in the valleculae or pyriform sinuses, the oral

170 Clinical Investigations in Critical Care

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^k,
ship between swallowing function and overall neuro
logic incidence
status in some patients. However, the equally
high of swallowing abnormalities, specifi
cally aspiration, in our patients without a neuromus
cular disorder supports the notion that prolonged
translaryngeal intubation and tracheostomy predispose
to these complications.
Nearly all patients receiving prolonged ventilation
via a tracheostomy have had prior translaryngeal intu
bation. Both translaryngeal intubation and tracheo
stomy affect glottic anatomy and swallowing function.
Fiberoptic laryngoscopy has shown that anatomic ab
normalities such as ulceration of the vocal cords and
laryngeal edema are extremely common in patients
and require weeks
receiving translaryngeal intubation
to resolve.10"12 These anatomic changes maybe severe
enough to compromise the ability of the upper airway
to protect itself during the act of swallowing.11 Laryn
geal spasm has also been reported in these patients,
even in the absence of laryngeal ulcerations or ede
ma.11 Two of our patients were found to have de
creased sensation at the level of the vocal cords. This
has been described in patients and animals who have
had their upper airways bypassed. It is not clear, how
ever, whether the absence of airflow through the vo
cal cords directly results in the reduction of sensation.
A tracheostomy has also been described to limit
swallowing function by either compressing the esoph
Figure 2. Severe stasis shown in the vallecula (arrowhead) and
pyriform sinuses (arrow) in a patient without a neuromuscular dis agus decreasing elevation and anterior displacement
or
order. of the larynx.4 The exact incidence and magnitude of
swallowing dysfunction mediated by the physical pres
ence of a tracheostomy is unknown. However, these
administration of color-tinted water-ice allows one to
visually assess the response of the pharyngeal and la negative effects can be somewhat modified by ensur
ryngeal structures to thermal stimulation. The reduc ing the proper tracheostomy tube size and avoiding
tions in vocal cord sensitivity and vocal cord movement, tracheostomy cuff overinflation. The persistence of
detected with this technique, increased the risk of as swallowing dysfunction patients after decannulation
in
piration in patients with these deficits. and significant improvement in two patients with tra
cheostomy tubes remaining in place illustrate that
Etiology of Swallowing Dysfunction in Ventilated
Patients
mechanical factors related to the presence of a cuffed
tracheostomy tube do not fully explain the pathogen
Many factors could contribute to swallowing dys esis of swallowing dysfunction.
function in patients requiring prolonged ventilation. However, swallowing dysfunction in patients receiv
These factors include the following: acute medical or ing prolonged ventilation may be more related to se
surgical illness; medications used to treat these condi vere illness resulting in skeletal muscle catabolism or
tions; prolonged inactivity of swallowing muscles; agents used to treat critically ill patients (ie, high-dose
injury due to translaryngeal intubation; the tracheo corticosteroids, neuromuscular blocking agents, ami-
stomy tube itself; and underlying neuromuscular dis noglycosides, and general sedatives). In selected pa
orders. Stroke,7 poliomyelitis,8 and Parkinson's dis tients, the requirements for prolonged ventilation via
ease9 all are associated with an increased incidence of airway cannulation may be more a marker of severe
swallowing dysfunction. It is possible that in some of illness rather than a causative factor in the develop
our patients with an underlying neuromuscular dis ment of swallowing dysfunction. In any case, it appears
ease, swallowing abnormalities were primarily related that the requirement for prolonged ventilation via a
to the neurologic condition, rather than intubation, tracheostomy identifies a group of patients at high risk
tracheostomy, or positiveseenpressure ventilation. The for swallowing dysfunction.
dramatic improvement in one patient who was Once identified, the resolution of swallowing dys
treated for parkinsonism illustrates the close relation function in mechanically ventilated patients is uncer-
CHEST /109 / 1 / JANUARY, 1996 171

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tain. Devita and Spierer-Rundback1 suggested that of feeding that avoid the risk of pulmonary aspiration
swallowing abnormalities are transient, but the time may be required in some patients, but most patients
interval between the initial and follow-up MBS/VF can resume oral intake following identification of the
studies was not clearly stated. Our study shows that swallowing abnormality and implementation of cor
even in the absence of a neuromuscular disorder, rective measures.
swallowing abnormalities do not quickly resolve. Re
peated MBSAT at intervals of several months seem to References
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stratesignificant improvement. tients with prolonged intubation or tracheostomy tubes. Crit Care
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105:563-66
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Compensatorythat measures such as selecting a consis
results in the fewest abnormalities
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7 Horner J, Massey MD, Riski JE, et al. Aspiration following stroke:
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in our patients who had mild or moderate abnormal polio syndrome. N Engl J Med 1991; 324:1162-7
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Brain's diseases of the nervous system. London: Oxford Univer
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chanical ventilation via a cuffed tracheostomy tube longed intubation. Chest 1989; 96:877-84
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Dysphagia 1987; 1:113-18
14 Bucholz DW, Bosma JF, Donner MW. Adaptation, compensa
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in this group has not been tinal Radio! 1985; 10:235-39
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clearly defined but is likely to be multifactorial. Routes

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