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American Journal of Infection Control 41 (2013) 149-54

Contents lists available at ScienceDirect

American Journal of Infection Control American Journal of


Infection Control

journal homepage: www.ajicjournal.org

Major article

Effect of oral hygiene interventions on opportunistic pathogens in patients


after stroke
Otto L.T. Lam PhD a, Anne S. McMillan PhD a, Lakshman P. Samaranayake DDS, FHKAM b,
Leonard S.W. Li FRCP, FACRM, FAFRM, FHKCP, FHKAM c, Colman McGrath PhD d, *
a
Oral Rehabilitation 4/F, Prince Philip Dental Hospital, Sai Ying Pun, Hong Kong
b
Faculty Office 6/F, Prince Philip Dental Hospital, Sai Ying Pun, Hong Kong
c
Department of Rehabilitation Medicine, Tung Wah Hospital, Sheung Wan, Hong Kong
d
Periodontology and Public Health 3/F, Prince Philip Dental Hospital, Sai Ying Pun, Hong Kong

Key Words: Background: Despite the role of the oral cavity as a reservoir of opportunistic pathogens for infection in
Mouth patients following stroke, the evaluation of the effects of oral hygiene interventions has been largely
Bacteria neglected.
Methods: This randomized clinical trial included 102 patients undergoing hospital-based rehabilitation
for stroke. Patients were randomized to one of 3 groups: oral hygiene instruction (OHI) only; OHI and
0.2% chlorhexidine mouth rinse twice daily; or OHI, 0.2% chlorhexidine mouth rinse twice daily, and
assisted brushing twice weekly. Oral samples were obtained at baseline and after 3 weeks for detection
of Staphylococcus aureus, aerobic and facultatively anaerobic gram-negative bacilli, and yeasts.
Results: Almost three-quarters (72.8%) of the patients harbored oral anaerobic gram-negative bacilli at
baseline, and more than half had detectable S aureus (56.8%) and yeasts (59.3%). Percentage frequencies
and viable counts of pathogens remained relatively stable during the course of the clinical trial, and no
significant differences were observed among the 3 patient groups.
Conclusions: In our study cohort, there was no significant difference in the effectiveness of the 3 different
oral hygiene interventions on the prevalence or viable counts of oral opportunistic pathogens.
Copyright Ó 2013 by the Association for Professionals in Infection Control and Epidemiology, Inc.
Published by Elsevier Inc. All rights reserved.

Aerobic and facultatively anaerobic gram-negative bacilli primarily to aspiration pneumonia, is associated with a 3-fold
(AGNB), Staphylococcus aureus, and yeasts have been implicated as increased risk of death and is one of the most common poststroke
primary etiologic agents in numerous hospital-acquired infec- sequelae necessitating hospital readmission.25 Poststroke pneu-
tions.1-3 The oral cavity serves as an important reservoir of these monia has been correlated with such factors as mechanical ventila-
opportunistic pathogens in hospitalized and medically compro- tion, dysphagia, drowsiness, impaired protective reflexes, and stroke
mised individuals,4-6 including stroke survivors,7,8 and the oral severity, all of which increase the likelihood of aspiration of oral and
origin of these pathogens has been demonstrated in cases of aspi- oropharyngeal secretions containing respiratory pathogens.26-28 In
ration pneumonia9-13 and bacteremia.14-21 In addition, the oral addition, the presence of such pathogens may be fostered by poor
cavity may serve as a reservoir for cross-infection to other patients oral hygiene conditions in stroke survivors, deficiencies in oral self-
and health care workers.22,23 care caused by cognitive and sensory disturbances in coordination,
Infection is an important cause of death after stroke, with re- as well as stroke-related limb paralysis and its effects on manual
ported rates of chest infections of up to 22%.24 Chest infection, due dexterity.29,30 Indeed, preliminary evidence suggests that oral
hygiene care may play a role in the prevention of pneumonia in
* Address correspondence to Colman McGrath, PhD, Prince Philip Dental Hospital, hospitalized and institutionalized patients.31
Periodontology and Public Health, 3/F, 34 Hospital Road, Sai Ying Pun, Hong Kong. Traditionally, chemoprophylaxis with antibiotics and antifungal
E-mail address: mcgrathc@hkucc.hku.hk (C. McGrath). agents has been the primary intervention for preventing and
Supported by the Committee of Research and Conference Grants of the treating bacterial and yeast infections, respectively. However, recent
University of Hong Kong.
Registered with the Hong Kong Clinical Trial Register (HKCTR-1159) and the US
reports have described the emergence of AGNB and S aureus with
National Institutes of Health (NCT01265043). resistance to multiple antibiotics,32,33 as well as the increasingly
Conflict of interest: None to report. frequent isolation of yeasts resistant to antifungal agents in

0196-6553/$36.00 - Copyright Ó 2013 by the Association for Professionals in Infection Control and Epidemiology, Inc. Published by Elsevier Inc. All rights reserved.
doi:10.1016/j.ajic.2012.02.020
150 O.L.T. Lam et al. / American Journal of Infection Control 41 (2013) 149-54

medically compromised individuals.34 Oral hygiene interventions the MacConkey’s agar (Oxoid Ltd) plates were incubated for 24
may have possible utility as an alternative or complementary hours at 37 C, and the SDA (Oxoid Ltd), CHROMagar, and MSA plates
measure in combating these pathogens. Current evidence on the (Difco Laboratories) were incubated for 48 hours at 37 C. After
effectiveness of oral hygiene interventions remains inconclusive, incubation, plates were evaluated for isolates. Isolates on Mac-
however,35,36 and there is a pressing need for further investigation of Conkey’s agar were presumptively identified as AGNB by colony
the efficacy of these interventions, especially in acute stroke survi- morphology and the Gram stain method. Oxidase-positive isolates
vors, for whom no such studies have been reported. were identified with API 20NE (bioMérieux, Marcy l’Etoile, France),
Thus, the objective of the present study was to evaluate and oxidase-negative isolates were identified with API 20E (bio-
the effectiveness of oral hygiene interventions (ie, oral hygiene Mérieux). Yeasts were presumptively identified based on colony
instruction [OHI], chlorhexidine [CHX] mouth rinse, and assisted morphology on SDA and CHROMagar plates and on Gram stain.
brushing) on oral opportunistic pathogens (i.e., S aureus, AGNB, and Identification to genus and species level was done using ID32C
yeasts) in hospitalized stroke survivors. A secondary objective was (bioMérieux). S aureus was identified through examination of
to monitor the development of pneumonia during the in-hospital colony morphology on MSA plates, Gram stain, the catalase test, and
rehabilitation period. the Slidex Staph Plus Kit (bioMérieux). Imprint cultures on SDA
were used for enumeration of yeast colony-forming units (cfu) only.
PATIENTS AND METHODS Patients’ medical records were examined for medications
received and the development of pneumonia during the clinical
This randomized clinical trial was conducted in a stroke reha- trial. Swallowing disability was assessed using the Royal Brisbane
bilitation ward at Tung Wah Hospital in Hong Kong. Patients were Hospital Outcome Measure for Swallowing.39
previously stabilized for up to 7 days at Queen Mary Hospital before As part of a larger study examining clinical oral health, the initial
being transferred to the rehabilitation ward. Eligibility criteria sample size for each treatment group was 40 patients per group
included moderate to severe stroke (Barthel Index [BI] <70),37 age (120 subjects total) to detect a difference in plaque change score of
50 years, and admission to the stroke rehabilitation ward up to 7 0.3 within and among the 3 groups with 80% power, an anticipated
days earlier. Patients with mild stroke were excluded because they 10% dropout rate, and standard deviation set at 0.40.29 Complete-
had significantly less functional disability compared with those case analysis was performed.40 Within-group comparisons of
with moderate to severe stroke and were usually discharged from median viable counts (cfu per milliliter) at baseline and at the end
the rehabilitation ward within 7-10 days of admission. Other of the clinical trial were performed using the Wilcoxon signed-rank
exclusion criteria included edentulism, communication difficulties, test. Change scores were calculated by subtracting posttreatment
and presence of an indwelling nasogastric feeding tube. scores from pretreatment scores. Change scores were compared
This study was registered with both the Hong Kong Clinical Trial between groups using Kruskal-Wallis one-way analysis of variance
Register (study ID: HKCTR-1159) and US National Institutes of and the Mann-Whitney U test for individual pairwise comparisons.
Health (www.clinicaltrials.gov; study ID: NCT01265043), and ethics The AGNB and S aureus viable counts used for statistical analyses
approval was obtained from the Institutional Review Board of the were those determined from oral rinse samples. The total yeast
University of Hong Kong (reference no. UW 06-380 T/1405). viable counts used for statistical analyses were determined from
Following provision of informed consent and notification of family imprint samples and oral rinse samples plated on SDA. Individual
members and/or primary caregivers, patients were assigned (via yeast family, genus, and species viable counts used for statistical
block randomization and a random number table) to receive 1 of 3 analyses were determined from oral rinse samples plated on
oral hygiene interventions after baseline assessment (Fig 1). This CHROMagar. Within-group comparisons of oral opportunistic
assignment was performed by a research assistant using a color- pathogen prevalence were done using the McNemar test. The c2
coding scheme, and only nursing staff had access to the color- test was used to examine differences between groups in terms of
code key. The principal investigator was blinded to both the color pathogen prevalence (ie, persistence, loss, acquisition, and absence)
labels assigned to the patients and to the color-code key. and pneumonia.
The 3 oral hygiene interventions were (1) OHI, involving Univariate analyses of possible explanatory factors for viable
professional instruction on maintaining good oral hygiene using an counts of AGNB, S aureus, and yeasts were performed via linear
electric toothbrush (Oral-B AdvancePower 400 series; The Procter & regression. Variables with a P value of .25 were entered into
Gamble Company, Cincinnati, OH); (2) OHI and use of a CHX (Cor- a forward Wald multiple linear regression model for determination
sodyl) mouth rinse (0.2%,10 mL) twice daily for a 3-week period; and of significant factors. Likewise, univariate analyses of possible
(3) OHI, use of CHX, and assistance with toothbrushing 2 times per explanatory factors for AGNB, S aureus, and yeast presence were
week for a 3-week period. Professional OHI was provided by also run through logistic regression. An explanatory model was
a registered dentist, and nursing care aides administered the CHX derived by entering variables with a P value of .25 into a logistic
mouth rinse and performed assisted brushing. Certified dental regression analysis.
hygienists provided an oral health training session for nursing aides,
consisting of a lecture (30 minutes) covering basic concepts of oral RESULTS
health and disease, as well as a practical exercise on the adminis-
tration of assisted toothbrushing and the CHX mouth rinse. Approximately three-quarters of the patients harbored oral
Imprint and concentrated oral rinse techniques38 were used to AGNB at both time points. Predominant families of AGNB included
obtain oral microbiological samples from the patients before and Enterobacteriaceae (46.9-54.3%) and Moraxellaceae (49.4%-39.5%).
after interventions at baseline and 3 weeks, respectively. All spec- Within the Enterobacteriaceae, Klebsiella pneumoniae pneumoniae
imens were placed in an icebox after retrieval and transported to and Enterobacter cloacae were the most frequently isolated species,
the laboratory within 4 hours for processing. Denture-wearing with prevalences of 22.2%-38.3% and 17.3-25.9%, respectively. These
subjects removed their prostheses before rinsing. Oral rinse sam- 2 species were also the greatest in number, reaching viable counts
ples were plated onto Sabouraud dextrose agar (SDA; Oxoid Ltd, exceeding 104 cfu/mL. Acinetobacter baumannii was the most
Basingstoke, Hampshire, England), CHROMagar candida (CHRO- prevalent Moraxellaceae species, with frequencies of up to 44.4%. A
Magar, Paris, France), mannitol salt agar (MSA; Difco Laboratories, total of 31 patients (38.3%) presented with identical species of
Detroit, MI), and MacConkey’s agar (Oxoid Ltd). After inoculation, AGNB at both time points. Persistent species included A baumannii
O.L.T. Lam et al. / American Journal of Infection Control 41 (2013) 149-54 151

Table 1
Comparison of oral opportunistic pathogen persistence, loss, acquisition, and absence between groups during the intervention period

Isolation before and after OHI þ CHX þ


Pathogen the intervention period OHI OHI þ CHX assisted brushing P value*
All opportunistic pathogens þþ 21 (84.0) 24 (92.3) 28 (93.3) .53
þ 3 (12.0) 1 (3.8) 0 .07
þ 1 (4.0) 1 (3.8) 1 (3.3) 1.00
 0 0 1 (3.3) .42
AGNB þþ 10 (40.0) 16 (61.5) 21 (70.0) .07
þ 7 (28.0) 3 (11.5) 2 (6.7) .08
þ 6 (24.0) 6 (23.1) 4 (13.3) .54
 2 (8.0) 1 (3.9) 3 (10.0) .77
S aureus þþ 10 (40.0) 7 (26.9) 10 (33.3) .61
þ 6 (24.0) 7 (26.9) 6 (20.0) .83
þ 5 (20.0) 4 (15.4) 5 (16.7) .94
 4 (16.0) 9 (34.6) 9 (30.0) .40
Yeastsy þþ 13 (52.0) 16 (61.5) 15 (50.0) .66
þ 1 (4.0) 1 (3.8) 2 (6.7) 1.00
þ 1 (4.0) 2 (7.7) 4 (13.3) .55
 10 (40.0) 7 (26.9) 9 (30.0) .58

NOTE. þþ indicates persistence over the duration of the intervention period; þ indicates loss over the duration of the intervention period; þ indicates acquisition over the
duration of the intervention period;  indicates absence over the duration of the intervention period.
*c2 test.
y
Prevalence as determined by a combination of oral rinse and imprint methods.

(18 patients), Pseudomonas aeruginosa (1 patient), K pneumoniae significant associations with yeast viable counts (adjusted R2 ¼
pneumoniae (10 patients), Klebsiella oxytoca (1 patient), E cloacae (4 0.314; P < .001) at baseline as well as with AGNB viable counts at
patients), Enterobacter aerogenes (1 patient), Citrobacter koseri (1 the 3-week review (adjusted R2 ¼ 0.102; P ¼ .002). S aureus viable
patient), and Serratia marcescens (1 patient). counts were significantly associated with concurrent yeast viable
S aureus was isolated from 56.8% of patients at baseline and in counts at the 3-week review (adjusted R2 ¼ 0.976; P < .001),
50.6% at the 3-week review. Viable counts exceeded 105 cfu/mL. A whereas yeast viable counts at baseline were significantly associ-
total of 27 patients (33.3%) had detectable S aureus at both time ated with both concurrent AGNB (P < .001) and antibiotic use
points. Among yeasts, Candida albicans was the most commonly during the clinical trial (adjusted R2 ¼ 0.369; P ¼ .007). Denture
isolated species, with frequencies of 46.9% at baseline and 53.1% wearers were 3 times more likely to harbor yeasts (OR ¼ 3.40;
at the 3-week review. Viable yeast counts exceeded 105 cfu/ml. P ¼ .034) at baseline. At the end of the clinical trial, patients with
Forty-two patients (51.9%) presented with identical species of residual swallowing disability (OR ¼ 10.06; P ¼ .048) and yeasts
yeasts at both assessment time points. Persistent species included detected at the baseline assessment (OR ¼ 40.99; P < .001) were
C albicans (34 patients), Candida krusei (1 patient), Candida para- 10 times and 41 times more likely to harbor yeasts, respectively.
psilosis (1 patient), Candida glabrata (8 patients), Candida tropicalis No patient developed pneumonia over the course of the clinical
(2 patients), Candida dubliniensis (5 patients), Saccharomyces cer- trial. Two patients had developed pneumonia before baseline
evisiae (1 patient), Trichosporon asahii (1 patient), Debaryomyces assessment, which subsequently resolved with antibiotic treatment.
polymorphus (1 patient), Cryptococcus laurentii (1 patient), and One patient developed pneumonia after completion of the clinical
Pichia ohmeri (1 patient). A total of 23 patients (28.4%) had AGNB, trial. No patient received topical oral or systemic antifungal medi-
S aureus, and yeasts isolated at both baseline and the 3-week cation before the baseline assessment or during the clinical trial.
review; however, less than half (43.5%) of these patients had all 3
groups of oral opportunistic pathogens at both time points. DISCUSSION
No significant differences in the prevalence of AGNB, S aureus,
and yeasts were found between the 3 patient groups at baseline. No Almost three-quarters of stroke patients harbored oral AGNB at
obvious trends within groups were observed over the course of the baseline. This was higher than the prevalence rates (21.4%-22.9%)
study for these 3 major pathogen groups. The percentages of reported by previous studies in hospitalized stroke survivors in
patients with persistence, loss, acquisition, and absence of oral Hong Kong.7 Given that underlying illness and illness severity have
pathogens during the clinical trial are shown in Table 1. No signif- been proposed as important factors associated with the presence of
icant differences in the major oral pathogens were seen between oral AGNB,41 possible explanations for the higher prevalence of oral
the 3 treatment groups. AGNB in our cohort might be our inclusion of patients with more
The 3 treatment groups demonstrated no significant differences severe stroke, as well as the use of a more sensitive sampling
in median viable colony counts at baseline. In addition, no general method (concentrated oral rinse). More than half of our patients
trends according to intervention type were observed. Total counts had detectable S aureus and yeasts, corroborating previous findings
of all opportunistic pathogens were significantly decreased in the in stroke survivors and other patient groups.7,42,43
OHI group (P ¼ .032). No significant intergroup differences in A baumannii was the predominant AGNB species in the current
changes in oral pathogen counts were found. study, accounting for 61.0% of this pathogen group. This high
Factors subjected to univariate analyses to test for association prevalence of A baumannii is of concern, given this organism’s
with viable counts and prevalence of AGNB, S aureus, and yeasts propensity for prolonged survival in hospital environments,
included gender, swallowing disability, dentures, antibiotic use, increasing drug resistance,44 and status as the only genus of AGNB
nonsteroidal anti-inflammatory drug use, smoking, simvastatin to be consistently associated with the increasing prevalence of
use, BI score, dental plaque score, gingival bleeding score, tooth nosocomial infections, including pneumonias, urinary tract infec-
decay status (DMFT), pathogens at baseline, and other pathogen tions, and surgical site infections, over the past 2 decades in the
groups. Final adjusted models for AGNB viable counts indicated United States.45
152 O.L.T. Lam et al. / American Journal of Infection Control 41 (2013) 149-54

Fig 1. Recruitment of patients into the clinical trial.

Oral hygiene interventions were found to have little effect on therapy has been established as a contributory factor in yeast
oral opportunistic pathogens during the in-hospital rehabilitation colonization of the oral cavity,6 the interactions between AGNB and
period. In general, prevalence rates for the 3 pathogen types and yeast merit further consideration. Although it was possible that
major species remained stable over the course of the clinical trial. illness severity was a common predisposing factor for the increased
The findings observed in the group provided with OHI and electric levels of both AGNB and yeast colonization,41 synergy between
toothbrushes support the results reported by previous studies AGNB and yeasts also might have contributed, as suggested by
demonstrating little impact of mechanical oral hygiene methods on in vitro studies demonstrating coagglutination reactions between
AGNB36 and S aureus,46 whereas results on oral yeasts have been these 2 pathogen groups,48 as well as increased adhesion of C
mixed.35 albicans to epithelial cells preincubated with AGNB.49
The effectiveness of 0.2% CHX mouth rinse against AGNB in other Concurrent yeast viable cell counts were the sole primary
medically compromised patient groups is unclear, with some studies explanatory variable for viable counts of S aureus at the end of the
showing a lack of effect, others showing significant reductions in clinical trial, supporting the results of 2 previous studies reporting
AGNB, and still others reporting increases in this pathogen.36 One high frequencies of coculture of these 2 organisms from the oral
study found that higher CHX concentrations (2% CHX solution applied cavity,50 as well as bloodstream infections.51 Indeed, S aureus and C
to mucosa, 15 mL, 4 times daily) were effective, although application albicans appear to interact synergistically,52 with up to 70,000-fold
was associated with a high frequency of mucosal irritation.36 increases in lethality observed when both species were coinocu-
Few studies using 0.2% CHX against oral S aureus have been lated intraperitoneally into mice.53
published to date. Balfour et al47 reported dramatic clearance rates Our findings do not allow us to draw firm conclusions regarding
of S aureus with the use of 0.2% CHX spray, along with patient the role of the oral hygiene interventions on the absence of pneu-
isolation, CHX body wash, and nasal mupirocin use in their cohort monia, given the omission of a negative control group for ethical
of hospitalized patients. The majority of other studies using lower reasons. Although previous studies on similar stroke subjects in
CHX concentrations, however, have been hindered by low S aureus Hong Kong provided no data on the incidence of pneumonia,7,30
prevalence at baseline or have been of short duration.46 studies conducted in rehabilitative settings in other countries
Previous studies incorporating the use of 0.2% CHX mouth rinses have reported pneumonia rates of up to 11%.54 Therefore, the
in oral hygiene regimens have also reported insignificant effects35; absence of pneumonia in our cohort may have been due to the
however, those studies either had a low prevalence of yeasts at small sample size.
baseline or were of short duration (less than 3 weeks). Other Despite high prevalences of AGNB (72.8%-77.8%) and S aureus
studies using higher (0.5%) or lower (0.12%) CHX concentrations (56.8%-50.6%) over the course of this clinical trial, identical species
over longer periods (2 months or longer) have reported significant of AGNB and persistence of S aureus at both time points was
effects on yeast prevalence and viable counts.35 Thus, the absence demonstrated in only 38.3% and 33.3% of patients, respectively. We
of significant effects on oral opportunistic pathogens in the current did not genotypically evaluate the number of genetically identical
study may have been due to an insufficient frequency of CHX use, persisting strains, which should be considered by future investi-
inadequate CHX concentrations, and/or the short duration of the gators. Thus, the possibility that the strains isolated at the end of
clinical trial. Extending the use of the commercial 0.2% CHX mouth the clinical trial may have been acquired from other sources
rinse in the current clinical trial beyond the manufacturer’s current external to the oral cavity should be borne in mind.
recommendations of twice-daily use (eg, to 4 times daily), or in- Although the patient’s own endogenous flora is acknowledged
house preparation of products containing higher CHX concentra- as the primary source for opportunistic pathogens,55 the role of the
tions for patients during their in-hospital rehabilitation period hospital environment as a reservoir for cross-colonization and
merits consideration in future studies. infection has been increasingly emphasized.56 Pathogens shed from
The lack of effect of the oral hygiene interventions on oral colonized patients may contaminate inanimate hospital surfaces
opportunistic pathogens is interesting in light of an accompanying and the hands of health care workers, which then serve as sources
reduction in dental plaque, especially in the 2 groups receiving the of cross-contamination to other patients. A factor in the survival of
CHX mouth rinse. This finding suggests that dental plaque might AGNB, S aureus, and yeast in the hospital environment is these
not be the primary oral reservoir for such pathogens, which may be organisms’ ability to persist on fomites for prolonged periods.57
able to persist in other niches (eg, mucosal surfaces) even in the Thus, the effectiveness of the oral hygiene interventions might
presence of good oral hygiene. have been compromised by the constant challenge of pathogen
We also examined additional factors possibly associated with acquisition from the hospital environment. One factor that we did
the presence of oral opportunistic pathogens. Although antibiotic not assess in the present study was denture hygiene, although all
O.L.T. Lam et al. / American Journal of Infection Control 41 (2013) 149-54 153

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