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Dysphagia

DOI 10.1007/s00455-014-9584-z

ORIGINAL ARTICLE

Prevalence of Oropharyngeal Dysphagia in the Netherlands:


A Telephone Survey
Berit Kertscher • Renée Speyer • Eric Fong •

Anastasios M. Georgiou • Moira Smith

Received: 27 April 2014 / Accepted: 20 October 2014


Ó Springer Science+Business Media New York 2014

Abstract Recent and specific data on the prevalence and/ telephone, of which, 2,600 (39 %) participated in the study.
or incidence of oropharyngeal dysphagia in the general Of the 2,600 participants, as many as 315 (12.1 %) were
population are scarce. This study focuses on obtaining this identified as having swallowing abnormalities and showed
data by means of a literature review and telephone survey. increased risk of oropharyngeal dysphagia with age.
A literature review was performed to obtain data on the Prevalence data on oropharyngeal dysphagia in the Dutch
prevalence of dysphagia in the general population. Sec- general population were as high as 12.1 %. This data are in
ondly, a quasi-random telephone survey using the func- line with the retrieved prevalence data from the literature.
tional health status questionnaire EAT-10 was conducted
with the aim of establishing prevalence data on oropha- Keywords Oropharyngeal dysphagia  Deglutition 
ryngeal dysphagia in the Netherlands. The literature review Deglutition disorders  Prevalence  General population
revealed six articles which met the inclusion criteria. The
prevalence data on oropharyngeal dysphagia in the general
population varied between 2.3 and 16 %. For the telephone Introduction
survey, a total of 6,700 individuals were contacted by
Swallowing is a complex motor reflex requiring coordination
among the neurological system, the oropharynx, and the
B. Kertscher
esophagus [1]. Dysphagia is a disruption of bolus flow through
RehaA Winterthur, RehaClinic, Zurzach, Switzerland
the mouth, pharynx, and esophagus [2], and oropharyngeal
B. Kertscher (&) dysphagia refers to any abnormality in swallowing physiology
RehaA Winterthur, RehaClinic, Rudolfstrasse 13, of the upper aerodigestive tract [3]. Oropharyngeal dysphagia
8400 Winterthur, Switzerland
(OD) is a common problem and comorbidity among various
e-mail: b.kertscher@rehaclinic.ch
patient groups. Dysphagia can lead not only to dehydration,
R. Speyer  E. Fong  M. Smith malnutrition, and higher risk for pulmonary complications [4,
School of Public Health, Tropical Medicine and Rehabilitation 5] but also to death [6]. Early diagnosis and intervention to
Sciences, James Cook University, Townsville, QLD, Australia
minimize the risks of oropharyngeal dysphagia are considered
R. Speyer to be essential in dysphagia management.
Department of Otorhinolaryngology and Head and Neck In the literature, prevalence and incidence data on oro-
Surgery, Leiden University Medical Center, Leiden, pharyngeal dysphagia are scarce and may vary consider-
The Netherlands
ably: for example, 81 % in stroke patients at the time of
E. Fong initial clinical swallowing evaluation [7], 51 % in patients
Flinders Medical Centre, Bedford Park, SA, Australia with acute first-ever stroke [8] to 51 % in head and neck
cancer patients [9]. Obviously, these data cannot be gen-
A. M. Georgiou
eralized to the general population as all above-mentioned
School of Health & Social Welfare Professionals, Higher
Technological Educational Institute of Peloponnese, Kalamata, studies focus on specified patient populations at risk for
Greece swallowing problems.

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B. Kertscher et al.: Prevalence of Oropharyngeal Dysphagia

Table 1 Search strategies and number of abstracts retrieved in and/or incidence of OD in the general population. Only
PubMed and Embase randomized controlled trials or well-designed clinical trials
Database Literature search strategies NAbstracts were considered, thus excluding for example multiple case
studies. The methodological study quality was assessed, by
PubMed ((‘‘Deglutition’’[Mesh] OR ‘‘Deglutition 2,118
taking the number of participants into account, making sure
Disorders’’[Mesh]) AND
(‘‘Population’’[Mesh] OR ‘‘Population the used questionnaires were either validated or well
Characteristics’’[Mesh] OR ‘‘Community described to insure reproducibility, and the definition of
Health Planning’’[Mesh] OR OD was clearly formulated. All encountered hits until July
‘‘Registries’’[Mesh]) AND 2013 were included in this review. Table 1 shows the
(‘‘Incidence’’[Mesh] OR
‘‘Epidemiology’’[Mesh] OR search strategies used in PubMed and Embase plus the
‘‘epidemiology’’[Subheading] OR retrieved number of abstracts.
‘‘Prevalence’’[Mesh])) OR ((swallow* OR The literature search retrieved 3,017 abstracts: 2,118
dysphag* OR deglut*) AND (prevalence* OR
abstracts from PubMed and 899 abstracts from Embase.
incidence*)) AND ‘‘humans’’[MeSH Terms]
AND English[lang]) AND (‘‘2012/01/ The search in PubMed and Embase combined, produced
0100 [PDAT] : ‘‘2013/07/3100 [PDAT])) 173 double abstracts, which were excluded and brought the
Embase ((swallow* or dysphag* or deglut*) and 899 total of original abstracts to 2,844. Two independent
(prevalence* or incidence*)).mp. [mp = title, reviewers, EF and TG, carried out the abstract selection
abstract, subject headings, heading word, drug and differences of opinion during that process were dis-
trade name, original title, device manufacturer,
drug manufacturer, device trade name, cussed until a consensus was reached. During the process
keyword] limit to (human and English of abstract selection, 2,825 original abstracts were exclu-
language and yr = ’’2012 -Current’’) ded because studies were not published in English; had no
data on prevalence and/or incidence of OD; included
populations other than patients with OD; or were (multiple)
The outcome of prevalence studies highly depends on case study design. Nineteen original articles were consid-
the selected subject populations and the definition of oro- ered for the full-text review, of which 14 articles were later
pharyngeal dysphagia as determined by the use of different excluded. The reasons for article exclusion varied from
assessment tools and outcome variables. In the assessment paucity of data on OD, poster presentation instead of an
of oropharyngeal dysphagia, fiberoptic endoscopy or vid- original manuscript, and to lack of information on OD in
eofluoroscopy of the swallowing act (respectively FEES or the general population. After the reference check for rele-
VFS) are considered to be the gold standard. However, in vant references and citations, one article was added, raising
prevalence studies screening tools are more likely to be the total of included articles to six. Figure 1 shows the
used. The Eating Assessment Tool (EAT-10) by Belafsky complete flow diagram of the abstract reduction process in
et al. [17] is an example of a self-report screening inven- both PubMed and Embase.
tory on functional health status to identify patients at risk
with oropharyngeal dysphagia.
In order to get a better understanding of the magnitude Results
of the prevalence of OD in the general population, the aim
of this study is twofold: (1) a literature review is performed Six articles met all inclusion criteria [10–15]. Chiocca et al.
to extract prevalence data on oropharyngeal dysphagia in [10] assessed the prevalence of gastro-oesophageal reflux
the general population and (2) a telephone survey is con- symptoms in association with atypical symptoms, such as
ducted using the EAT-10 as measuring tool to establish the asthma, dyspepsia, dysphagia, and globus, in Argentina.
prevalence of OD in the Dutch general population. 837 adults participated in this self-reported survey using
the Gastro-oesophageal Reflux Questionnaire (GERQ).
Chiocca et al. found the overall prevalence of dysphagia to
Literature Review be 12.9 % and the prevalence of frequent dysphagia to be
6.5 %. Dysphagia occurred more often in women (17.1 %)
Method compared to men (3.5 %). 6.7 % of the participants,
affected by dysphagia, reported the symptoms to be severe
A systematic literature search of two relevant databases, or very severe. Furthermore, subjects who reported dys-
PubMed and Embase, was performed. Subject headings phagic symptoms stated to also have odynophagia
(MeSH and Thesaurus) and free-text terms were used to (27.9 %), to have dysphagia to solids (57.3 %), to have
search both databases. For inclusion, the manuscript nee- dysphagia to liquids (8.7 %) or to have dysphagia to liquids
ded to be published in English and describe the prevalence and solids (34 %) [10].

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B. Kertscher et al.: Prevalence of Oropharyngeal Dysphagia

Fig. 1 Flow diagram of the 2118 abstracts from PubMed


abstract reduction process in 899 abstracts from Embase
PubMed and Embase - 173 excluded double abstracts
2844 abstracts PubMed + Embase
2825 abstracts excluded at abstract level
• No English publication
• No prevalence data on oropharyngeal
dysphagia
• Patient population without
oropharyngeal dysphagia
• (Multiple) case studies
19 articles included
14 articles excluded at full-text level
• 1 study with paucity of data relating
to oropharyngeal dysphagia
1 article included • 6 original manuscripts not retrieved
from reference check (only abstracts available)
• 7 studies on specific rather than
general population
6 articles in final inclusion

Cho et al. [11] evaluated the prevalence of symptoms of focused on symptoms suggestive of GER and esophageal
gastroesophageal reflux disease (GERD), including (non- motility disorder. A total of 337 adults participated and
obstructive) dysphagia, in a general population. 1,417 10 % reported having dysphagia. 4 % reported having
Korean adults were randomly selected to participate in a social dysphagia which was defined as having difficulty
cross-sectional survey (face-to-face interview). The ques- eating in company [13].
tionnaire included 60 questions of which 29 items focused Watson and Lally [14] aimed to determine the preva-
on gastroesophageal reflux symptoms over the past year. lence of gastroesophageal reflux symptoms, the prevalence
The frequency of dysphagia in the general population was of side effects of anti-reflux surgery, and the consumption
2.3 % [11]. of reflux medication in the wider community. 2,973 ran-
Eslick and Talley [12] aimed to determine the magni- domly selected adolescents and adults participated in the
tude and impact of dysphagia in the general population. survey. Face-to-face interviews revealed the prevalence of
The authors described a randomly selected sample of 672 dysphagia to be 11 % in the general population. 3.5 % of
adults using the Chest Pain Questionnaire (CPQ). The CPQ adults with dysphagia experienced swallowing problems at
was developed to study the epidemiology of chest pain and least once per month, whereas 2.1 % experienced dys-
related disorders, including dysphagia [12]. The partici- phagic symptoms at least two to three times per week [14].
pants were asked if they ‘ever’ experienced dysphagia Ziółkowski et al. [15] assessed the prevalence of
during the past twelve months. The prevalence of dys- digestive tract alarm symptoms, and the readiness levels to
phagia in the general population was 16 % and the severity undergo endoscopic screening for colorectal and other
of dysphagia was most often reported as mild (65 %) fol- gastrointestinal cancers in the general Polish population.
lowed by a moderate severity (30 %). The frequency of Possible alarm symptoms were, for example, persistent
dysphagia symptoms was reported by the participants as: vomiting or dysphagia. 850 randomly selected adults par-
65 % occurring less than once a month, 15 % occurring ticipated in this study. The prevalence of dysphagia in the
once a month, 8 % once a week, 9 % several times a week, general population was found to be 2.5 % [15].
and 1 % as daily. Of the respondents with dysphagia, 29 % All three aforementioned studies [13–15] included ran-
reported pain on swallowing. 8 % of the respondents who domly selected subjects from the general population.
reported dysphagic symptoms indicated problems with However, none of these three studies defined dysphagia.
liquid only, 54 % respondents indicated problems with Therefore, it is not clear whether the term dysphagia is
solid food, and 38 % reported problems with both solid defined as oropharyngeal dysphagia, esophageal dysphagia
food and liquids [12]. All three above-mentioned studies or both types of dysphagia.
[10–12] defined dysphagia as the feeling that food sticks in Analysis of the literature on oropharyngeal dysphagia
the throat or chest. indicates that the prevalence varies between 2.3 and 16 %
Ruth et al. [13] aimed to determine the prevalence and in the general population. There are however limitations in
the severity of symptoms suggestive of esophageal disor- the literature, the prime limitation being the lack of defi-
ders, with particular emphasis on gastroesophageal reflux nition of dysphagia. Table 2 presents a complete overview
(GER), in a general population. The used questionnaire of the included articles and their outcomes.

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B. Kertscher et al.: Prevalence of Oropharyngeal Dysphagia

Table 2 Overview of included studies: study characteristics and outcomes


Authors, Country Sample size general Measurement tool Data Prevalence
Publication year population sampling process collection

Chiocca et al. [10] Argentina N = 839 (M = 373, F = 466) Gastro-oesophageal 1998 12.9 % (95 % CI
Age range 18-80 years questionnaire (GERQ) 10.6–15.2 %)
Consecutive enrollment dysphagia; 3.5 %
(95 % CI 2.2–4.7 %)
frequent dysphagia
Cho et al. [11] South Korea, Asan- N = 1,417 (M = 762, Questionnaire on GERD 2000–2001 2.30 % (95 % CI
si area F = 655) Random selection (14 months) 2.8–14.7 %)
Chungcheongnam- dysphagia
do Province
Eslick and Australia, Nepean N = 672 (M = 323, F = 349) Chest pain questionnaire 10 weeks 16 % (95 % CI
Talley [12] catchment area Random selection (CPQ) 14–20 %) dysphagia
(during the past 12
months)
Ruth et al. [13] Sweden, Gothenburg N = 337 (M = 168, F = 169) Questionnaire on GER 1986 10 % dysphagia; 4 %
Age range 20–79 years and esophageal motility social dysphagia
Random selection disorder
Watson and Australia, Adelaide N = 2,973 (M = 1,277, South Australian spring 2006 10.9 % dysphagia to
Lally [14] F = 1,696) health omnibus survey (4 months) solids; 6.9 %
Random stratified sampling dysphagia to liquids
technique
Ziółkowski Poland, Otwock N = 850 (M = 340, F = 510) Questionnaire on 2002–2009 2.5 % dysphagia
et al. [15] Age range 21–76 years digestive tract
Random selection

Telephone Survey the throat, and coughing while eating. The EAT-10 holds
ten items and is scored by means of a five-point scale with
Method scores ranging from 0 (no problem) to 4 (severe problem).
The score 0 implicates no difficulties in swallowing and the
A telephone survey was conducted to acquire additional score 4 implicates a severe swallowing problem. The
information on the actual prevalence of oropharyngeal maximum total score is 40 points and an EAT-10 score of 3
dysphagia in the Dutch general population. All participants or higher is considered to be abnormal, thus indicating at the
had to be 18 years or older and registered in the telephone swallowing problems [17]. Recent literature, however,
directory of either the city of Groningen, Nijmegen or assessed the accuracy of the EAT-10 for detecting OD by
Rotterdam. Groningen is located in the north of the Neth- determining diagnostic performance with videofluoroscopy
erlands with about 190,000 inhabitants and Nijmegen as reference standard. Rofes et al. [18] showed that reducing
counts approximately 165,000 inhabitants in the east of the the EAT-10 cut-off point from 3 to 2 increases the sensi-
Netherlands. Rotterdam is a major harbor city in the west tivity of the EAT-10 by nearly 5 % without affecting the
of the Netherlands with about 616,500 inhabitants. These specificity, resulting in fewer false-negative cases. Because
three cities are a gross representation for the general Dutch an EAT-10 cut-off score of 2 or higher may be a more
population. This study protocol was approved by the HAN accurate measure to indicate at swallowing problems, this
University of Applied Sciences. study will provide data using both the cut-off points. For the
purpose of this telephone survey, the EAT-10 was translated
Measurement Tool into Dutch by consensus using three dysphagia experts. The
Dutch version of the EAT-10 is not yet validated, but the
The Eating Assessment Tool (EAT-10) by Belafsky et al. psychometric measurement properties of the Dutch version
[17] was used as screening inventory to identify patients at of the EAT-10 are currently under study.
risk for OD during the telephone survey. The EAT-10 is a
self-reporting functional health status questionnaire [16] Procedure
about weight loss, the ability to go out for meals, difficulties
in swallowing liquid or solid consistencies, pain or stressful Five fourth-year speech and language pathology students
swallowing, difficulties in taking pills, food getting stuck in were trained to conduct the telephone survey using a

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a N = 280 N = 542 N = 756 N = 728 N = 294


After the purpose of the telephone call was stated, the
request for participation was accepted and the age of the
participant verified as 18 years or older, further instructions
were given on the EAT-10. Participants were asked to choose
the answer that fitted their situation best by assigning a score
Participants (%)

78.1
to each question. If a participant showed difficulties in
understanding an item, the item was read out again. All
90.2
94.6 95.9 93.5 answers were comprised in a data spreadsheet using SPSS
Dysphagia -
Dysphagia +
version 22.0. Data were only included if the participant fin-
ished the questionnaire and provided answers to all ten items.

21.9
9.8
Results
5.4 4.1 6.5
18-30 31-45 46-60 61-75 > 76
Age groups (Years)
In total, 6,700 persons were contacted by telephone. 2,633
persons (39 %) agreed to participate of which 33 partici-
b N = 280 N = 542 N = 756 N =728 N = 294 pants (1.2 %) were excluded after initial participation due
to the inability to finish the questionnaire. Finally, a total of
2,600 (38.8 %) participants were included in the data ana-
lysis. The age of the participants ranged from 18 years to
97 years with a median age of 55 years (25 % = 42 years;
Participants (%)

73.8 75 % = 67 years). Of the 2,600 people participating in the


89.5 87.6
88.2 93.4 telephone survey, 219 (8.4 %) participants scored a three or
Dysphagia - higher on the EAT-10 questionnaire indicating at swal-
Dysphagia + lowing abnormalities according to Belafsky et al. [17]. The
age of the individuals with a total EAT-10 score of 3 or
higher ranged from 18 to 90 years with a median age of
26.2 65 years (25 % = 53 years; 75 % = 76 years). However,
11.8 6.6 10.5 12.4 using the more conservative cut-off point of 2 or higher by
18-30 31-45 46-60 61-75 > 76 Rofes et al. [18], 315 (12.1 %) of the 2,600 people partic-
Age groups (Years) ipating in the telephone survey should be considered for
further clinical bedside assessment. The age of the indi-
Fig. 2 a Prevalence data (EAT-10 score C3) on oropharyngeal viduals with a total EAT-10 score of two or higher also
dysphagia per age group. Number (in percentage) of participants of
the telephone survey with dysphagia (EAT-10 score C3; NTo-
ranged from 18 to 90 years with a median age of 62 years
tal = 219) and without dysphagia (EAT-10 score \3; NTotal = 2,381)
(25 % = 46 years; 75 % = 75 years). Therefore, the
per age group. b Prevalence data (EAT-10 score C2) on oropharyn- prevalence of OD in the general Dutch population, using the
geal dysphagia per age group. Number (in percentage) of participants EAT-10 as screening tool, was noted to be as high as 12.1 %
of the telephone survey with dysphagia (EAT-10 score C2;
NTotal = 315) and without dysphagia (EAT-10 score \2; NTo-
(315/2,600 participants).
tal = 2,285) per age group
Figure 2 provides a comparison per age group of par-
ticipants with and without OD (Table 3).
standardized protocol. The telephone survey was con- Figures 3a, b present scores per EAT-10 item for par-
ducted from September 2012 until December 2012 on ticipants with OD using a cut-off score of 3 and 2,
weekdays between 5 PM and 8 PM. This particular time respectively. The following four EAT-10 items were most
was chosen because it was thought to be the most likely frequently rated as abnormal: ‘Swallowing pills takes extra
time to reach people at home by telephone. The resource effort’ (33 vs. 48 %); ‘When I swallow food sticks in my
for this telephone survey was the officially printed tele- throat’ (19 vs. 24 %); ‘I cough when I eat’ (13 vs. 26 %);
phone directories of Groningen, Nijmegen, and Rotterdam. ‘Swallowing solids takes extra efforts’ (11 vs. 19 %).
The telephone directories were systematically and alpha-
betically used to call potential participants. The letters Q,
X, and Y were excluded prior to the start of the survey, Discussion and Conclusions
because these letters are the least likely to be found as first
letter of a Dutch last name, and therefore least represen- The literature review on the prevalence of OD in the general
tative for the Dutch general population. population identified six relevant articles. In all of these

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B. Kertscher et al.: Prevalence of Oropharyngeal Dysphagia

Table 3 Prevalence data of oropharyngeal dysphagia


Participants (N) Prevalence OD (95 % Confidence interval)
Cut-off point EAT-10 C 3a Cut-off point EAT-10 C 2b
Pr (N) 95 % CI Pr (N) 95 % CI

Total group (2,600) 8.42 % (219) 7.35–9.49 12.12 % (315) 10.87–13.37


Age group 18–30 years (280) 5.36 % (15) 4.46–6.26 11.79 % (33) 10.47–13.11
Age group 31–45 years (542) 4.06 % (22) 3.27–4.85 6.64 % (36) 5.62–7.66
Age group 46–60 years (756) 6.48 % (49) 5.49–7.47 10.45 % (79) 9.20–11.70
Age group 61–75 years (728) 9.75 % (71) 8.56–10.94 12.36 % (90) 11.01–13.71
Age group [76 years (294) 21.09 % (62) 19.45–22.73 26.19 % (77) 24.39–27.99
a
Belafsky et al. (2008)
b
Rofes et al. (2014)

a 100%
90%
research. Furthermore, the sample sizes in the included
80% studies vary, ranging from 337 participants [13] to 2,973
70% participants [14], and different measuring tools were used of
Score (%)

60% Score 4 (severe) which only three questionnaires are validated [10, 12, 14]. In
50% Score 3 order to make conclusions about the general population,
40% Score 2 large sample sizes are required and validated measuring tools
30% Score 1 (mild) are necessary to avoid bias in the prevalence data retrieved.
20%
None The telephone survey was executed to compliment the
10%
limited data found in the literature review and to gather
0%
1 2 3 4 5 6 7 8 9 10 actual data on the prevalence of OD in the Dutch general
EAT-10 Items population. The sample size of the telephone survey in this
b 100%
study was 2,600 participants, close to the highest end of the
90% given range as found in the literature. The telephone survey
80% was chosen as the method because it is an easily available
70% and low-cost means of reaching the target population.
Score (%)

60% Score 4 (severe) However, a telephone survey may also hold sources of bias
50% Score 3 that need to be taken into consideration when interpreting
40% Score 2 the data. Firstly, the telephone survey was conducted
30% Score 1 (mild) between 5 PM and 8 PM. If the telephone survey had taken
20%
None place in the morning or early afternoon the results may
10%
0% have varied, because people participating in the workforce
1 2 3 4 5 6 7 8 9 10
are less likely to be home at that time. Secondly, some of
EAT-10 Items
the elderly population may be unable to answer the phone
Fig. 3 a Scores (C3) [17] per EAT-10 item (%) for participants with
or may have moved to a nursing home, and therefore their
oropharyngeal dysphagia (NTotal = 219). b Scores (C2) [18] per entry in the telephone directory could be outdated. Thirdly,
EAT-10 item (%) for participants with oropharyngeal dysphagia the younger generations are more likely to use cell phones
(NTotal = 315). EAT-10 items: 1 My swallowing problem has caused instead of landlines, and therefore may not have an entry in
me to lose weight; 2 My swallowing problem interferes with my
ability to go out for meals; 3 Swallowing liquids takes extra effort; 4
the telephone directory.
Swallowing solids takes extra effort; 5 Swallowing pills takes extra For the telephone survey, the EAT-10 questionnaire by
effort; 6 Swallowing is painful; 7 The pleasure of eating is affected by Belafsky et al. was used, because it is an efficient and
my swallowing; 8 When I swallow food sticks in my throat; 9 I cough validated screening tool for identification of individuals at
when I eat; and 10 Swallowing is stressful
risk of swallowing problems. The choice to include data
articles, it is unclear whether the term dysphagia is defined as based on the EAT-10 cut-off score provided by Rofes et al.,
oropharyngeal dysphagia, esophageal dysphagia or both was based on the fact that a gold standard for detecting OD
types of dysphagia. Future studies need less ambiguous ter- (VFS) was used in the validation process as a reference
minology in order to allow more effective comparison of test. The use of a gold standard provides a strong argument

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B. Kertscher et al.: Prevalence of Oropharyngeal Dysphagia

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