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Background and Purpose—The objective of the present study was to investigate the neural mechanisms of dysphagia in
suprabulbar palsy (SBP) with multiple lacunar infarct.
Methods—We evaluated the swallowing disorders of patients with SBP (n⫽34) and age-matched healthy control subjects
(n⫽35) by means of an electrophysiological method that recorded the oropharyngeal swallowing patterns. With this
method, dysphagia limit, the triggering of voluntarily initiated swallows, duration of laryngeal relocation time, and total
duration of oropharyngeal swallowing were recorded and measured. In addition, the EMG behavior of the
cricopharyngeal (CP) muscle of the upper esophageal sphincter was also assessed.
Results—In patients with SBP, the dysphagia limit in all except 1 patient was pathological with limits of ⬍20-mL bolus
volume, which is contrary to normal subjects, in whom the dysphagia limit exceeds the 20-mL bolus volume. Either
triggering of swallowing reflex was delayed (P⬍0.04), or the swallow could hardly be triggered in 7 patients on the
voluntary attempts for 3 mL water. Whenever the reflex swallowing could be triggered, it was slow and prolonged
(P⬍0.01). The CP muscle of the upper esophageal sphincter appeared to have become hyperreflexic and incoordinated
with laryngeal movements during swallowing.
Conclusions—It was proposed that the progressive involvement of the excitatory and inhibitory corticobulbar fiber systems
linked with the bulbar swallowing center is mainly responsible for the triggering difficulties of the swallowing reflex
and for the hyperreflexic/incoordinated nature of the CP sphincter. In addition, the dysfunction of the extrapyramidal
system has a specific role in the slowing of oropharyngeal swallowing and the accumulation of saliva in the mouth.
(Stroke. 2000;31:1370-1376.)
Key Words: dysphagia 䡲 electromyography 䡲 lacunar infarction 䡲 paralysis, bulbar 䡲 pharyngeal muscles
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Received October 16, 1999; final revision received March 9, 2000; accepted March 9, 2000.
From the Departments of Neurology (C.E., I.A., S.T., N.K.) and Clinical Neurophysiology (C.E., I.A.), Medical School Hospital, Ege University,
Bornova, Izmir, Turkey; and Department of Biomedical Sciences (A.B.T.), University of Sydney, Sydney, Australia.
Correspondence to Prof Dr Cumhur Ertekin, Nilhan Apt, 1357 Sok No: 1 D: 10, Alsancak, Izmir, Turkey. E-mail erteker@unimedya.net.tr or
neuron@med.ege.edu.tr
© 2000 American Heart Association, Inc.
Stroke is available at http://www.strokeaha.org
1370
Ertekin et al Dysphagia in Suprabulbar Palsy 1371
average duration of SBP since the onset of incident was 36 months initiation of the reflex phase of swallowing and therefore is presum-
and ranged from 1 month to 9 years. Clinical symptoms and ably associated with the triggering of swallowing reflex.13,14
dysphagia were stable in 13 patients, had shown some improvement To investigate the “piecemeal deglutition”15 and dysphagia limit,
in 3, and were clinically progressive in the remaining 18 patients. In an identical recording procedure was used9,16,17 with the sweep
11 patients, there was a history of only 1 previous cerebrovascular duration set at 10 seconds and the delay line set at 2 seconds. All
attack, but in the remaining 23 patients, there had been 2 or more subjects were given 1, 3, 5, 10, 15, and 20 mL water, and for each
previous attacks. The clinical signs and symptoms associated with volume, the oscilloscopic traces were initiated at the examiner’s
dysphagia are documented in Results. For the 35 age-matched command to “swallow.” During these long sweeps, the laryngeal
control subjects, the mean age was 59.6 and ranged from 30 to 75 sensor signals and the integrated SM-EMG activity were collected at
years. the beginning of the sweep, immediately after the command to
Clinically, the degree of dysphagia was graded9 as follows: 1 swallow. Normally, with volumes up to of 20 mL, all material could
indicates no clinical signs and symptoms of dysphagia; 2, very mild be swallowed in 1 attempt, as seen in the early segments of
dysphagia suspected from clinical examination, but the patient never 8-second-long traces. However, when the amount of water exceeded
complained of any swallowing difficulty; 3, patient had complaints 20 mL, piecemeal deglutition was usually observed. Any duplication
of dysphagia that were supported by other clinical signs, but nonoral or multiplication of a swallowing attempt with ⱕ20 mL water within
feeding was not necessary at the time of investigation; and 4, patient the 8-second period after the first swallow was designated as the
had distinct clinical signs and symptoms of dysphagia, including “dysphagia limit” and regarded as pathological.
aspiration, and dysphagia was sufficiently severe to necessitate
nonoral feeding. Statistical Analysis
The electrophysiological methods used in the present study were Levene’s F test was used for ANOVA between the patient and
previously described in detail.10 In brief, during swallowing, the control subject groups. The mean and SEM values were calculated
EMG activity was recorded on an EMG apparatus (Medelec MS-20) for all quantities measured, and the Student’s t test was performed to
by means of bipolar silver-chloride EEG electrodes taped under the
assess the differences in swallowing-related variables between the
chin over the mylohyoid-geniohyoid-anterior digastric muscle com-
groups. The Mann-Whitney U test was used for comparison of
plex (referred to as the submental EMG, or SM-EMG). The EMG
nonnormally distributed data. A value of P⬍0.05 was considered to
signals were filtered (band pass 100 Hz to 10 KHz), amplified,
indicate a significant difference.
rectified, and integrated. For the detection of laryngeal upward and
The study was approved by the ethics committee of our university
downward movements, a mechanical sensor that consisted of a
hospital, and an informed consent was obtained from each
simple piezoelectric wafer with a small rubber bulge affixed to it at
participant.
its center was placed on the coniotomy region between the cricoid
and thyroid cartilages on the midline.11 The output from the sensor
was fed into a separate channel of the EMG apparatus before being Results
amplified and band filtered (band pass 0.01 to 20 Hz). During each Clinical Findings Associated With Dysphagia
swallow, the sensor gave 2 deflections of generally opposing
polarity. The first deflection was used to trigger the delay line In 34 patients with SBP, clinical assessment revealed that the
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circuity of the recording apparatus, so that all signals related to degree of dysphagia varied among patients and that the signs
swallowing were time locked to the same instant. and symptoms could be divided into several major categories.
In 19 patients (15 men and 4 women, age range 32 to 75 years) and The most common complaints and the clinical findings
21 control subjects (10 men and 11 women, age range 30 to 75
associated with dysphagia are summarized in Table 1.
years), in addition to the SM-EMG, the EMG activity of the
cricopharyngeal (CP) muscle of the upper esophageal sphincter was Clinical assessment of patients suggested that in 7 patients
recorded. The CP-EMG was obtained with a concentric needle (20.6%), in whom nonoral feeding by means such as naso-
electrode (Medelec disposable needle electrode DMC-37) that was gastric cannula was necessary, the degree of dysphagia was
inserted through the skin at the level of the cricoid cartilage and was classified as grade 4. In 3 patients among this severely
advanced laterally in the posterior medial direction until the CP
muscle was reached. The CP-EMG signals were also fed to the EMG dysphagic group, voluntarily initiated swallows could not be
apparatus before being filtered, amplified, rectified, and integrated.10 accomplished at all. For the remaining 4 patients, although
Each subject sat on an examination chair and was requested to small amounts of food could be swallowed from time to time,
hold his or her head in a natural upright position. The swallows were nonoral feeding was also necessary, because they frequently
initiated by 1 or 3 mL volume of tap water introduced through a
experienced aspiration. The degree of dysphagia was evalu-
disposable syringe. The water was positioned on the tongue while the
tip of the tongue touched the upper incisors.12 The data collection ated as grade 3 in 20 patients (58.8%) and grade 2 in 7
time during each swallow was 2 or 5 seconds, or both, with an patients (20.6%).
800-ms preswallowing time included in each sweep duration. At
least 5 successive recordings were collected for each type of Dysphagia Limit
swallow, and the signals were examined from both single traces and Although the grading procedure for dysphagia was useful
superimposed and averaged traces.
The electrophysiological parameters associated with laryngeal in clinical evaluation of the patients, the method used to
sensor signals and the SM-EMG were measured and labeled. These measure the dysphagia limit was more sensitive and
parameters are defined as follows: objective in classifying the severity of clinical problems
(1) The onset of 2 deflections in the laryngeal sensor signal associated with swallowing. Only 1 patient with grade- 2
recordings are denoted as 0 and 2. The “0-2 interval” is a time
dysphagia showed a normal dysphagia limit of ⬎20 mL
variable that indicates the duration of laryngeal upward movement
plus the relocation time during the pharyngeal phase of swallowing. water. The remainder of the patients who were investigated
(2) Because the submental muscles are laryngeal elevators, the displayed a dysphagia limit of ⬍20 mL, including an
SM-EMG is thought to provide information about the onset and additional 6 patients with grade 2 dysphagia. Figure 1
duration of the oropharyngeal phase of swallowing within the period shows the dysphagia limits obtained from a patient (as-
referred to as the “A-C interval.”
(3) The third parameter denoted as the “A-0 interval” is the period sessed with grade 2 dysphagia) in whom the bolus was
between the onset of SM-EMG (A) and the appearance of the upward divided into 2 or more swallows (as indicated by arrows)
deflection (0) of the laryngeal sensor. This interval reflects the while attempting to swallow 10 mL water.
1372 Stroke June 2000
potentials (MUP in Figure 5) throughout the pause period of (80%). Dysarthria/dysphonia are reported to be common
the CP-EMG. The average time from the onset of laryngeal clinical characteristics of stroke patients with dysphagia and
upward movement to the onset of CP-EMG pause did not aspiration.7,20 –24 However, in previous stroke studies, the
differ in the 2 groups studied. However, in patients with SBP weak or slow elevation of larynx and saliva accumulation in
the CP sphincter closed prematurely during the upward the mouth either have not been found in a significant
relocation of the larynx, as indicated by the statistically proportion of patients or were not mentioned at all. Never-
significant difference (P⬍0.006) in the duration measured theless, according to our clinical experience, these findings
from the end of CP-EMG pause to the onset of laryngeal also appear to be frequently associated with dysphagia of
downward movement between patients and control subjects patients with SBP.
(Table 3). Indeed, in 5 patients, this period exceeded the With the electrophysiological tests described in our earlier
maximum measurement of 190 ms obtained in normal studies for the evaluation of oropharyngeal swallow,10,13,15,16
subjects. the dysphagia limit in all except 1 patient with SBP was
found to be pathological, with limits of ⬍20-mL bolus
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control subjects. These muscles have 2 principal roles in prolongation of the laryngeal relocation time of the swallow-
swallowing: the protection of the larynx by elevation, and the ing reflex as measured with the 0-2 time interval. Further-
transportation of bolus by providing a secondary support to more, the duration of submental muscle contraction was also
the tongue for its pumping action.18,25,26 Therefore, the prolonged, as demonstrated by prolongation of the A-C
duration of the SM-EMG is a parameter that provides interval. These findings may indicate that the extrapyramidal
considerable information about the duration of the pharyngeal influences on the bulbar center have somehow been affected.
phase of swallowing that was prolonged in dysphagic patients This assumption is based on similar findings observed in
with SBP with lacunar state. patients with Parkinson’s disease with dysphagia.14 Similarly,
(4) The CP-EMG recordings made during swallowing in patients with SBP, the accumulation of saliva in the mouth
revealed that the striated sphincter muscle of the upper and drooling may also be related to the involvement of the
esophageal sphincter was hyperreflexic and presumably dys- extrapyramidal system, in addition to the disturbance associ-
inhibited like other brain stem reflexes, such as mandibular ated with the corticobulbar system.
and palatopharyngeal reflexes. The emotional lability ob-
served in these patients may also have been associated with Acknowledgments
dysinhibition at the brain stem level. The hyperreflexic nature This work was supported by a grant from the Turkish Scientific and Tech-
of CP sphincter was apparent in the shorter EMG pause nological Research Council (TÜBITAK) (project SBAG-1739).
period during swallowing and its premature closure before
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