Hong Kong Med J 2014 Oct;20(5):421–7 | Epub 4 Jul 2014
DOI: 10.12809/hkmj144251
© Hong Kong Academy of Medicine. CC BY-NC-ND 4.0
REVIEW ARTICLE
Preventing aspiration pneumonia in older people:
do we have the 'know-how'?
James KH Luk, FHKCP, FHKAM (Medicine)1; Daniel KY Chan, MD, FACP2,3
1 The University of Hong Kong; Department of Medicine and Geriatrics,
Fung Yiu King Hospital, 9 Sandy Bay Road, Pokfulam, Hong Kong
2 Faculty of Medicine, University of New South Wales, High Street, Kensington
NSW 2052, Australia
3 Aged Care and Rehabilitation, Bankstown-Lidcombe Hospital, Eldridge Road,
Bankstown NSW 2200, Australia
Corresponding author: Dr James KH Luk (lukkh@ha.org.hk)
Full
paper in PDF
Abstract
Aspiration pneumonia is common in older people.
To reduce the risk of aspiration pneumonia,
maintenance of good oral hygiene is important
and medications affecting salivary flow or causing
sedation are best avoided, if possible. The use of
H2 blockers and proton-pump inhibitors should be
minimised. Different compensatory and facilitation
techniques can be applied during oral feeding.
Hand feeding should be tried before consideration
of tube feeding. The use of tube feeding is the last
resort and is mainly for improving nutrition and
hydration. Prevention of aspiration pneumonia and
increasing survival rates should not be the rationales
for tube feeding. Feeding via both gastrostomy and
nasogastric tube has similar risks for aspiration
pneumonia, and continuous pump feeding is not
better than intermittent feeding. Jejunal feeding
might decrease the chance of aspiration pneumonia
in selected high-risk patients. If older patients are on angiotensin-converting enzyme inhibitors without
intolerable cough, continuing the drug may be
beneficial. Folate deficiency, if present, needs to be
promptly corrected. Further better-designed studies
are warranted to find the best ways for prevention of
aspiration pneumonia.
Introduction
In Hong Kong, as in many other countries, there
has been an increasing trend of older patients,
especially from residential care homes for the elderly
(RCHE), getting admitted to medical wards due to
pneumonia. Pneumonia is the second commonest
cause of death in Hong Kong.1 An overseas study
revealed that a significant proportion of pneumonia
in RCHE is related to aspiration pneumonia (AP).2 In
the US, annual hospitalisation due to AP in the older
population nearly doubled from 1991 to 1998.3 The
true incidence of AP is hard to ascertain because the
criteria for diagnosis are not standardised. Often,
an aspiration event is not witnessed; rather, it is
suspected from a history of difficulty in swallowing.
Pathophysiology of aspiration
Aspiration is defined as inhalation of oropharyngeal
or gastric contents into the pulmonary tree.
Depending on the composition of the aspirates,
three complications have been described.4 Chemical
pneumonitis is the first complication and is the result
of aspiration of acidic gastric contents. The severity
depends on the pH value and quantity of aspirate.
A pH of <2.5 and gastric volume of >0.3 L per kg
of body weight are needed to develop chemical
pneumonitis.5 In addition to acid, stomach may have other particulate contents and aspiration of these
contents may also lead to lung damage. There are
two phases of lung changes after acid aspiration.
In the first phase, there is direct toxic damage to
the respiratory epithelium resulting in interstitial
pulmonary oedema with ventilation/perfusion
mismatch.4 The second phase occurs 2 to 3 hours
later, and is characterised by inflammatory response
with production of cytokines, neutrophil infiltration,
and macrophage activation.6 Oxygen-free radicals
are generated which, in turn, lead to further lung
damage.
Some patients may remain asymptomatic
after acid aspiration. Others may develop dyspnoea,
pleuritic chest pain, cough, fever, bronchospasm,
bloody or frothy sputum, respiratory failure and/or
acute respiratory distress syndrome. Management of
uncomplicated cases is usually supportive with airway
clearance, oxygen, and positive pressure ventilation.
Antibiotics do not alter the clinical outcome unless
bacterial infection occurs.7 Bronchodilators can be
used to treat bronchospasm if present, but there is
little role for corticosteroids.8 Not uncommonly, it
may not be clear whether the patient has chemical
pneumonitis or bacterial pneumonia. In these
situations, it is prudent to start empirical broadspectrum
antibiotics.
The second complication of aspiration is AP which is either secondary bacterial infection
following chemical pneumonitis or primary bacterial
aspiration due to inhalation of oropharyngeal
secretions or gastric contents contaminated with
bacteria.4 Acid-associated pneumonitis favours the
secondary development of AP by superinfection
with bacteria following destruction of the
epithelium. Bacterial infection is more common in
older patients because of their impaired immunity,
poor oral hygiene, and bacterial colonisation in the
stomach due to low-acidity environment, especially
when they are on histamine H2-receptor blockers
(H2 blocker) or proton-pump inhibitors (PPI).9
The third complication of aspiration is particle-associated
aspiration which is the inhalation of
particulate matters of the gastric content resulting
in acute obstruction of smaller and, possibly, larger
airways. The patients will have sudden arterial
hypoxaemia with development of lung atelectasis.
Aspiration pneumonia
The most common areas of the lung affected are the
posterior segment of the upper lobe and superior
segment of the lower lobe, if aspiration occurs in a
supine position. The lower segments of the lower
lobe are often involved if aspiration occurs in a
sitting position.10 The patients may have an insidious
course with increased respiratory rate, foul-smelling
sputum, haemoptysis, and fever.7 There is
usually leukocytosis and raised C-reactive protein,
and complications like exudative pleural effusion,
empyema, and lung abscesses can occur. However,
atypical presentation of AP is also common.11
Older patients may have impaired T cell function
and hence, they may be unable to mount a febrile
response. The mucociliary clearance of older people
is also impaired, resulting in diminished sputum production and cough. Therefore, they can present
non-specifically with different geriatric syndromes
such as falls, incontinence, delirium, and decreased
mobility or activity of daily living.
Risk factors for aspiration
pneumonia
Oral hygiene and aspiration pneumonia
Bad oral hygiene is one of the important risk
factors for AP.7 Indeed, about half of healthy
adults aspirate saliva during sleep.12 If the person
has normal immunity, good cough reflex, normal
respiratory ciliary movement and good oral
hygiene, there are usually no harmful effects of
aspirating saliva. Unfortunately, oral hygiene is
the least-considered aspect in hospitalised and
institutionalised patients.13 Reduction in saliva flow
leads to an increased concentration of bacteria
in the oral cavity. Medications such as diuretics,
anticholinergics, anxiolytics, and antipsychotics
reduce salivary flow. In a Japanese study14 involving
71 edentulous older people, direct relationship
between the number of decayed teeth and AP was
reported, and tongue coating was a risk indicator for
AP. All these point to the fact that bacterial flora in
the oral cavity are related to AP. The microflora of the
oral cavity include Gram-positive, Gram-negative,
and anaerobic organisms. Hence, broad-spectrum
antibiotics with good aerobic and anaerobic coverage
are usually needed for AP treatment.
Dysphagia and gag reflex
Some studies show an association between
swallowing dysfunction and AP, while others show
that dysphagia is not sufficient to cause AP unless
other risk factors are present.15 A recent meta-analysis
of four cohort studies concluded that
dysphagia was a serious risk factor for AP in frail
older people, particularly in those suffering from
cerebrovascular disease.16 The most common cause
for oropharyngeal dysphagia in older people is
neurological diseases including stroke, advanced
dementia, and Parkinson’s disease.17 Different
diseases have different dysphagia trajectories and
prognosis. Dysphagia resulting from stroke is mostly
temporary; however, it is progressive in older patients
with advanced dementia or Parkinson’s disease.
Some studies report that abnormal gag reflex
and cough reflex are associated with aspiration.18
However, other studies fail to confirm this
correlation.19 Hence, abnormal gag reflex may not
be a reliable predictor of AP risk. Similarly, a study
involving 107 in-patients from a rehabilitation
hospital showed that bedside evaluation for risk
of aspiration tends to underestimate the risk of
aspiration with positive and negative predictive
values of 0.75 and 0.7, respectively.20
Medications and aspiration pneumonia
Medications such as diuretics, anticholinergics,
anxiolytics, antipsychotics, and levodopa reduce
salivary flow and increase bacterial flora in the oral
cavity. Some medications, such as antipsychotics
and anxiolytics, lead to impaired swallowing
function due to the effects on the central nervous
system and can increase the risk of AP.21 Barium is
considered to be inert but barium aspiration has
been reported during barium swallowing studies
with severe chemical pneumonitis and death.22 A
low pH environment is needed to kill the organisms
that colonise the gastro-intestinal tract. Histamine
H2 blockers and PPI increase the pH of the stomach,
favouring the growth of bacteria. Increased risk
of pneumonia in acute hospital patients using
H2 blockers and PPI has been reported in a meta-analysis
of eight observational studies.23
Tube feeding and aspiration pneumonia: the
all-time controversy
In Hong Kong, many older patients are put on
tube feeding when they are dysphagic or feeding
inadequately. Risk of AP and decreased survival are
the most frequently cited reasons by health care
teams for starting tube feeding in older patients.24 To
date, evidence has clearly proven that tube feeding,
be it nasogastric (NG) or via gastrostomy, does not
prevent AP. On the contrary, it has been shown that
the incidence or risk of AP may be increased by the
use of tube feeding.25 Placement of NG tube weakens
the ability of the lower oesophageal sphincter to
prevent gastro-oesophageal reflux.26 The use of tube
feeding also leads to neglect of the oral hygiene.
Moreover, partial pulling of the NG tube by confused
elderly whilst the feeding is running can cause the
feed to drip into the trachea, leading to AP. To date,
studies have failed to demonstrate the survival
benefits of tube feeding in older people. One study
with gastrostomy revealed that only 38% of nursing
home patients were alive at 1 year after feeding
tube placement.27 In a local study performed by our
group involving 312 RCHE residents with advanced
dementia, 164 (53%) were on enteral feeding.28 The
1-year mortality rate was 38% and enteral feeding
was one of the important risk factors for 2-year
mortality.28
Ethical issues of tube feeding in frail older
patients
One may ask why tube feeding remains prevalent in
Hong Kong among older patients. There are complex
factors in the ‘conceptual framework’ behind this
decision-making. Firstly, there are the family factors.
Family members may think that they cannot let the
demented relative starve to death. They may be too
optimistic concerning the clinical course of their demented relative, and often, they are informed by
physicians that the tube can be removed if patients
regain their ability to eat normally.29 However, the
chance of weaning off tube feeding is actually lower
than 20% among all indications for tube placement.30
Secondly, physician factors may come into play. It
is shown that 80% of physicians believe that clinical
outcomes are improved by tube feeding while 40%
think that tube feeding should continue even if
other life-sustaining measures such as mechanical
ventilation are ceased.31 Many physicians are under
high pressure from family members and RCHE
staff when they discuss about tube feeding. Some
physicians recommend gastrostomy feeding as they
believe it to have a lower risk of AP versus NG tube
feeding. In addition, they may be afraid of legal
consequences if demented patients are not fed with
a feeding tube. Thirdly, cultural taboo of palliation
as an option and lack of the concept of advance
care planning are also important factors. In Hong
Kong, advance directive is not commonly practised
and hence, very few people have laid down their
options for tube feeding in an advance directive.32
Fourthly, in Hong Kong, there are practical issues if
we do not use tube feeding in some patients. If older
patients are feeding poorly, there are difficulties in
discharging them from hospitals, especially if they
are going to RCHE. Many RCHE in Hong Kong
do not have enough manpower to hand-feed their
residents. Often, the RCHE staff will send their
older residents back to the hospitals if they are
eating poorly, leading to a ‘revolving door syndrome’
with high readmission rates after discharge from
hospitals. Alternative ways of hydration including
hypodermoclysis (subcutaneous fluid infusion) are
not practised in local RCHE.33 In dysphagic patients,
it is also very difficult to give oral medications to
patients without a NG or gastrostomy tube.
Assessment for aspiration
Since bedside clinical evaluation alone may
underestimate the frequency of aspiration, two
reliable tests have been used to assess the risk of
AP.34 Videofluoroscopic swallowing study (VFSS)
is the most commonly used test for this purpose.35
In VFSS, a patient’s response to aspiration, silent
aspiration, and effectiveness of airway protection
manoeuvres with various types of barium-coated
food can be assessed. In addition, oesophageal
phase of swallowing can be visualised. It is more
sensitive than bedside testing and is the ‘gold
standard’ of swallowing assessment. The other
procedure is the fibreoptic endoscopic evaluation
of swallowing (FEES) which involves passing an
endoscope through the nose to the level of the soft
palate to directly visualise the pharynx and larynx,
and observe the pharyngeal phase of swallowing.36
When FEES includes sensory testing using air pulse to trigger a swallowing response, it is named
fibreoptic endoscopic evaluation of swallowing with
sensory testing (FEEST). Both VFSS and FEES/FEEST are equally accurate in detecting dysphagia
and they have their independent advantages—VFSS
is more widely available, non-invasive, and shows all
phases of swallowing; while FEES/FEEST does not
involve exposure to radiation, can be performed
more frequently, and allows examiners to view the
swallowing process in real time. Hence, the choice
between VFSS and FEES/FEEST depends on the
availability of the investigation, patient condition,
and the expertise of the centre.
Measures to prevention of
aspiration pneumonia
Oral hygiene
Maintaining a good oral hygiene is one of the
important measures to prevent AP. Older people
tend to have more dental caries, as well as gingival and
periodontal diseases.37 Oral care in both edentate
and dentate patients is equally important. A recent
systematic review38 showed that tooth brushing,
cleaning dentures, and oral health care were the best
interventions to reduce AP. However, older people,
in general, do not like to receive dental care.39 In
Hong Kong, few older patients, especially those
living in RCHE, receive regular dental assessment
and management. The reasons behind this include
cost, lack of awareness in the general population
about the importance of oral hygiene, and nonavailability
of dentists for older patients in RCHE.
Adjustment of medications
Reducing the total number of medications and
avoiding drugs that are known to cause decreased
salivary flow can reduce the risk of AP.7 If possible,
sedating medications are best avoided. Moreover,
withholding medications that can raise the gastric
pH seems to be useful in preventing AP. A recent
meta-analysis40 showed increased risk of pneumonia
in patients receiving ranitidine compared with those
receiving sucralfate. Since PPI also reduce acid
secretion, we may need to consider stopping PPI as
soon as these are not necessary.
Hand feeding and eating environment
Assisted hand feeding provides a viable alternative to
tube feeding, especially among demented patients.
Indeed, patients with dysphagia who are orally fed
have fewer episodes of aspiration than those fed by
gastrostomy.41 Older patients with dementia can still
form a relationship with their carers and touching,
kissing, hugging, and responding to non-verbal
cues by carers can influence the food intake of older
people.42 The environment can also affect feeding.43 In an environment highly distracted by television,
loud noises or conversations, older people are less
likely to complete their meal. In addition, older
patients are prone to delirium in noisy environments
and this may further impair feeding. Unfortunately,
the medical wards in Hong Kong public hospitals
are often crowded and noisy, and distraction is
very common during feeding. In the local setting of
RCHE, manpower issues and crowded environment
also affect feeding among the RCHE residents.
Dietary modification
Food thickening, pureeing, and blending are usually
recommended for dysphagic patients to reduce their
risk of AP. However, the effectiveness in preventing
AP has not been proven clinically. Diet modification
with thickeners is expensive, while pureeing and
blending are labour-intensive. Thickening agents
affect bioavailability of medications, reduce the
flavour of food, increase oral processing time,
and increase feelings of fullness resulting in poor
appetite.44 The Chinese believe that to eat well is
to have good fortune in life, and these alternative
‘foods’ reduce the joy of eating. The authors’ personal
experience is that many older Chinese patients
dislike the texture of thickened fluid and purees. This
may lead to poor feeding among the older patients
resulting in unintended side-effects of malnutrition,
dehydration, and sub-therapeutic medication levels.
In addition, we may have a false sense of security
after dietary modifications as dysphagic patients
who are given a pureed diet may still aspirate.
Compensatory techniques
It is important for older patients to sit upright
when eating. For those who cannot get out of bed,
raising the head of the bed by at least 30 degrees is
the usual recommended practice.45 The chin-down
or chin-tuck manoeuvre is widely used in dysphagia
treatment.46 Tilting the body to the non-paralysed
side (side-lying) and turning the head towards the
paralysed side makes it easier to bring a food bolus
downward and pass through the non-paralysed side.
Speech therapists often teach dysphagic patients to
use double or multiple swallowing. Other techniques
include hard swallow, supraglottic swallow, and
Mendelsohn manoeuvre.
Facilitation techniques, exercises, and
neurostimulation
Mechanical or thermal stimulation at the anterior
oropharynx can lead to reflex swallowing action.47
Based on this theory, cold, tactile, and pressure
stimulation are used to facilitate swallowing.
Different exercises have been advocated to improve
the range of movement and strength of jaw, tongue,
lip, palate, and vocal cords.48
Recently, two new neurostimulation
approaches are being developed to improve
the swallowing function by stimulating cortical
neuroplasticity.49 These include stimulation of
the peripheral oropharyngeal sensory system by
chemical, physical or electrical stimuli, and direct
stimulation of the pharyngeal motor cortex using
repetitive transcranial magnetic stimulation.50 At this
moment, we are awaiting more studies evaluating
these new treatments in dysphagic patients.
Aspiration pneumonia when using
tube feeding
As mentioned previously, tube feeding does not
prevent AP, instead, it serves as an alternative to
deliver nutrition. Raising the head of the bed to 30
degrees during tube feeding is usually practised.
Although not proven by clinical trials, it is desirable
to start feeding at a slow rate and with small amounts
in the initial phase. Most clinical studies cannot find
any differences in AP between patients receiving
continuous pump feeding and those receiving
intermittent feeding.51 A local study in 178 infirmary
patients showed no difference in either pneumonia
or death rates between the modes of feeding.52
Continuous pump feeding has a higher operating
cost than intermittent feeding. Although individual
older patients may tolerate continuous pump feeding,
based on the evidence so far, we cannot recommend
the use of continuous pump feeding solely for the
purpose of preventing AP.
Checking gastric residual volume (RV) every 4
hours, and maintaining a residual level of less than
100 mL are usually advocated during tube feeding.
However, it has been shown that the frequencies
of regurgitation and aspiration are similar over a
wide range of RV from 0 to 400 mL. Hence, RV is
not a reliable marker of aspiration.53 On the other
hand, large-bore NG tubes may increase the risk
of aspiration of gastric contents by interfering with
normal lower oesophageal sphincter.54
In contrast to western countries, gastrostomy
is not commonly performed in Hong Kong for
various reasons, including the need for a gastro-intestinal
specialist for the procedure, small risk of
surgical complications, lack of knowledge about and
confidence among RCHE staff in taking care of the
tube, and cost in buying replacement tube if dislodged.
In the authors’ personal experience, many local
clinicians believe gastrostomy feeding to be better
than NG tube feeding in preventing AP. However,
the current evidence fails to suggest any advantage
of the former in AP prevention. A review comparing
NG tube feeding with gastrostomy feeding could
not find any differences in mortality and pneumonia
between the two groups.55 On the other hand, feeding
via percutaneous endoscopic gastrostomy with
jejunal extension (PEGJ) might decrease the chance of aspiration in the selected high-risk group such
as those with severe gastroparesis.56 Nevertheless,
the use of PEGJ feeding is associated with many
problems such as dumping syndrome, dislodgement
and movement of the tube up to stomach. These
complications limit its use in older patients.
Pharmacological prevention of aspiration
pneumonia
Impaired dopamine metabolism may affect
swallowing reflexes. It follows that drugs like
amantadine and levodopa may be useful to improve
swallowing. Administration of levodopa to patients
with stroke can improve the swallowing reflex, while
amantadine seems to be able to reduce the risk of
pneumonia by 20% in stroke patients.57 58 However,
both amantadine and levodopa have their own
side-effects and additional trials are warranted to
confirm their role in AP prevention. Cilostazol is a
phosphodiesterase inhibitor which inhibits platelet
aggregation and is a direct arterial vasodilator used in
peripheral vascular diseases. Cilostazol may increase
dopamine and substance P concentrations in the
brain, which are important for the swallowing reflex.
Studies on cilostazol for pneumonia prevention were
mainly conducted in Japanese stroke patients.59 60 61
Cilostazol has a grade C1 recommendation in the
Japanese Guidelines for the Management of Stroke
2009.62 Since potential serious complications like
bleeding can occur, it is not recommended in
other parts of the world for AP prevention. Folate,
which affects dopamine metabolism, may lead to an
impaired swallowing reflex when it is deficient. A
2-year non-randomised trial63 showed that folic acid
can improve the latency of the swallowing reflex.
Since folic acid supplement has minimal side-effects,
it should be given to older patients with folate
deficiency. Angiotensin-converting enzyme inhibitor
(ACEI) reduces the degradation of bradykinin and
tachykinin, including substance P. Accumulation
of substance P has a sensitising effect on cough
and swallowing reflex.64 This effect is particularly
prominent in Asians. Previous studies,65 66 mainly in
stroke patients, suggest that ACEIs could reduce the
risk of pneumonia. However, we still do not know
the optimum dose of ACEI for preventing AP and
its long-term efficacy. Metoclopramide can delay the
development of pneumonia but has no effect on the
frequency of pneumonia and the overall mortality
in tube-feeding patients.67 Other prokinetic agents,
including cisapride and erythromycin, can increase
gastric emptying.68 However, no reduction in
pneumonia frequency has been reported and we
cannot conclude whether these medications can
help prevent AP.
Conclusion
We do not have the complete ‘know-how’ in preventing AP among older patients. Aspiration
pneumonia continues to occur commonly in our
older patients, implying that our AP prevention
strategies are not entirely effective. At present,
we should provide an individual care plan to each
elderly patient, based on our current knowledge. It
is important to maintain a satisfactory oral hygiene
and withhold unnecessary medications which will
affect the salivary flow and cause sedation. The use of
H2 blockers and PPI has to be minimised, if possible.
Dietary modifications and compensatory and
facilitation techniques can be used during feeding.
Instead of starting tube feeding immediately, careful
hand feeding may be tried in a quiet environment.
It is best to keep the use of tube feeding as the
last resort, mainly for improving nutrition and
hydration. Prevention of AP and improving the
chances of survival are not the rationales for placing
feeding tubes. If tube feeding is deemed necessary,
the ‘start-low-and-go-slow’ principle may be used.
Both gastrostomy and NG tube feeding have similar
risk for AP, and continuous pump feeding is not
better than intermittent feeding. Feeding via PEGJ
might decrease the chance of aspiration in selected
high-risk patients. If older patients are on ACEIs
without intolerable cough, continuing the drug may
be beneficial. Folate deficiency, if present, needs to
be promptly corrected. The use of other medications
to prevent AP remains controversial and is not
routinely practised. Further large-scale international
and local studies are warranted to find the best ways
of AP prevention among the older patients.
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