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The Journal of Heart and Lung Transplantation
International Society for Heart and Lung Transplantation.
State of art| Volume 40, ISSUE 12, P1483-1494, December 2021

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Swallowing and laryngeal complications in lung and heart transplantation: Etiologies and diagnosis

Open AccessPublished:August 25, 2021DOI:https://doi.org/10.1016/j.healun.2021.08.006
      Despite continued surgical advancements in the field of cardiothoracic transplantation, post-operative complications remain a burden for the patient and the multidisciplinary team. Lesser-known complications including swallowing disorders (dysphagia), and voice disorders (dysphonia), are now being reported. Such disorders are known to be associated with increased morbidity and mortality in other medical populations, however their etiology amongst the heart and lung transplant populations has received little attention in the literature. This paper explores the potential mechanisms of oropharyngeal dysphagia and dysphonia following transplantation and discusses optimal modalities of diagnostic evaluation and management. A greater understanding of the implications of swallowing and laryngeal dysfunction in the heart and lung transplant populations is important to expedite early diagnosis and management in order to optimize patient outcomes, minimize allograft injury and improve quality of life.

      Keywords

      Abbreviations:

      FEES (flexible endoscopic evaluation of swallowing), ICUAW (intensive care unit acquired weakness), LD (laryngopharyngeal dysfunction), LPR (laryngopharyngeal reflux), OPD (oropharyngeal dysphagia), PED (post extubation dysphagia), PPI (proton pump inhibitor), RLN (recurrent laryngeal nerve), SLP (speech language pathologist/pathology), VAD (ventricular assist device), VFP (vocal fold palsy/paresis), VFSS (videofluoroscopic swallow study.)
      Heart and/or lung transplantation is the preferred treatment for end stage cardiac and/or pulmonary disease with the provision of increased survival and quality of life. Recent advances in surgical technique and immunosuppressive medications have increased life expectancy, however complications post transplantation such as primary graft dysfunction, rejection, multi-organ failure and infection remain common.
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      • Tullis DE
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      • Winton TL
      • Patterson GA
      Infectious complications following isolated lung transplantation.
      • Speich R
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      Epidemiology and management of infections after lung transplantation.
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      The ripple effect of a complication in lung transplantation: Evidence for increased long-term survival risk.
      There is now growing interest in the lesser known complication of laryngopharyngeal dysfunction (LD), presenting as swallowing disorders (oropharyngeal dysphagia OPD) and voice disorders (dysphonia).
      • Baumann B
      • Byers S
      • Wasserman-Wincko T
      • et al.
      Postoperative swallowing assessment after lung transplantation.
      • Miles A
      • Barua S
      • McLellan N
      • Brkic L
      Dysphagia and medicine regimes in patients following lung transplant surgery: a retrospective review.
      • Seeliger B
      • Drick N
      • Avsar M
      • et al.
      Risk factors and outcomes of vocal cord paralysis after lung transplantation – a retrospective cohort study.
      • Atkins BZ
      • Petersen RP
      • Daneshmand MA
      • Turek JW
      • Lin SS
      • Davis Jr., RD
      Impact of oropharyngeal dysphagia on long-term outcomes of lung transplantation.
      • Atkins BZ
      • Trachtenberg MS
      • Prince-Petersen R
      • et al.
      Assessing oropharyngeal dysphagia after lung transplantation: altered swallowing mechanisms and increased morbidity.
      • Black R
      • McCabe P
      • Glanville A
      • Bogaardt H
      • Macdonald P
      • Madill C
      Oropharyngeal dysphagia and laryngeal dysfunction after lung and heart transplantation: a systematic review.
      Current literature reports a high incidence of these complications with findings of OPD in 70% of patients following lung transplantation
      • Atkins BZ
      • Trachtenberg MS
      • Prince-Petersen R
      • et al.
      Assessing oropharyngeal dysphagia after lung transplantation: altered swallowing mechanisms and increased morbidity.
      and a high proportion of vocal fold palsy (paralysis or paresis) (VFP) with incidence ranging from 2.9 % to 34%.
      • Miles A
      • Barua S
      • McLellan N
      • Brkic L
      Dysphagia and medicine regimes in patients following lung transplant surgery: a retrospective review.
      ,
      • de La Rosa A
      • Aguilar J
      • Barbu A
      • Chang D
      • Kobashigawa J
      Uniqueness of laryngeal nerve injury following heart transplantation.
      OPD is well recognized as a risk factor for increased morbidity and mortality
      • Ekberg O
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      Social and psychological burden of dysphagia: its impact on diagnosis and treatment.
      ,
      • Smithard D
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      • Wyatt R
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      Complications and outcome after acute stroke: does dysphagia matter?.
      and is estimated to cost more than US $500 million per year.
      • Altman KW
      • Yu G
      • Schaefer SD
      Consequence of dysphagia in the hospitalized patient: impact on prognosis and hospital resources.
      LD following surgery is frequently associated with incompetence in airway protection with associated risk of aspiration, poor secretion clearance and increased morbidity and mortality.
      • Ohta N
      • Kuratani T
      • Hagihira S
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      Vocal cord paralysis after aortic arch surgery: predictors and clinical outcome.
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      • Bay G
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      Vocal cord paralysis after thoracic aortic surgery: incidence and impact on clinical outcomes.
      • Taenaka CH
      • Shibata CS
      • Okitsu CK
      • et al.
      Perioperative factors related to the severity of vocal cord paralysis after thoracic cardiovascular surgery: a retrospective review.
      Resulting changes to voice quality are known to impact heavily on quality of life and occupation.
      • Nixon I
      • Ramsay S
      • Mackenzie K
      Vocal function following discharge from intensive care.
      ,
      • Spector BC
      • Netterville JL
      • Billante C
      • Clary J
      • Reinisch L
      • Smith TL
      Quality-of-life assessment in patients with unilateral vocal cord paralysis.
      The potential etiology of voice and swallowing complications in this patient population is poorly understood and has received little attention in the literature. Cardiothoracic transplant surgery and the post-operative course are inherently complex and can involve (1) compromised respiratory function, (2) prolonged intubation,
      • Beer A
      • Reed RM
      • Bölükbas S
      • et al.
      Mechanical ventilation after lung transplantation. An international survey of practices and preferences.
      • Hadem J
      • Gottlieb J
      • Seifert D
      • et al.
      Prolonged mechanical ventilation after lung transplantation—a single-center study.
      • Padia SA
      • Borja MC
      • Orens JB
      • Yang SC
      • Jhaveri RM
      • Conte JV
      Tracheostomy following lung transplantation predictors and outcomes: tracheostomy following lung transplantation.
      • Miyoshi R
      • Chen-Yoshikawa TF
      • Hamaji M
      • et al.
      Effect of early tracheostomy on clinical outcomes in critically ill lung transplant recipients.
      (3) damage to the recurrent laryngeal nerve (RLN),
      • Seeliger B
      • Drick N
      • Avsar M
      • et al.
      Risk factors and outcomes of vocal cord paralysis after lung transplantation – a retrospective cohort study.
      ,
      • de La Rosa A
      • Aguilar J
      • Barbu A
      • Chang D
      • Kobashigawa J
      Uniqueness of laryngeal nerve injury following heart transplantation.
      ,

      Murty GE, Smith MC. Recurrent laryngeal nerve palsy following heart-lung transplantation: three cases of vocal cord augmentation in the acute phase. Case reports. J Laryngol Otol. 103:968-9.

      (4) intensive care unit acquired weakness,
      • Gamez J
      • Salvado M
      • Martinez-de La Ossa A
      • et al.
      Influence of early neurological complications on clinical outcome following lung transplant.
      (5) alterations to neurological status
      • Miles A
      • Barua S
      • McLellan N
      • Brkic L
      Dysphagia and medicine regimes in patients following lung transplant surgery: a retrospective review.
      ,
      • Gamez J
      • Salvado M
      • Martinez-de La Ossa A
      • et al.
      Influence of early neurological complications on clinical outcome following lung transplant.
      and (6) chronic gastro-oesophageal reflux.
      • Davis CS
      • Shankaran V
      • Kovacs EJ
      • et al.
      Gastroesophageal reflux disease after lung transplantation: pathophysiology and implications for treatment.
      • Young LR
      • Hadjiliadis D
      • Davis RD
      • Palmer SM
      LUng transplantation exacerbates gastroesophageal reflux disease*.
      • D'ovidio F
      • Keshavjee S
      Gastroesophageal Reflux and Lung Transplantation.
      All these factors are known to have a direct association with swallowing and voice dysfunction. The immunosuppression requirements following transplantation also leave patients at higher risk for deterioration in respiratory function in the event of glottic incompetence and/or dysphagia. Patients awaiting transplantation are often frail with poor physiological reserve, rendering them more vulnerable and at higher risk of increased hospital length of stay and adverse post-operative outcomes.
      • Jha SR
      • Hannu MK
      • Chang S
      • et al.
      The prevalence and prognostic significance of frailty in patients with advanced heart failure referred for heart transplantation.
      ,
      • Jha SR
      • Hannu MK
      • Newton PJ
      • et al.
      Reversibility of frailty after bridge-to-transplant ventricular assist device implantation or heart transplantation.
      The prevalence and impact of pre-transplantation OPD and dysphonia are unknown in this complex population.
      The aims of this review paper are to (1) provide a comprehensive discussion of the potential etiology for OPD and dysphonia in heart and/or lung transplantation, (2) explore the methods for diagnosis of these complications and, (3) discuss management strategies to help to reduce the burden of disease for this high-risk patient population.

      Normal swallowing and vocal function

      Normal swallowing is a highly complex neuromuscular process modulated by the central nervous system. Co-ordination of respiration and swallowing is required via the exhale-swallow-exhale pattern to reduce the risk of aspiration.
      • Gross RD
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      • Ross SB
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      • Eichhorn KA
      The coordination of breathing and swallowing in chronic obstructive pulmonary disease.
      • Martin-Harris B
      • Brodsky MB
      • Price CC
      • Michel Y
      • Walters B
      Temporal coordination of pharyngeal and laryngeal dynamics with breathing during swallowing: single liquid swallows.
      • Martin-Harris B
      • Brodsky MB
      • Michel Y
      • Ford CL
      • Walters B
      • Heffner J
      Breathing and swallowing dynamics across the adult lifespan.
      Airway protection is a multi-step process, involving movement of the arytenoids to contact the epiglottis, the epiglottis covering the arytenoids and closure of the vocal folds to seal the glottis.
      • Langmore SE
      Endoscopic Evaluation and Treatment of Swallowing Disorders.
      Timely adduction of the vocal folds, which is followed by a brief period of apnoea, requires functioning of both superior and RLN's,
      • Macht M
      • Wimbish T
      • Bodine C
      • Moss M
      ICU-acquired swallowing disorders.
      both of which can be impacted by lung and heart transplant surgery. If vocal fold closure is mis-timed or incomplete, there is a risk of food and fluid entry into the airway. Should this occur, the final airway protective mechanism is a cough reflex which requires not only the motor initiation of abdominal, intercostal and diaphragm muscles and glottic closure but also an intact sensory system to detect the need for a motor response.
      • Macht M
      • Wimbish T
      • Bodine C
      • Moss M
      ICU-acquired swallowing disorders.
      Normal voice production is also an intricate process, requiring precise interaction of a number of bodily systems.
      • Boone DR
      The Voice and Voice Therapy.
      The RLN supplies all intrinsic muscles of the larynx while the superior laryngeal nerve innervates the cricothyroid muscle to tense and adduct the cords.
      • Sataloff RT
      • Heman-Ackah YD
      • Hawkshaw MJ
      Clinical anatomy and physiology of the voice.
      , The vocal folds must be able to adduct to the midline and sufficient subglottic air pressure must be produced to enable vocal fold vibration and subsequent phonation. Clear voice production can be compromised by structural or functional asymmetry of the true vocal folds and/or recruitment of supraglottic structures, as well as inflammation or scarring of the vibratory layer of the folds.
      • Sataloff RT
      • Heman-Ackah YD
      • Hawkshaw MJ
      Clinical anatomy and physiology of the voice.
      ,

      Etiology of swallowing and voice disorders

      Given the highly complex integration of sensory and motor function required for swallowing and phonation, disruption to any element of these pathways can result in dysphagia and/or dysphonia. Dysphagia can present as oropharyngeal dysfunction and/or oesophageal dysmotility following heart or lung transplantation and may be identified following extubation in the intensive care unit with pain on swallowing, dyspepsia, chronic cough, difficulty in swallowing secretions, or coughing on intake of food or fluids.
      • Miles A
      • Barua S
      • McLellan N
      • Brkic L
      Dysphagia and medicine regimes in patients following lung transplant surgery: a retrospective review.
      ,
      • Black RJ
      • Bogaardt H
      • McCabe P
      • Glanville AR
      • Macdonald P
      • Madill C
      Clinical predictors for oropharyngeal dysphagia and laryngeal dysfunction after lung and heart transplantation.
      Dysphonia may present as hoarse or absent voice or weak cough and may indicate glottic incompetence, risk of aspiration with associated chest infection and potential for respiratory distress.
      • Seeliger B
      • Drick N
      • Avsar M
      • et al.
      Risk factors and outcomes of vocal cord paralysis after lung transplantation – a retrospective cohort study.
      The potential mechanisms for dysfunction in swallowing and voice following transplantation in this population are discussed below (see also Figure 1).
      Figure 1
      Figure 1Potential mechanisms for OPD and dysphonia in heart and/or lung transplantation.

      Respiratory function

      The association between respiratory function and swallowing is well established. Following heart and/or lung transplantation, respiratory status frequently remains compromised, at least in the early stages post extubation. Currently there is no literature addressing how the altered respiratory pattern of patients following heart or lung transplantation may affect swallowing function. However, alterations to respiratory physiology, characterized by hypercapnia, tachypnoea or hypoxemia are known to cause a discoordination of the breath swallow cycle and hence an increased risk of laryngeal penetration and/or aspiration, especially amongst the critically ill.
      • Shaker R
      • Li Q
      • Ren J
      • et al.
      Coordination of deglutition and phases of respiration: effect of aging, tachypnea, bolus volume, and chronic obstructive pulmonary disease.
      • Nilsson H
      • Ekberg O
      • Bulow M
      • Hindfelt B
      Assessment of respiration during video fluoroscopy of dysphagic patients.
      • Brodsky M
      • Levy M
      • Jedlanek E
      • et al.
      Laryngeal injury and upper airway symptoms after oral endotracheal intubation with mechanical ventilation during critical care.
      The placement of high flow nasal cannula after weaning from the ventilator is a positive step to enable oral intake, however the literature is contradictory as to whether such support assists swallowing safety or increases the risk of aspiration.
      • Sanuki T
      • Mishima G
      • Kiriishi K
      • et al.
      Effect of nasal high-flow oxygen therapy on the swallowing reflex: an in vivo volunteer study.
      • Oomagari M
      • Fujishima I
      • Katagiri N
      • et al.
      Swallowing function during high-flow nasal cannula therapy.
      • Thawanaphong S
      • Kitisomprayoonkul W
      • Pongpipatpaiboon K
      • Kongpolprom N
      Electromyographic swallowing study during high flow oxygen therapy compared with low flow oxygen therapy in post-extubated patients.
      Optimal functioning of the entire respiratory system is also vital for successful voice production. The subglottic vocal tract is responsible for generating the essential airflow which travels between the vocal folds to act as the power source for the voice.,
      • Tong JY
      • Sataloff RT
      Respiratory function and voice: the role for airflow measures.
      Any surgery that impacts on the structure or function of the principal muscles of inspiration or expiration can have an impact on the power source for the voice. Although there is a distinct lack of evidence in this field in regard to the association between respiratory compromise and voice production, diseases which affect expiratory airflow, such as asthma or chronic obstructive pulmonary diseases have been shown to have a negative effect on the voice.
      • Sataloff RT
      • Heman-Ackah YD
      • Hawkshaw MJ
      Clinical anatomy and physiology of the voice.
      ,
      • Enas Elsayed M
      • Riham Ali El M
      Voice changes in patients with chronic obstructive pulmonary disease.
      ,
      • Saeed A
      • Riad N
      • Osman N
      • Nabil Khattab A
      • Mohammed S
      Study of voice disorders in patients with bronchial asthma and chronic obstructive pulmonary disease.

      Intubation

      The requirement for endotracheal intubation to allow for mechanical ventilation during heart and/or lung transplantation is another mechanism for the development of laryngeal dysfunction and OPD. Laryngeal injury with associated dysphonia, as a result of intubation, is reported to be as high as 83% in patients within the intensive care unit who require mechanical ventilation.
      • Brodsky M
      • Levy M
      • Jedlanek E
      • et al.
      Laryngeal injury and upper airway symptoms after oral endotracheal intubation with mechanical ventilation during critical care.
      Prolonged intubation is a known independent predictor of dysphagia.
      • Macht M
      • Wimbish T
      • Bodine C
      • Moss M
      ICU-acquired swallowing disorders.
      ,
      • Barker J
      • Martino R
      • Reichardt B
      • Hickey EJ
      • Ralph-Edwards A
      Incidence and impact of dysphagia in patients receiving prolonged endotracheal intubation after cardiac surgery.
      ,
      • Bordon A
      • Bokhari R
      • Sperry J
      • Testa Dt
      • Feinstein A
      • Ghaemmaghami V
      Swallowing dysfunction after prolonged intubation: analysis of risk factors in trauma patients.
      ,
      • Brodsky MB
      • Gellar JE
      • Dinglas VD
      • et al.
      Duration of oral endotracheal intubation is associated with dysphagia symptoms in acute lung injury patients.
      • Hogue CW
      • Lappas GD
      • Creswell LL
      • et al.
      Swallowing dysfunction after cardiac operations: associated adverse outcomes and risk factors including intraoperative transesophageal echocardiography.
      • Kwok AM
      • Davis JW
      • Cagle KM
      • Sue LP
      • Kaups KL
      Post-extubation dysphagia in trauma patients: it's hard to swallow.

      Laryngeal damage

      Laryngotracheal injuries in this population are common, with the present authors previously reporting dysphonia in 63% of patients referred to speech pathology following transplantation.
      • Black RJ
      • Bogaardt H
      • McCabe P
      • Glanville AR
      • Macdonald P
      • Madill C
      Clinical predictors for oropharyngeal dysphagia and laryngeal dysfunction after lung and heart transplantation.
      Intubation related injuries include granulomas, stenosis, infections, glottic and subglottic oedema and vocal fold motion abnormalities due to arytenoid dislocation or nerve damage.
      • Brodsky M
      • Levy M
      • Jedlanek E
      • et al.
      Laryngeal injury and upper airway symptoms after oral endotracheal intubation with mechanical ventilation during critical care.
      ,
      • Sue RD
      • Susanto I
      Long-term complications of artificial airways.
      • Colice GL
      • Stukel TA
      • Dain B
      Laryngeal complications of prolonged intubation.
      • Kastanos N
      • Miro R
      • Perez A
      • Mir A
      • Agusti-Vidal A
      Laryngotracheal injury due to endotracheal intubation: incidence, evolution, and predisposing factors. A prospective long term study.
      • Scheel R
      • Pisegna J
      • McNally E
      • Noordzij J
      • Langmore S
      Endoscopic assessment of swallowing after prolonged intubation in the ICU setting.
      Injury can occur at the time of tube placement, due to prolonged presence of the tube in the airway or at a later stage due to abnormal healing of the airway mucosa. Location and severity of injury can also be associated with the type of endotracheal tube and cuff volume, pressure and location.
      • Benjamin B
      Prolonged intubation injuries of the larynx: endoscopic diagnosis, classification, and treatment.
      `Prolonged intubation is generally associated with mucosal damage such as ulceration and oedema, however peripheral damage of the RLN can also occur due to longer term compression.
      • Zuercher P
      • Moret C
      • Dziewas R
      • Schefold J
      Dysphagia in the intensive care unit: epidemiology, mechanisms, and clinical management.
      Extended duration of intubation has been reported to be linked to more frequent and more severe injuries,
      • Brodsky M
      • Levy M
      • Jedlanek E
      • et al.
      Laryngeal injury and upper airway symptoms after oral endotracheal intubation with mechanical ventilation during critical care.
      ,
      • Ganzel TM
      • Brohm J
      • Nechtman CM
      • Ganzel BL
      • Klein JB
      • Gray Jr, LA
      Otolaryngologic problems in cardiac transplant patients.
      ,
      • Whited RE
      A prospective study of laryngotracheal sequelae in long-term intubation.
      however other authors have found no such association.
      • Colice GL
      • Stukel TA
      • Dain B
      Laryngeal complications of prolonged intubation.

      Post extubation dysphagia

      Post extubation dysphagia (PED) is multifactorial and common. Incidence is reported to vary from 3% to more than 80%
      • Barker J
      • Martino R
      • Reichardt B
      • Hickey EJ
      • Ralph-Edwards A
      Incidence and impact of dysphagia in patients receiving prolonged endotracheal intubation after cardiac surgery.
      ,
      • Hogue CW
      • Lappas GD
      • Creswell LL
      • et al.
      Swallowing dysfunction after cardiac operations: associated adverse outcomes and risk factors including intraoperative transesophageal echocardiography.
      ,
      • Macht M
      • Wimbish T
      • Clark BJ
      • et al.
      Postextubation dysphagia is persistent and associated with poor outcomes in survivors of critical illness.
      • Skoretz SA
      • Flowers HL
      • Martino R
      The incidence of dysphagia following endotracheal intubation: a systematic review.
      • Ferraris VA
      • Ferraris SP
      • Moritz DM
      • Welch S
      Oropharyngeal dysphagia after cardiac operations.
      with a general consensus that the presence of PED results in an increase in hospital length of stay, hospital costs and mortality.
      • Barker J
      • Martino R
      • Reichardt B
      • Hickey EJ
      • Ralph-Edwards A
      Incidence and impact of dysphagia in patients receiving prolonged endotracheal intubation after cardiac surgery.
      ,
      • Schefold CJ
      • Berger MD
      • Zürcher MP
      • et al.
      Dysphagia in mechanically ventilated ICU patients (DYnAMICS): a prospective observational trial.
      ,
      • Smithard DG
      • Smeeton NC
      • Wolfe CDA
      Long-term outcome after stroke: does dysphagia matter?.
      Due to the pivotal role of the larynx in the protection of the airway, the presence of laryngeal pathology post extubation can directly impact on swallowing function.
      • Brodsky M
      • Levy M
      • Jedlanek E
      • et al.
      Laryngeal injury and upper airway symptoms after oral endotracheal intubation with mechanical ventilation during critical care.
      VFP can result in glottic incompetence with an associated high risk of aspiration.
      • Colice GL
      • Stukel TA
      • Dain B
      Laryngeal complications of prolonged intubation.
      ,
      • Tabaee A
      • Murry T
      • Zschommler A
      • Desloge RB
      Flexible endoscopic evaluation of swallowing with sensory testing in patients with unilateral vocal fold immobility: incidence and pathophysiology of aspiration.
      In addition, laryngopharyngeal sensation can be impacted by the constant pressure of the tube on the chemoreceptors and mechanoreceptors in the pharynx and larynx which have a direct role in the initiation of the swallow.
      • De Larminat V
      • Montravers P
      • Dureuil B
      • Desmonts J-M
      Alteration in swallowing reflex after extubation in intensive care unit patients.
      Silent aspiration, defined as the entry of a food or liquid bolus below the level of the vocal folds with no cough reflex elicited, has been reported to be common in the lung transplant population.
      • Baumann B
      • Byers S
      • Wasserman-Wincko T
      • et al.
      Postoperative swallowing assessment after lung transplantation.
      ,
      • Atkins BZ
      • Trachtenberg MS
      • Prince-Petersen R
      • et al.
      Assessing oropharyngeal dysphagia after lung transplantation: altered swallowing mechanisms and increased morbidity.
      The exact cause for this is unknown, however intubation trauma, laryngopharyngeal reflux, as well as the possibility of direct vagal nerve injury and RLN injury, are all potential contributors.
      The most widely reported risk factor for PED is increased duration of intubation.
      • Barker J
      • Martino R
      • Reichardt B
      • Hickey EJ
      • Ralph-Edwards A
      Incidence and impact of dysphagia in patients receiving prolonged endotracheal intubation after cardiac surgery.
      ,
      • Brodsky MB
      • Gellar JE
      • Dinglas VD
      • et al.
      Duration of oral endotracheal intubation is associated with dysphagia symptoms in acute lung injury patients.
      ,
      • Skoretz SA
      • Flowers HL
      • Martino R
      The incidence of dysphagia following endotracheal intubation: a systematic review.
      ,
      • Schefold J
      • Berger D
      • Zürcher P
      • et al.
      Dysphagia in mechanically ventilated ICU patients (DYnAMICS).
      ,
      • Kikura M
      • Suzuki K
      • Itagaki T
      • Takada T
      • Sato S
      Age and comorbidity as risk factors for vocal cord paralysis associated with tracheal intubation.
      However, the literature is conflicting with some authors reporting no association.
      • Ajemian MS
      • Nirmul GB
      • Anderson MT
      • Zirlen DM
      • Kwasnik EM
      Routine fiberoptic endoscopic evaluation of swallowing following prolonged intubation: implications for management.
      • Barquist
      Postextubation fiberoptic endoscopic evaluation of swallowing after intubation.
      • Skoretz SA
      • Yau TM
      • Ivanov J
      • Granton JT
      • Martino R
      Dysphagia and associated risk factors following extubation in cardiovascular surgical patients.
      Within the heart and lung transplant populations, the current authors have previously reported duration of intubation and number of intubations to be significant predictors for referral to speech pathology for the management of OPD and voice complications.
      • Black RJ
      • Bogaardt H
      • McCabe P
      • Glanville AR
      • Macdonald P
      • Madill C
      Clinical predictors for oropharyngeal dysphagia and laryngeal dysfunction after lung and heart transplantation.

      Recurrent laryngeal nerve injury

      Due to the complexity of heart and/or lung transplantation surgery and the post-operative pathway, it is difficult to determine whether RLN injury or intubation trauma is the primary mechanism for VFP and/or dysphonia. However, the close proximity of the RLN and vagus nerves, which supply all intrinsic muscles of the larynx, sensation for the upper oesophagus and contractility of the digestive tract, to the cardiovascular structures involved in heart and lung transplantation, result in risk of intra-operative injury
      • Raut MS
      • Maheshwari A
      • Joshi R
      • et al.
      Vocal cord paralysis after cardiac surgery and interventions: a review of possible etiologies.
      (see Graphic 1).
      Laryngeal complications, especially VFP, are well recognized in the cardiothoracic literature,
      • Raut MS
      • Maheshwari A
      • Joshi R
      • et al.
      Vocal cord paralysis after cardiac surgery and interventions: a review of possible etiologies.
      • Dimarakis I
      • Protopapas AD
      Vocal cord palsy as a complication of adult cardiac surgery: surgical correlations and analysis.
      • Hamdan AL
      • Moukarbel RV
      • Farhat F
      • Obeid M
      Vocal cord paralysis after open-heart surgery.
      • Joo D
      • Duarte VM
      • Ghadiali MT
      • Chhetri DK
      Recovery of vocal fold paralysis after cardiovascular surgery.
      • DiLisio RP
      • Mazzeffi MA
      • Bodian CA
      • Fischer GW
      Vocal cord paralysis after aortic surgery.
      • Itagaki T
      • Kikura M
      • Sato S
      Incidence and risk factors of postoperative vocal cord paralysis in 987 patients after cardiovascular surgery.
      and unsurprisingly, the presence of VFP is reported to have a significant association with OPD in this population.
      • Miles A
      • Barua S
      • McLellan N
      • Brkic L
      Dysphagia and medicine regimes in patients following lung transplant surgery: a retrospective review.
      ,
      • Atkins BZ
      • Trachtenberg MS
      • Prince-Petersen R
      • et al.
      Assessing oropharyngeal dysphagia after lung transplantation: altered swallowing mechanisms and increased morbidity.
      Surgery specifically involving the aortic arch is associated with a higher incidence of RLN damage due to the greater risk of direct manipulation.
      • Ohta N
      • Kuratani T
      • Hagihira S
      • Kazumi K-I
      • Kaneko M
      • Mori T
      Vocal cord paralysis after aortic arch surgery: predictors and clinical outcome.
      Numerous intra-operative mechanisms for RLN injury in cardiac surgery have been reported, including hypothermia, cardiac catheterization and sternal retraction following sternotomy. In addition, extracorporeal membrane oxygenation has been reported to pose a risk, due to the need for manipulation of the common carotid artery and internal jugular vein which can result in injury to the vagus nerve.
      • Raut MS
      • Maheshwari A
      • Joshi R
      • et al.
      Vocal cord paralysis after cardiac surgery and interventions: a review of possible etiologies.
      However, the specific pathophysiology of RLN injury during cardiothoracic transplantation has been poorly explored. Murty et al

      Murty GE, Smith MC. Recurrent laryngeal nerve palsy following heart-lung transplantation: three cases of vocal cord augmentation in the acute phase. Case reports. J Laryngol Otol. 103:968-9.

      report the nerve to be at greatest risk when removing the recipients organs and that the left recurrent laryngeal branch is at higher risk due to its longer course into the posterior mediastinum. This would appear to be supported by increased rates of left sided VFP.
      • Seeliger B
      • Drick N
      • Avsar M
      • et al.
      Risk factors and outcomes of vocal cord paralysis after lung transplantation – a retrospective cohort study.
      ,
      • de La Rosa A
      • Aguilar J
      • Barbu A
      • Chang D
      • Kobashigawa J
      Uniqueness of laryngeal nerve injury following heart transplantation.
      In addition, Taeneka and colleagues report ventricular assist device implantation to be a high risk for severe VFP which they hypothesize to be potentially related to nerve compression from enlarged cardiovascular structures or direct manipulation and retraction of the heart.
      • Taenaka CH
      • Shibata CS
      • Okitsu CK
      • et al.
      Perioperative factors related to the severity of vocal cord paralysis after thoracic cardiovascular surgery: a retrospective review.
      Given an increasing proportion of patients with end stage cardiac failure are now being supported via ventricular assist device's, the implant/explant of these devices is likely to further the risk of RLN damage.
      There is a scarcity of literature addressing techniques to minimize RLN injury during transplantation, however Huddleston and colleagues suggest leaving a small island of pulmonary artery at the insertion of the ligamentum arteriosum, (which joins the pulmonary artery to the aorta), during cardiopneumonectomy in order to lessen the risk.
      • Huddleston CB
      • Richey SR
      Heart-lung transplantation.
      Incidence of laryngotracheal complications following heart transplantation is reported to be up to 34%
      • Ganzel TM
      • Brohm J
      • Nechtman CM
      • Ganzel BL
      • Klein JB
      • Gray Jr, LA
      Otolaryngologic problems in cardiac transplant patients.
      with rates of VFP of 2.9%.
      • de La Rosa A
      • Aguilar J
      • Barbu A
      • Chang D
      • Kobashigawa J
      Uniqueness of laryngeal nerve injury following heart transplantation.
      Higher rates of VFP are evident amongst the lung transplant population with incidence ranging from 8-34%.
      • Miles A
      • Barua S
      • McLellan N
      • Brkic L
      Dysphagia and medicine regimes in patients following lung transplant surgery: a retrospective review.
      ,
      • Seeliger B
      • Drick N
      • Avsar M
      • et al.
      Risk factors and outcomes of vocal cord paralysis after lung transplantation – a retrospective cohort study.
      ,
      • Atkins BZ
      • Trachtenberg MS
      • Prince-Petersen R
      • et al.
      Assessing oropharyngeal dysphagia after lung transplantation: altered swallowing mechanisms and increased morbidity.
      Interestingly, Seeliger and colleagues
      • Seeliger B
      • Drick N
      • Avsar M
      • et al.
      Risk factors and outcomes of vocal cord paralysis after lung transplantation – a retrospective cohort study.
      reported that half of their cohort diagnosed with VFP were asymptomatic. This phenomena has also been reported in other surgical procedures which place the RLN at risk.
      • Jung A
      • Schramm J
      How to reduce recurrent laryngeal nerve palsy in anterior cervical spine surgery: a prospective observational study.
      ,
      • Jeannon JP
      • Orabi AA
      • Bruch GA
      • Abdalsalam HA
      • Simo R
      Diagnosis of recurrent laryngeal nerve palsy after thyroidectomy: a systematic review.
      Hence, it could be argued that pre-operative laryngoscopy should be conducted in patients awaiting transplantation who have a history of thyroid, skull base, carotid, anterior approach to cervical spine, or esophagectomy surgery. In addition, formal screening of vocal fold function for all patients following lung transplantation is recommended.
      • Seeliger B
      • Drick N
      • Avsar M
      • et al.
      Risk factors and outcomes of vocal cord paralysis after lung transplantation – a retrospective cohort study.

      ICU acquired muscle weakness (ICUAW)

      Patients who experience complications during and following heart and/or lung transplantation are frequently in an induced coma for long periods of time with high levels of sedating medications, high dose corticosteroids, potential sepsis and/or multi organ failure and hence are at high risk of ICU acquired weakness (ICUAW).
      • Gamez J
      • Salvado M
      • Martinez-de La Ossa A
      • et al.
      Influence of early neurological complications on clinical outcome following lung transplant.
      ,
      • Kress JP
      • Hall JB
      ICU-acquired weakness and recovery from critical illness.
      ICUAW can manifest as neuromuscular disorders of critical illness polyneuropathy or myopathy which is associated with prolonged weaning from ventilator support and increased length of stay.
      • Jolley SE
      • Bunnell AE
      • Hough CL
      ICU-Acquired weakness.
      ,
      • Judemann K
      • Lunz D
      • Zausig YA
      • Graf BM
      • Zink W
      Intensive care unit-acquired weakness in the critically ill.
      Despite the scant data, incidence among lung transplant patients is reported to be as high as 29% with a median post-transplant latency of 35 days.
      • Gamez J
      • Salvado M
      • Martinez-de La Ossa A
      • et al.
      Influence of early neurological complications on clinical outcome following lung transplant.
      Muscle atrophy, as a component of ICUAW, is known to have a profound effect not only on peripheral muscle strength but also inspiratory and expiratory muscles which are required
      • Thille AW
      • Boissier F
      • Muller M
      • et al.
      Role of ICU-acquired weakness on extubation outcome among patients at high risk of reintubation.(intensive care unit)(Report).
      for voice production and cough effectiveness. Impairment of these functions are known to be a strong predictor for both reintubation
      • Thille AW
      • Boissier F
      • Muller M
      • et al.
      Role of ICU-acquired weakness on extubation outcome among patients at high risk of reintubation.(intensive care unit)(Report).
      • Thille WA
      • Boissier WF
      • Ben Ghezala WH
      • Razazi WK
      • Mekontso-Dessap WA
      • Brun-Buisson WC
      Risk factors for and prediction by caregivers of extubation failure in ICU patients: a prospective study*.
      • Beuret P
      • Roux C
      • Auclair A
      • Nourdine K
      • Kaaki M
      • Carton M-J
      Interest of an objective evaluation of cough during weaning from mechanical ventilation.
      and aspiration.
      • Bianchi C
      • Baiardi P
      • Khirani S
      • Cantarella G
      Cough peak flow as a predictor of pulmonary morbidity in patients with dysphagia.
      ,
      • Kulnik ST
      • Birring SS
      • Hodsoll J
      • Moxham J
      • Rafferty GF
      • Kalra L
      Higher cough flow is associated with lower risk of pneumonia in acute stroke.
      The high frequency of dysphagia in patients requiring ICU admission is well reported
      • Kwok AM
      • Davis JW
      • Cagle KM
      • Sue LP
      • Kaups KL
      Post-extubation dysphagia in trauma patients: it's hard to swallow.
      ,
      • Macht M
      • Wimbish T
      • Clark BJ
      • et al.
      Postextubation dysphagia is persistent and associated with poor outcomes in survivors of critical illness.
      ,
      • Hafner G
      • Neuhuber A
      • Hirtenfelder S
      • Schmedler B
      • Eckel HE
      Fiberoptic endoscopic evaluation of swallowing in intensive care unit patients.
      but there is little information on the specific association between ICUAW and swallowing dysfunction and no data in the area of vocal function. High aspiration rates of liquids and saliva are reported, 78% and 48% respectively.
      • Ponfick M
      • Linden R
      • Nowak DA
      Dysphagia–a common, transient symptom in critical illness polyneuropathy: a fiberoptic endoscopic evaluation of swallowing study*.
      Ponfick and colleagues reported that dysphagia completely resolved in 95% of their cohort within 4 weeks however other studies report 1 to 2 months was required before the ability to swallow fluids was regained.
      • Ponfick M
      • Linden R
      • Nowak DA
      Dysphagia–a common, transient symptom in critical illness polyneuropathy: a fiberoptic endoscopic evaluation of swallowing study*.
      ,
      • Thomas S
      • Sauter W
      • Starrost U
      • Pohl M
      • Mehrholz J
      Regaining water swallowing function in the rehabilitation of critically ill patients with intensive-care-unit acquired muscle weakness.
      The ability to predict pharyngeal dysfunction and risk of aspiration based on muscle strength before and after transplantation could be a useful tool for early intervention in this high risk population. Mirzakhani and colleagues
      • Mirzakhani JH
      • Williams JJ-N
      • Mello JJ
      • et al.
      Muscle weakness predicts pharyngeal dysfunction and symptomatic aspiration in long-term ventilated patients.
      found that 70% of patients with muscle weakness (defined by the MRC muscle scale score
      Aids to the Examination of the Peripheral Nervous System.
      ,
      • Paternostro-Sluga T
      • Grim-Stieger M
      • Posch M
      • et al.
      Reliability and validity of the Medical Research Council (MRC) scale and a modified scale for testing muscle strength in patients with radial palsy.
      ) showed symptomatic aspiration events and muscle weakness was associated was an almost ten-fold increase in aspiration risk.

      Gastric motility disorders

      Disorders of gastric motility, including gastroesophageal reflux disease (GERD), esophageal dysmotility and gastroparesis are common in patients with advanced lung disease, including those with idiopathic pulmonary fibrosis and connective tissue disorders.
      • Sweet PM
      • Herbella AMF
      • Leard GL
      • et al.
      The prevalence of distal and proximal gastroesophageal reflux in patients awaiting lung transplantation.
      • Cantu E
      • Appel JZ
      • Hartwig MG
      • et al.
      Early fundoplication prevents chronic allograft dysfunction in patients with gastroesophageal reflux disease.
      • D'Ovidio F
      • Singer LG
      • Hadjiliadis D
      • et al.
      Prevalence of gastroesophageal reflux in end-stage lung disease candidates for lung transplant.
      • Tobin RW
      • Pope CE
      • Pellegrini CA
      • Emond MJ
      • Sillery J
      • Raghu G
      Increased prevalence of gastroesophageal reflux in patients with idiopathic pulmonary fibrosis.
      Several studies report the prevalence of gastric motility disorders to increase following lung transplantation
      • Cantu E
      • Appel JZ
      • Hartwig MG
      • et al.
      Early fundoplication prevents chronic allograft dysfunction in patients with gastroesophageal reflux disease.
      • D'Ovidio F
      • Singer LG
      • Hadjiliadis D
      • et al.
      Prevalence of gastroesophageal reflux in end-stage lung disease candidates for lung transplant.
      • Tobin RW
      • Pope CE
      • Pellegrini CA
      • Emond MJ
      • Sillery J
      • Raghu G
      Increased prevalence of gastroesophageal reflux in patients with idiopathic pulmonary fibrosis.
      with the incidence of GERD reported to be as high as 75%.
      • Davis CS
      • Shankaran V
      • Kovacs EJ
      • et al.
      Gastroesophageal reflux disease after lung transplantation: pathophysiology and implications for treatment.
      • Young LR
      • Hadjiliadis D
      • Davis RD
      • Palmer SM
      LUng transplantation exacerbates gastroesophageal reflux disease*.
      • D'ovidio F
      • Keshavjee S
      Gastroesophageal Reflux and Lung Transplantation.
      The etiology is often multifactorial, however vagal nerve injury, which may occur during dissection for pneumonectomy or during implantation of the donor lungs, as well as immunosuppressive medication regimes, are considered to be large contributors.
      • Yates RB
      • Pellegrini CA
      • Oelschlager BK
      Gastroesophageal refluxand esophageal dysmotility in patients undergoing evaluation for lung transplantation: assessment, evaluation, and management.
      ,
      • Reid KR
      • McKenzie FN
      • Menkis AH
      • et al.
      Importance of chronic aspiration in recipients of heart-lung transplants.
      GERD is a known risk factor for the development of BOS (Bronchiolitis Obliterans Syndrome), the pathologic process of chronic rejection following lung transplantation, and hence increased morbidity and mortality.
      • Hathorn KE
      • Chan WW
      • Lo W-K
      Role of gastroesophageal reflux disease in lung transplantation.
      ,
      • King BJ
      • Iyer H
      • Leidi AA
      • Carby MR
      Gastroesophageal reflux in bronchiolitis obliterans syndrome: a new perspective.
      As a result, some studies advocate for early diagnosis and aggressive management via both medical and surgical means.
      • Hathorn KE
      • Chan WW
      • Lo W-K
      Role of gastroesophageal reflux disease in lung transplantation.
      The strong association between GERD and aspiration has been extensively reported
      • Gulack BC
      • Meza JM
      • Lin SS
      • Hartwig MG
      • Davis RD
      Reflux and allograft dysfunction: is there a connection?.
      ,
      • Hartwig GM
      • Davis DR
      Gastroesophageal reflux disease-induced aspiration injury following lung transplantation.
      and its presence prior to lung transplantation has been reported to independently predict OPD.
      • Atkins BZ
      • Petersen RP
      • Daneshmand MA
      • Turek JW
      • Lin SS
      • Davis Jr., RD
      Impact of oropharyngeal dysphagia on long-term outcomes of lung transplantation.
      GERD leads to an increase in quantity of gastroduodenal contents within the esophagus and esophageal dysmotility, combine with gastroparesis, can lead to delayed clearance of this material. When these factors, combine with supine positioning, high levels of sedating medications, tube-based- enteral feeding, and immunosuppression medications, there is a predisposition to aspiration events.
      • Wood R
      Esophageal dysmotility, gastro-esophageal reflux disease, and lung transplantation: what is the evidence?.
      Furthermore, those undergoing heart and/or lung transplantation are at higher risk of vagal nerve injury which is known to impact on esophageal motility and cause delayed gastric emptying
      • Reid KR
      • McKenzie FN
      • Menkis AH
      • et al.
      Importance of chronic aspiration in recipients of heart-lung transplants.
      ,
      • Hartwig GM
      • Davis DR
      Gastroesophageal reflux disease-induced aspiration injury following lung transplantation.
      Laryngopharyngeal reflux (LPR), defined as the retrograde flow of gastric contents into the larynx, oropharynx and/or nasopharynx is a common and potentially debilitating component of GERD.
      • Martinucci I
      • de Bortoli N
      • Savarino E
      • et al.
      Optimal treatment of laryngopharyngeal reflux disease.
      Presenting features can include oedema of the larynx on laryngoscopy, throat irritation and/or globus pharyngeus. LPR is known to have a direct impact on laryngopharyngeal sensation and hence airway protection during swallowing
      • Aviv JE
      • Liu H
      • Kaplan ST
      • Parides M
      • Close LG
      Laryngopharyngeal sensory deficits in patients with laryngopharyngeal reflux and dysphagia.
      and is strongly associated with voice changes. Dysphonia is often cited as the most common extra-esophageal symptom being reported in up to 71% of patients with LPR.
      • Koufman JA
      The otolaryngologic manifestations of gastroesophageal reflux disease (GERD): a clinical investigation of 225 patients using ambulatory 24-hour pH monitoring and an experimental investigation of the role of acid and pepsin in the development of laryngeal injury.
      Diagnosis of GERD is frequently made based on the presence of symptoms which may be laryngeal and/or pulmonary in nature, however patients with GERD can also be asymptomatic in this population. Given the significant potential impact of GERD on the presence of BOS and associated graft survival, early and more systematic evaluation, including high resolution esophageal manometry, is generally recommended.
      • Posner S
      • Zheng J
      • Wood RK
      • et al.
      Gastroesophageal reflux symptoms are not sufficient to guide esophageal function testing in lung transplant candidates.
      ,
      • Patti MG
      • Vela MF
      • Odell DD
      • Richter JE
      • Fisichella PM
      • Vaezi MF
      The intersection of GERD, aspiration, and lung transplantation.
      The literature supports aggressive management of GERD via both medical and surgical means.
      • Hathorn KE
      • Chan WW
      • Lo W-K
      Role of gastroesophageal reflux disease in lung transplantation.
      Medical management of gastric motility disorders generally involves a combination of lifestyle modifications, (such as diet changes and postural manipulations when eating and sleeping), combined with pharmacological agents such as anti-emetics and prokinetics for gastroparesis
      • Lidor AO
      • Ensor CR
      • Sheer AJ
      • Orens JB
      • Clarke JO
      • McDyer JF
      Domperidone for delayed gastric emptying in lung transplant recipients with and without gastroesophageal reflux.
      and proton pump inhibitors (PPI) for GERD which stop acid production.
      • Yates RB
      • Pellegrini CA
      • Oelschlager BK
      Gastroesophageal refluxand esophageal dysmotility in patients undergoing evaluation for lung transplantation: assessment, evaluation, and management.
      However, because PPI medications do not stop the process of gastroesophageal refux, non -acid refluxate can still be aspirated with an associated concern for injury to the transplanted organs.
      • Yates RB
      • Pellegrini CA
      • Oelschlager BK
      Gastroesophageal refluxand esophageal dysmotility in patients undergoing evaluation for lung transplantation: assessment, evaluation, and management.
      For patients that exhibit ongoing GERD symptoms, despite maximal medical therapy, laporoscopic fundoplication may be considered appropriate to reduce chronic damage to the graft and improve survival.
      • Cantu E
      • Appel JZ
      • Hartwig MG
      • et al.
      Early fundoplication prevents chronic allograft dysfunction in patients with gastroesophageal reflux disease.
      ,
      • Hoppo T
      • Jarido V
      • Pennathur A
      • et al.
      Antireflux surgery preserves lung function in patients with gastroesophageal reflux disease and end-stage lung disease before and after lung transplantation.

      Neurology and medications

      Other mechanisms for the development of OPD and/or dysphonia following transplantation include transient alterations to neurological function in the context of sedating medications and ICU related delirium, or more serious longer term insults such as intra or post-operative stroke. There is limited data regarding the impact of altered sensorium on swallowing function; however a greater aspiration risk has been reported for those not oriented to person, place and time.
      • Leder SB
      • Suiter DM
      • Lisitano Warner H
      Answering orientation questions and following single-step verbal commands: effect on aspiration status.
      The impact of medication regimes on pharyngo-oesophageal function following transplantation must also be considered. Immunosuppressant drugs used to prevent allograft rejection, including mycophenolate, steroids, and calcineurin inhibitors are known stomach irritants which also cause gastroparesis.
      • Hathorn KE
      • Chan WW
      • Lo W-K
      Role of gastroesophageal reflux disease in lung transplantation.
      ,
      • Berkowitz N
      • Schulman LL
      • McGregor C
      • Markowitz D
      Gastroparesis after lung transplantation: potential role in postoperative respiratory complications.
      As a result, it is commonplace to prescribe a PPI and prokinetics to reduce the risk of oesophagitis and micro aspiration of reflux materials as explained above.
      • Miles A
      • Barua S
      • McLellan N
      • Brkic L
      Dysphagia and medicine regimes in patients following lung transplant surgery: a retrospective review.
      ,
      • Hathorn KE
      • Chan WW
      • Lo W-K
      Role of gastroesophageal reflux disease in lung transplantation.
      Medications that impact on the central nervous system are reported to be frequently prescribed,
      • Miles A
      • Barua S
      • McLellan N
      • Brkic L
      Dysphagia and medicine regimes in patients following lung transplant surgery: a retrospective review.
      with an associated risk of decreased awareness and reduced voluntary muscle control.
      • Carl L
      • Johnson P
      Drugs and dysphagia.
      Furthermore, medications that cause xerostomia or have a known side effect of oesophageal dysmotility are common. Although these medications may be an essential component of the transplantation journey, the multidisciplinary team need to work together closely to understand the interaction and impact of medications on swallowing function.

      Risk factors

      Definitive risk factors for the development of OPD and dysphonia following heart and/or lung transplantation are poorly understood (Table 1). As a result of the scant and conflicting nature of the data surrounding pre and post-operative risk factors, robust prospective studies are needed in this field in order to form any conclusions to guide clinical practice.
      Table 1Documented risk factors for swallowing and laryngeal dysfunction after lung and heart transplantation
      Pre-operativePost-operativeComplications
      GERDIncreased duration of intubationEffusion or empyema
      Lower BMIIncreased ICU LOSVenous thrombosis
      Advanced ageIncreased hospital LOSAcute rejection
      Tobacco use
      History of cerebrovascular disease
      Abbreviations: LOS, length of stay; BMI, body mass index; GERD, gastro-esophageal reflux disease; ICU, intensive care unit

      Evaluation and diagnosis

      Within Australian transplantation units, assessment of swallowing and voice function is not conducted as a routine element of the transplantation workup process, but rather referral is made to a speech language pathologist (SLP) if any concerns are raised by the patient or the multidisciplinary team. Following transplantation, OPD and dysphonia, may present after extubation and should trigger referral to SLP for formal assessment.

      Dysphonia

      Screening for dysphonia at the bedside is usually conducted by a SLP following concerns regarding perceptually abnormal voice. Subjective voice tasks can include maximum phonation time, s/z ratios, pitch range, auditory-perceptual evaluation of voice quality in conversational speech, and sustained phonation. These tasks can be easily conducted at the bedside in the ICU, depending on patient cognition and medical status, and can be indicators for potential referral for further investigation by a laryngologist. The s/z ratio has been shown to have significant accuracy for detection of laryngeal pathology amongst dysphonic patients in other clinical populations
      • Eckel FC
      • Boone DR
      The S/Z ratio as an indicator of laryngeal pathology.
      and is reported to have a high positive predictive value for the diagnosis of impaired vocal fold mobility post intubation.
      • Van Der Meer G
      • Ferreira Y
      • Loock JW
      The S/Z ratio: a simple and reliable clinical method of evaluating laryngeal function in patients after intubation.
      However, the predictive accuracy for detection of laryngeal pathology via such subjective measures is currently unknown amongst a cardiothoracic transplant population.
      Laryngoscopy via a flexible nasendoscope, conducted by a laryngologist, is considered the optimal diagnostic method and involves assessment of secretion management, mucosal integrity, laryngopharyngeal structure, function and sensation. Ideally, videostroboscopy should be conducted to give a detailed view of vocal fold vibration, especially in cases where the larynx appears structurally normal on white light laryngoscopy.
      • Patel RR
      • Awan SN
      • Barkmeier-Kraemer J
      • et al.
      Recommended protocols for instrumental assessment of voice: American speech-language-hearing association expert panel to develop a protocol for instrumental assessment of vocal function.
      Laryngeal electromyography, CT scanning and neck and laryngeal ultrasound can also be used to assess vocal fold movement and RLN function to assist with diagnosis.

      Oropharyngeal dysphagia

      Screening for OPD in all patients within 24 hours of a stroke is now standardized practice as per National Stroke guidelines.
      Clinical Guidelines for Stroke Managment.
      However, despite the evidence to support the high rates of PED amongst patients following cardiothoracic transplantation,
      • Atkins BZ
      • Trachtenberg MS
      • Prince-Petersen R
      • et al.
      Assessing oropharyngeal dysphagia after lung transplantation: altered swallowing mechanisms and increased morbidity.
      ,
      • Black R
      • McCabe P
      • Glanville A
      • Bogaardt H
      • Macdonald P
      • Madill C
      Oropharyngeal dysphagia and laryngeal dysfunction after lung and heart transplantation: a systematic review.
      ,
      • Black RJ
      • Bogaardt H
      • McCabe P
      • Glanville AR
      • Macdonald P
      • Madill C
      Clinical predictors for oropharyngeal dysphagia and laryngeal dysfunction after lung and heart transplantation.
      there is no similar system in place amongst this patient population.
      Formal diagnostic assessment is most commonly conducted after extubation via a clinical bedside swallowing examination conducted by a SLP. The assessment is not standardized but typically involves a case history, a cranial nerve examination with a focus on oromuscular structure, function and sensation and oral trials of food and fluid consistencies. Although this is the most frequently used method of assessment, largely for reasons of convenience and ease of accessibility, the sensitivity of this assessment has been reported to be questionable.
      • McCullough GH
      • Wertz RT
      • Rosenbek JC
      Sensitivity and specificity of clinical/bedside examination signs for detecting aspiration in adults subsequent to stroke.
      Silent aspiration is unable to be confirmed via clinical bedside assessment. Following lung transplantation, rates of silent aspiration are reported to be as high as 77% in those diagnosed with OPD
      • Atkins BZ
      • Trachtenberg MS
      • Prince-Petersen R
      • et al.
      Assessing oropharyngeal dysphagia after lung transplantation: altered swallowing mechanisms and increased morbidity.
      and the clinical bedside assessment has been shown to have poor ability to detect aspiration in this population with sensitivity to detect aspiration of 60% and specificity of 49%.
      • Baumann B
      • Byers S
      • Wasserman-Wincko T
      • et al.
      Postoperative swallowing assessment after lung transplantation.
      Hence, instrumental assessment is strongly recommended to enable accurate diagnosis. This is consistent with the lung transplantation clinical pathway suggested by Baumann and colleagues.
      • Baumann B
      • Byers S
      • Wasserman-Wincko T
      • et al.
      Postoperative swallowing assessment after lung transplantation.
      A videofluoroscopic swallow study (VFSS), conducted in the radiology suite, allows radiographic imaging of the dynamic swallow and is considered highly accurate for detection of aspiration.
      • Scott A
      • Perry A
      • Bench J
      A study of interrater reliability when using videofluoroscopy as an assessment of swallowing.
      • Stoeckli SJ
      • Huisman TAGM
      • Seifert BAGM
      • Martin–Harris BJW
      Interrater reliability of videofluoroscopic swallow evaluation.
      • McCullough GH
      • Wertz RT
      • Rosenbek JC
      • Mills RH
      • Webb WG
      • Ross KB
      Inter- and intrajudge reliability for videofluoroscopic swallowing evaluation measures.
      There are a number of well accepted rating tools to quantify swallow severity and aspiration during the VFSS
      • Rosenbek J
      • Robbins J
      • Roecker E
      • Coyle J
      • Wood J
      A penetration-aspiration scale.
      ,
      • Hutcheson KA
      • Barrow MP
      • Barringer DA
      • et al.
      Dynamic imaging grade of swallowing toxicity (DIGEST): scale development and validation.
      and the visualisation of aspiration on a VFSS has been linked with an increased risk of pneumonia.
      • Pikus L
      • Levine MS
      • Yang Y-X
      • et al.
      Videofluoroscopic studies of swallowing dysfunction and the relative risk of pneumonia.
      However this tool may not be a suitable alternative for an unstable patient in the ICU who cannot leave the unit. Furthermore, VFSS does not allow direct visualization of glottic competence and its interaction with swallowing function.
      The optimal tool to investigate both swallowing and laryngeal function simultaneously is the flexible endoscopic evaluation of swallowing (FEES) conducted via nasendoscopy. The patient is required to conduct voice tasks followed by trials of food and fluid consistencies. FEES has a high sensitivity for detection of silent aspiration
      • Colodny N
      Interjudge and intrajudge reliabilities in fiberoptic endoscopic evaluation of swallowing (Fees ®) using the penetration–aspiration scale: a replication study.
      • Langmore SE
      • Schatz K
      • Olson N
      Endoscopic and videofluoroscopic evaluations of swallowing and aspiration.
      • Giraldo-Cadavid LF
      • Leal-Leaño LR
      • Leon-Basantes GA
      • et al.
      Accuracy of endoscopic and videofluoroscopic evaluations of swallowing for oropharyngeal dysphagia.
      • Madden C
      • Fenton J
      • Hughes J
      • Timon C
      Comparison between videofluoroscopy and milk-swallow endoscopy in the assessment of swallowing function.
      and enables observation of both laryngeal pathology and sensation, and can be conducted at the bedside. This makes FEES a highly usable tool in the ICU following heart and/or lung transplantation.
      • Miles A
      • Barua S
      • McLellan N
      • Brkic L
      Dysphagia and medicine regimes in patients following lung transplant surgery: a retrospective review.
      ,
      • Seeliger B
      • Drick N
      • Avsar M
      • et al.
      Risk factors and outcomes of vocal cord paralysis after lung transplantation – a retrospective cohort study.
      ,
      • Aviv JE
      • Liu H
      • Kaplan ST
      • Parides M
      • Close LG
      Laryngopharyngeal sensory deficits in patients with laryngopharyngeal reflux and dysphagia.
      ,
      • Colodny N
      Interjudge and intrajudge reliabilities in fiberoptic endoscopic evaluation of swallowing (Fees ®) using the penetration–aspiration scale: a replication study.
      Unfortunately, this method of assessment may not be readily available in all units due to skill mix and/or access to equipment.

      Prognosis and management

      OPD following transplantation can be of extended duration, with the mean length of time for resolution reported to be up to 91.8 +/- 170 days.
      • Miles A
      • Barua S
      • McLellan N
      • Brkic L
      Dysphagia and medicine regimes in patients following lung transplant surgery: a retrospective review.
      ,
      • Atkins BZ
      • Trachtenberg MS
      • Prince-Petersen R
      • et al.
      Assessing oropharyngeal dysphagia after lung transplantation: altered swallowing mechanisms and increased morbidity.
      These figures render a high likelihood for longer term enteral feeding requirements and/or texture diet modifications, however, resolution of dysphagia appears to be seen in most patients before discharge with low rates of percutaneous endoscopic gastrostomy insertion.
      • Miles A
      • Barua S
      • McLellan N
      • Brkic L
      Dysphagia and medicine regimes in patients following lung transplant surgery: a retrospective review.
      After surgery, the multidisciplinary team strive to reduce the risks of rejection or dysfunction of the allograft, as well as BOS. Infectious complications are common and while not all are caused by retrograde or anterograde aspiration of food, drink, gastric contents and/or saliva, avoidance of aspiration and protection of the allograft lung is clearly critical.
      • Patti MG
      • Vela MF
      • Odell DD
      • Richter JE
      • Fisichella PM
      • Vaezi MF
      The intersection of GERD, aspiration, and lung transplantation.
      Yet, management of OPD amongst critical care patients is generally underexplored and has not been directly investigated in this transplant population. Dysphagia management generally involves strict oral hygiene regimes, postural changes, texture diet modifications and various therapeutic interventions with newer techniques such as surface electromyography and respiratory muscle strength training being investigated amongst other clinical populations.
      • Mancopes R
      • Smaoui S
      • Steele C
      Effects of expiratory muscle strength training on videofluoroscopic measures of swallowing: a systematic review.
      • Troche MS
      Respiratory muscle strength training for the management of airway protective deficits.
      • Hutcheson KA
      • Barrow MP
      • Plowman EK
      • et al.
      Expiratory muscle strength training for radiation-associated aspiration after head and neck cancer: a case series.
      • Stepp CE
      Surface electromyography for speech and swallowing systems: measurement, analysis, and interpretation.
      The trajectory of recovery for laryngotracheal injuries and the associated treatment plan is directly associated with the severity of dysfunction. Dysphonia associated with intubation trauma, demonstrated by inflammation or granuloma on laryngoscopy, may recover spontaneously,
      • Ganzel TM
      • Brohm J
      • Nechtman CM
      • Ganzel BL
      • Klein JB
      • Gray Jr, LA
      Otolaryngologic problems in cardiac transplant patients.
      however it is generally treated by a SLP in conjunction with a laryngologist. Training in vocal care and voice techniques are provided to attain optimal voice quality whilst minimizing further trauma to the vocal folds to avoid longer term voice misuse. Dysphonia associated with LPR requires medical management via both pharmacological methods and dietary and lifestyle modifications.
      • Martinucci I
      • de Bortoli N
      • Savarino E
      • et al.
      Optimal treatment of laryngopharyngeal reflux disease.
      The optimal treatment plan for more severe pathology, such as unilateral VFP, varies depending on severity of injury, expected prognosis for recovery, patient co-morbidities, patient willingness to undergo further invasive interventions and local policy at the specific transplant centre.
      • Zuniga S
      • Ebersole B
      • Jamal N
      Inpatient injection laryngoplasty for vocal fold immobility: when is it really necessary?.
      Laryngeal electromyography can be used to assist with prognosis for spontaneous recovery of paralysis, however it is not widely available and is not always definitive.
      Early injection laryngoplasty, which involves injection of a biocompatible resorbable material to temporarily increase bulk and improve vocal fold closure, can be used short to medium term (see Graphic 2 for images of pre/post laryngoplasty). Laryngeal framework surgery is used in the longer term or where spontaneous recovery is unlikely.
      • Atkins BZ
      • Trachtenberg MS
      • Prince-Petersen R
      • et al.
      Assessing oropharyngeal dysphagia after lung transplantation: altered swallowing mechanisms and increased morbidity.
      ,
      • de La Rosa A
      • Aguilar J
      • Barbu A
      • Chang D
      • Kobashigawa J
      Uniqueness of laryngeal nerve injury following heart transplantation.
      ,
      • Hendriks T
      • Wormald R
      Improvement in lung function following medialisation thyroplasty in a postbilateral lung transplant patient.
      Early injection laryngoplasty has been adopted in some centres based on the concept that compromised glottic function places the patient at higher risk for aspiration related infection. The procedure can be conducted in-office or at the bedside and is considered low risk.
      Graphic 2
      Graphic 2Pre and post injection laryngoplasty.
      Pre injection laryngoplasty – (A) vocal folds in abducted position and (B) vocal folds in adducted position.
      Post injection laryngoplasty – (C) vocal folds in abducted position and (D) vocal folds in adducted position.
      However, the limited available evidence within the heart and lung transplant populations renders argument for direct and early intervention challenging. Seeliger et al
      • Seeliger B
      • Drick N
      • Avsar M
      • et al.
      Risk factors and outcomes of vocal cord paralysis after lung transplantation – a retrospective cohort study.
      recently reported VFP to be transient in 65% of a cohort of lung transplant patients who recovered spontaneously within a period of 6 months and that VFP did not adversely affect graft function, survival or secondary complication rates.However, Atkins et al
      • Atkins BZ
      • Trachtenberg MS
      • Prince-Petersen R
      • et al.
      Assessing oropharyngeal dysphagia after lung transplantation: altered swallowing mechanisms and increased morbidity.
      report that 75% of their cohort required medialization. Early medialization via reabsorbable implant has been suggested to reduce the need for later more permanent surgical intervention, (e.g., thyroplasty),
      • Friedman AD
      • Burns JA
      • Heaton JT
      • Zeitels SM
      Early versus late injection medialization for unilateral vocal cord paralysis.
      ,
      • Fang TJ
      • Pei YC
      • Li HY
      • Wong AMK
      • Chiang HC
      Glottal gap as an early predictor for permanent laryngoplasty in unilateral vocal fold paralysis.
      reduce length of stay and pulmonary complications
      • Chen DW
      • Price MD
      • Lemaire SA
      • Coselli JS
      • Liou NE
      • Ongkasuwan J
      Early versus late inpatient awake transcervical injection laryngoplasty after thoracic aortic repair.
      and enable earlier resumption of an oral diet.
      • Graboyes EM
      • Bradley JP
      • Meyers BF
      • Nussenbaum B
      Efficacy and safety of acute injection laryngoplasty for vocal cord paralysis following thoracic surgery.
      Earlier injection laryngoplasty is also known to be associated with improvement in long term emotional and social functioning and mental health
      • Fang TJ
      • Pei YC
      • Li HY
      • Wong AMK
      • Chiang HC
      Glottal gap as an early predictor for permanent laryngoplasty in unilateral vocal fold paralysis.
      ,
      • Pei Y-C
      • Fang T-J
      • Hsin L-J
      • Li H-Y
      • Wong AM
      Early hyaluronate injection improves quality of life but not neural recovery in unilateral vocal fold paralysis: an open-label randomized controlled study.
      and the accepted consensus in the laryngology literature is that it improves quality of life and patient outcomes whilst waiting for potential recovery of VFP.
      • Vila PM
      • Bhatt NK
      • Paniello RC
      Early-injection laryngoplasty may lower risk of thyroplasty: a systematic review and meta-analysis.
      • Reder L
      • Bertelsen C
      • Angajala V
      • O'Dell K
      • Fisher L
      Hospitalized patients with new-onset vocal fold immobility warrant inpatient injection laryngoplasty.
      • Sielska-Badurek EM
      • Sobol M
      • Jędra K
      • Rzepakowska A
      • Osuch-Wójcikiewicz E
      • Niemczyk K
      Injection laryngoplasty as miniinvasive office-based surgery in patients with unilateral vocal fold paralysis - voice quality outcomes.
      • Mohammed H
      • Masterson L
      • Gendy S
      • Nassif R
      Outpatient-based injection laryngoplasty for the management of unilateral vocal fold paralysis – clinical outcomes from a UK centre.
      Hence, further robust studies within the transplantation field may support the argument for more aggressive VFP management for improved patient outcomes.

      Patient outcomes

      For those patients diagnosed with OPD and/or dysphonia after transplantation, the literature suggests an increased risk for a prolonged and complicated hospital admission. Increased hospital length of stay,
      • Miles A
      • Barua S
      • McLellan N
      • Brkic L
      Dysphagia and medicine regimes in patients following lung transplant surgery: a retrospective review.
      ,
      • Atkins BZ
      • Trachtenberg MS
      • Prince-Petersen R
      • et al.
      Assessing oropharyngeal dysphagia after lung transplantation: altered swallowing mechanisms and increased morbidity.
      readmissions to ICU,
      • Black RJ
      • Bogaardt H
      • McCabe P
      • Glanville AR
      • Macdonald P
      • Madill C
      Clinical predictors for oropharyngeal dysphagia and laryngeal dysfunction after lung and heart transplantation.
      and increased ICU length of stay
      • Miles A
      • Barua S
      • McLellan N
      • Brkic L
      Dysphagia and medicine regimes in patients following lung transplant surgery: a retrospective review.
      ,
      • Black RJ
      • Bogaardt H
      • McCabe P
      • Glanville AR
      • Macdonald P
      • Madill C
      Clinical predictors for oropharyngeal dysphagia and laryngeal dysfunction after lung and heart transplantation.
      have been reported. The exact nature of these associations has not yet been explored, however the contribution of factors such as critical illness weakness and extended duration of intubation are likely to play a large role as previously discussed. Post-operative complications such as effusion/empyemas, venous thromboses and acute rejection have also been reported to be increased amongst patients with OPD and dysphonia.
      • Atkins BZ
      • Trachtenberg MS
      • Prince-Petersen R
      • et al.
      Assessing oropharyngeal dysphagia after lung transplantation: altered swallowing mechanisms and increased morbidity.
      However, there are conflicting results in the literature. Seeliger and colleagues reported that amongst their large cohort of patients following lung transplantation, there was no inferior rates of 3 year graft survival and CLAD survival in those patients with VFP vs no VFP.
      • Seeliger B
      • Drick N
      • Avsar M
      • et al.
      Risk factors and outcomes of vocal cord paralysis after lung transplantation – a retrospective cohort study.
      The association between repetitive aspiration of gastro-duodenal contents secondary to GERD and the development of BOS, has been well explored in the literature.
      • Gulack BC
      • Meza JM
      • Lin SS
      • Hartwig MG
      • Davis RD
      Reflux and allograft dysfunction: is there a connection?.
      ,
      • Hartwig GM
      • Davis DR
      Gastroesophageal reflux disease-induced aspiration injury following lung transplantation.
      ,
      • Patti MG
      • Vela MF
      • Odell DD
      • Richter JE
      • Fisichella PM
      • Vaezi MF
      The intersection of GERD, aspiration, and lung transplantation.
      ,
      • Hartwig MG
      • Appel JZ
      • Li B
      • et al.
      Chronic aspiration of gastric fluid accelerates pulmonary allograft dysfunction in a rat model of lung transplantation.
      Current data does not support any association between OPD and dysphonia and BOS.
      • Seeliger B
      • Drick N
      • Avsar M
      • et al.
      Risk factors and outcomes of vocal cord paralysis after lung transplantation – a retrospective cohort study.
      ,
      • Atkins BZ
      • Petersen RP
      • Daneshmand MA
      • Turek JW
      • Lin SS
      • Davis Jr., RD
      Impact of oropharyngeal dysphagia on long-term outcomes of lung transplantation.
      However, given the known relationship between GERD and BOS, it appears a strong biological plausibility that recurrent aspiration during the pharyngeal phase of swallowing is also likely to be associated with airway epithelial injury and negative impact on longer term graft function; hence the need for further research in this area.

      Conclusions

      Evidence of high rates of OPD and dysphonia following heart and/or lung transplantation are now beginning to be reported. This review is the first to identify the potential etiology for these complications and their multifactorial nature in this high risk, immunosuppressed population. This inherent complexity may explain the paucity of robust data to direct clinicians as to the optimal assessment and management approaches. To our knowledge there are no prospective studies to date assessing pre- and post-operative voice and swallowing function. Pre-surgical assessment would allow identification of patients who may be at high risk during and following transplantation and also enable the true incidence of OPD and dysphonia to be determined. Information regarding pre and post-operative risk factors for OPD and dysphonia is scant and conflicting and hence clinicians have limited evidence for early identification to optimize outcomes and minimize secondary complications. These points raise further questions as to the best assessment approach including the need for laryngoscopic assessment of function as a part of the transplantation workup process, accurate identification of those at high risk from pre- and post-operative factors such as respiratory function, intubation duration, reflux status, muscle strength and length of stay, and necessity for routine screening following transplantation. Treatment pathways for voice and swallowing disorders in this population where multiple organ systems are contributing to dysfunction, are not established, and the value of aggressive management of VFP through early intervention to minimize secondary complications is not known. Further research is required to inform the development of a comprehensive best practice protocol, which would be an advancement in understanding for the multidisciplinary team, enabling effective collaboration to reduce aspiration risk and optimize quality of life for the transplant population.

      Author contributions

      Rebecca Black: Primary author responsible for concept of the manuscript, literature review, writing and editing. Daniel Novakovic: Provision of expert opinion in regard to laryngeal complications and management, graphics, editing. Marshall Plit: Provision of expert opinion in regard to lung transplantation content, editing. Anna Miles: Provision of expert opinion in regard to speech pathology management, editing. Peter MacDonald: Provision of expert opinion in regard to cardiac transplantation, editing. Catherine Madill: Concept of the manuscript in conjunction with the primary author, extensive contributions to writing and editing.

      Disclosure statement

      The authors have no conflict of interest to declare. This work was conducted at St Vincent's hospital, Sydney and was partially funded from the trust funds of the department of thoracic medicine. The production of the manuscript was supported by the Dr Liang voice programme at the University of Sydney.

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