BEST PRACTICES: CARIES-RISK ASSESSMENT AND MANAGEMENT
THE REFERENCE MANUAL OF PEDIATRIC DENTISTRY 301
Purpose
e American Academy of Pediatric Dentistry (AAPD)
recognizes that caries-risk assessment and management proto-
cols, also called care pathways, can assist clinicians with
decisions regarding treatment based upon a child’s age, caries
risk, and patient compliance and are essential elements of con-
temporary clinical care for infants, children, and adolescents.
ese recommendations are intended to educate healthcare
providers and other interested parties on the assessment of
caries risk in contemporary pediatric dentistry and aid in
clinical decision making regarding evidence- and risk-based
diagnostic, uoride, dietary, and restorative protocols.
Methods
is document was developed by the Council on Clinical
Aairs, adopted in 2002
1
, and last revised in 2019
2
. To update
this document, an electronic search was conducted of publi-
cations from 2012 to 2021 that included systematic reviews/
meta-analyses or reports from expert panels, clinical guidelines,
and other relevant reviews using the terms: caries risk assess-
ment AND diet, sealants, uoride, radiology, nonrestorative
treatment, active surveillance, caries prevention. Five hundred
ninety-two articles met these criteria. Papers for review were
chosen from this list and from references within selected
articles. When data did not appear sucient or were incon-
clusive, recommendations were based upon expert and/or
consensus opinion by experienced researchers and clinicians.
Background
Caries-risk assessment
Risk assessment procedures used in medical practice generally
have sucient data to accurately quantitate a persons disease
susceptibility and allow for preventive measures. However, in
dentistry, suciently-validated multivariate screening tools to
determine which children are at higher risk for dental caries
are limited.
3,4
Two caries risk assessment tools, namely the
Cariogram
5
and CAMBRA tools
6
, have been validated in clinical
trials and clinical outcomes studies. Several other published
caries-risk assessment tools utilize similar components but
have not been clinically validated.
5,7
Nevertheless, caries-risk
assessment:
1. fosters the treatment of the disease process instead of
treating the outcome of the disease.
2. allows an understanding of the disease factors for a
specic patient and aids in individualizing preventive
discussions.
3. individualizes, selects, and determines frequency of
preventive and restorative treatment for a patient.
4. anticipates caries progression or stabilization.
Caries-Risk Assessment and Management for
Infants, Children, and Adolescents
Latest Revision
2022
How to Cite: American Academy of Pediatric Dentistry. Caries-risk
assessment and management for infants, children, and adolescents.
The Reference Manual of Pediatric Dentistry. Chicago, Ill.: American
Academy of Pediatric Dentistry; 2023:301-7.
Abstract
This best practice reviews caries-risk assessment and patient care pathways for pediatric patients. Presented caries-related topics include
caries-risk assessment, active surveillance, caries prevention, sealants, fluoride, diet, radiology, and nonrestorative treatment. Caries-risk
assessment forms are organized by age: 0-5 years and 6 years old, incorporating three factor categories (social/behavioral/medical, clin-
ical, and protective factors) and disease indicators appropriate for the patient age. Each factor category lists specific conditions to be graded
“Yes” if applicable, with the answers tallied to render a caries-risk assessment score of high, moderate, or low. The care management
pathway presents clinical care options beyond surgical or restorative choices and promotes individualized treatment regimens dependent
on patient age, compliance with preventive strategies, and other appropriate strategies. Caries management forms also are organized by
age: 0-5 years and 6 years old, addressing risk categories of high, moderate, and low, based on treatment categories of diagnostics, pre-
ventive interventions (fluoride, diet counseling, sealants), and restorative care. Caries-risk assessment and clinical management pathways
allow for customized periodicity, diagnostic, preventive, and restorative care for infants, children, adolescents, and individuals with special needs.
This document was developed through a collaborative effort of the American Academy of Pediatric Dentistry Councils on Clinical Affairs and
Scientific Affairs to offer updated information and recommendations regarding assessment of caries-risk and risk-based management protocols.
KEYWORDS: CARIES-RISK ASSESSMENT; CARIES PREVENTION; CLINICAL MANAGEMENT PATHWAYS; DENTAL SEALANTS; FLUORIDE
ABBREVIATION
AAPD: American Academy of Pediatric Dentistry.
BEST PRACTICES: CARIES-RISK ASSESSMENT AND MANAGEMENT
302 THE REFERENCE MANUAL OF PEDIATRIC DENTISTRY
Caries-risk assessment is part of a comprehensive treatment
plan approach based on age of the child, starting with the age
one visit. Caries-risk assessment models currently involve a
combination of factors including diet, uoride exposure, a
susceptible host, and microora that interplay with a variety of
social, cultural, and behavioral factors.
8
Caries-risk assessment
is the determination of the likelihood of the increased inci-
dence of caries (i.e., new cavitated or incipient lesions) during
a certain time period
9,10
or the likelihood that there will be a
change in the size or activity of lesions already present. With
the ability to detect caries in its earliest stages (i.e., noncavitated
or white spot lesions), health care providers can help prevent
cavitation.
11
Caries risk factors are variables that are thought to cause
the disease directly (e.g., microora) or have been shown useful
in predicting it (e.g., life-time poverty, low health literacy)
and include those variables that may be considered protective
factors. e most-used caries-risk factors include low salivary
ow, visible plaque on teeth, high frequency sugar consump-
tion, presence of appliance in the mouth, health challenges,
sociodemographic factors, access to care, and cariogenic
microora.
11
e presence of caries lesions, either noncavitated
or cavitated, also has been shown in numerous studies to be
a strong indicator of caries risk. Clinical observation of caries
lesions, or restorations recently placed because of such lesions,
are best thought of as disease indicators rather than risk
factors since these lesions do not cause the disease directly or
indirectly but, very importantly, indicate the presence of the
factors that cause the disease. Protective factors in caries risk
include a child’s receiving optimally-uoridated water, having
Table 1. Caries-risk Assessment Form for 0-5 Years Old
Use of this tool will help the health care provider assess the child’s risk for developing caries lesions. In addition, reviewing specic
factors will help the practitioner and parent understand the variable inuences that contribute to or protect from dental caries.
Factors
High risk Moderate risk Low risk
Risk factors, social/behavioral/medical
Mother/primary caregiver has active dental caries Yes
Parent/caregiver has life-time of poverty, low health literacy Yes
Child has frequent exposure (>3 times/day) between-meal sugar-containing
snacks or beverages per day
Yes
Child uses bottle or nonspill cup containing natural or added sugar frequently,
between meals and/or at bedtime
Yes
Child is a recent immigrant Yes
Child has special health care needs
α
Yes
Risk factors, clinical
Child has visible plaque on teeth Yes
Child presents with dental enamel defects Yes
Protective factors
Child receives optimally-uoridated drinking water or uoride supplements Yes
Child has teeth brushed daily with uoridated toothpaste Yes
Child receives topical uoride from health professional Yes
Child has dental home/regular dental care Yes
Disease indicators
ß
Child has noncavitated (incipient/white spot) caries lesions
Yes
Child has visible caries lesions Yes
Child has recent restorations or missing teeth due to caries Yes
α
Practitioners may choose a dierent risk level based on specic medical diagnosis and unique circumstances, especially conditions that aect
motor coordination or cooperation.
ß
While these do not cause caries directly or indirectly, they indicate presence of factors that do.
Instructions: Circle “Yes” that corresponds with those conditions applying to a specic patient. Use the circled responses to visualize the balance
among risk factors, protective factors, and disease indicators. Use this balance or imbalance, together with clinical judgment, to assign a caries
risk level of low, moderate, or high based on the preponderance of factors for the individual. Clinical judgment may justify the weighting of one
factor (e.g., heavy plaque on the teeth) more than others.
Overall assessment of the child’s dental caries risk: High Moderate Low
Adapted with permission from the California Dental Association, (Ramos-Gomez et al. )
33
Copyright © October 2007.
BEST PRACTICES: CARIES-RISK ASSESSMENT AND MANAGEMENT
THE REFERENCE MANUAL OF PEDIATRIC DENTISTRY 303
teeth brushed daily with uoridated toothpaste, receiving
topical uoride from a health professional, and having regular
dental care.
11,12
Some limitations with the risk factors include the
following:
Past caries experience is not particularly useful in young
children, and activity of lesions may be more important
than number of lesions.
Low salivary ow is dicult to measure and may not
be relevant in young children.
13
Frequent sugar consumption is hard to quantitate.
Sociodemographic factors are just a proxy for various
exposures/behaviors which may aect caries risk.
Predictive ability of various risk factors across the life
span and how risk changes with age have not been
determined.
14
Genome-level risk factors may account for substantial
variations in caries risk.
Risk assessment tools can aid in the identication of
specic behaviors or risk factors for each individual and allow
dentists and other health care professionals to become more
actively involved in identifying and referring high-risk children.
Tables 1 and 2 incorporate available evidence into practical
tools to assist dental practitioners, physicians, and other non-
dental health care providers in assessing levels of risk for
caries development in infants, children, and adolescents. As
new evidence emerges, these tools can be rened to provide
Table 2. Caries-risk Assessment Form for ≥6 Years Old
25
(For Dental Providers)
Use of this tool will help the health care provider assess the child’s risk for developing caries lesions. In addition, reviewing specic
factors will help the practitioner and patient/parent understand the variable inuences that contribute to or protect from dental caries.
Factors
High risk Moderate risk Low risk
Risk factors, social/behavioral/medical
Patient has life-time of poverty, low health literacy Yes
Patient has frequent exposure (>3 times/day) between-meal sugar-containing
snacks or beverages per day
Yes
Child is a recent immigrant Yes
Patient uses hyposalivatory medication(s) Yes
Patient has special health care needs
α
Yes
Risk factors, clinical
Patient has low salivary ow Yes
Patient has visible plaque on teeth Yes
Patient presents with dental enamel defects Yes
Patient wears an intraoral appliance Yes
Patient has defective restorations Yes
Protective factors
Patient receives optimally-fluoridated drinking water Yes
Patient has teeth brushed daily with fluoridated toothpaste Yes
Patient receives topical fluoride from health professional Yes
Patient has dental home/regular dental care Yes
Disease indicators
ß
Patient has interproximal caries lesion(s) Yes
Patient has new noncavitated (white spot) caries lesions Yes
Patient has new cavitated caries lesions or lesions into dentin radiographically Yes
Patient has restorations that were placed in the last 3 years (new patient) or
in the last 12 months (patient of record)
Yes
α
Practitioners may choose a dierent risk level based on specic medical diagnosis and unique circumstances, especially conditions that aect
motor coordination or cooperation.
ß
While these do not cause caries directly or indirectly, they indicate presence of factors that do.
Instructions: Circle “Yes” that corresponds with those conditions that apply to a specic patient. Use the circled responses to visualize the balance among
risk factors, protective factors, and disease indicators. Use this balance or imbalance, together with clinical judgment, to assign a caries risk level of
low, moderate, or high based on the preponderance of factors for the individual. Clinical judgment may justify the weighting of one factor (e.g.,
heavy plaque on the teeth) more than others.
Overall assessment of the dental caries risk: High Moderate Low
Adapted with permission from the California Dental Association, (Featherstone et al.)
34
Copyright © October 2007.
BEST PRACTICES: CARIES-RISK ASSESSMENT AND MANAGEMENT
304 THE REFERENCE MANUAL OF PEDIATRIC DENTISTRY
greater predictably of caries in children prior to disease initia-
tion. Furthermore, the evolution of caries-risk assessment tools
and care pathways can assist in providing evidence for and
justifying periodicity of services, modication of third-party
involvement in the delivery of dental services, and quality of
care with outcomes assessment to address limited resources
and workforce issues.
Care pathways for caries management
Care pathways are documents designed to assist in clinical
decision making; they provide criteria regarding diagnosis and
treatment and lead to recommended courses of action.
15
e
pathways are based on evidence from current peer-reviewed
literature and the considered judgment of expert panels, as
well as clinical experience of practitioners. Care pathways for
caries management in children aged 0-2 and 3-5 years old
were rst introduced in 2011.
16
Care pathways are updated
frequently as new technologies and evidence develop.
Historically, the management of dental caries was based
on the notion that it was a progressive disease that eventually
destroyed the tooth unless there was surgical/restorative inter-
vention. Decisions for intervention often were learned from
unstandardized dental school instruction and then rened by
clinicians over years of practice. It is now known that surgical
intervention of dental caries alone does not stop the disease
process. Additionally, many lesions do not progress, and tooth
restorations have a nite longevity. erefore, modern manage-
ment of dental caries should be more conservative and includes
early detection of noncavitated lesions, identification of an
individual’s risk for caries progression, understanding of the
disease process for that individual, and active surveillance to
apply preventive measures and monitor carefully for signs of
arrest or progression.
Care pathways for children further rene the decisions
concerning individualized treatment and treatment thresholds
based on a specic patient’s risk levels, age, and compliance
with preventive strategies (Tables 3 and 4). Such clinical path-
ways yield greater probability of success, fewer complications,
and more ecient use of resources than less standardized
treatment.
15
Table 3. Example of Caries Management Pathways for 0-5 Years Old
Risk category Diagnostics
Preventive interventions
Restorative
interventions
Fluoride Dietary
counseling
Sealants
Low risk – Recall every six to 12
months
– Radiographs every 12
to 24 months
– Drink optimally-uoridated
water
Twice daily brushing with
uoridated toothpaste
Yes Yes – Surveillance
Moderate risk – Recall every six months
– Radiographs every six
to 12 months
– Drink optimally-uoridated
water (alternatively, take
uoride supplements
with uoride-decient
water supplies)
Twice daily brushing with
uoridated toothpaste
– Professional topical treatment
every six months
Yes Yes – Active surveillance of non-
cavitated (white spot)
caries lesions
– Restore cavitated or
enlarging caries lesions
High risk – Recall every three months
– Radiographs every six
months
– Drink optimally-uoridated
water (alternatively, take
uoride supplements
with uoride-decient
water supplies)
Twice daily brushing with
uoridated toothpaste
Professional topical treatment
every three months
Silver diamine uoride on
cavitated lesions
Yes Yes – Active surveillance of non-
cavitated (white spot)
caries lesions
– Restore cavitated or
enlarging caries lesions
– Interim therapeutic
restorations (ITR) may
be used until permanent
restorations can be
placed
Notes for caries management pathways table:
Twice daily brushing: Parental supervision of a “smear” amount of uoridated toothpaste for children under age three, pea-size amount
for children ages three through ve.
Surveillance: Periodic monitoring for signs of caries progression; active surveillance: active measures by parents and oral health professionals
to reduce cariogenic environment and monitor possible caries progression.
Silver diamine uoride: Use of 38 percent silver diamine uoride to assist in arresting caries lesions; informed consent: particularly
highlighting expected staining of treated lesions.
Sealants: e decision to seal primary and permanent molars should account for both the individual-level and tooth-level risks.
BEST PRACTICES: CARIES-RISK ASSESSMENT AND MANAGEMENT
THE REFERENCE MANUAL OF PEDIATRIC DENTISTRY 305
Content of the present caries management protocol is
based on results of systematic reviews and expert panel
recommendations that provide better understanding of and
recommendations for diagnostic, preventive, and restorative
treatments. Recommendations for the use of uoridated
toothpaste are based on four systematic reviews
17-20
,
dietary
uoride supplements are based on the Centers for Disease
Control and Preventions uoride guidelines
21
, professionally-
applied and prescription strength home-use topical uoride are
based on two systematic reviews
19,22
, the use of silver diamine
uoride to arrest caries lesions also is based on two systematic
reviews
23,24
.
Radiographic diagnostic recommendations are
based on the uniform guidelines from national organizations.
25
Recommendations for pit-and-ssure sealants are based on
two systematic reviews
26,27
, with only the American Dental
Association/AAPD review addressing sealants for primary
teeth. Dietary interventions are based on a systematic review of
strategies to reduce sugar-sweetened beverages.
28
Caries risk is
assessed at both the individual level and tooth level. Treatment
of caries with interim therapeutic restorations is based on
the AAPD policy and recommended best practices.
29,30
Active
surveillance (prevention therapies and close monitoring) of
enamel lesions is based on the concept that treatment of
disease may only be necessary if there is disease progression,
31
and that caries can arrest without treatment.
32
Other approaches to the assessment and treatment of dental
caries will emerge with time and, with evidence of eectiveness,
may be included in future guidelines on caries-risk assessment
and care pathways.
Recommendations
1. Dental caries-risk assessment, based on a childs age,
social/behavioral/medical factors, protective factors, and
clinical ndings, should be a routine component of new
and periodic examinations by oral health and medical
providers.
2. While there is not enough information at present to have
quantitative caries-risk assessment analyses, estimating
Table 4. Example of a Caries Management Pathways for ≥6 Years Old
Risk category Diagnostics
Preventive interventions
Restorative
interventions
Fluoride Dietary
counseling
Sealants
Low risk – Recall every six to
12 months
– Radiographs every
12 to 24 months
– Drink optimally-uoridated
water
Twice daily brushing with
uoridated toothpaste
Yes Yes – Surveillance
Moderate risk – Recall every six months
– Radiographs every
six to 12 months
– Drink optimally-uoridated
water (alternatively, take
uoride supplements
with uoride-decient
water supplies)
Twice daily brushing with
uoridated toothpaste
– Professional topical treatment
every six months
Yes Yes – Active surveillance of non-
cavitated (white spot)
caries lesions
– Restore cavitated or
enlarging caries lesions
High risk – Recall every three
months
– Radiographs every
six months
– Drink optimally-uoridated
water (alternatively, take
uoride supplements
with uoride-decient
water supplies)
Brushing with 0.5 percent
uoride gel/paste
Professional topical treatment
every three months
Silver diamine uoride on
cavitated lesions
Yes Yes – Active surveillance of non-
cavitated (white spot)
caries lesions
– Restore cavitated or
enlarging caries lesions
– Interim therapeutic
restorations (ITR) may
be used until permanent
restorations can be
placed
Notes for caries management pathways table:
Twice daily brushing: Parental supervision of a pea-size amount of uoridated toothpaste for children six years of age.
Surveillance: Periodic monitoring for signs of caries progression; active surveillance: active measures by parents and oral health professionals
to reduce cariogenic environment and monitor possible caries progression.
Silver diamine uoride: Use of 38 percent silver diamine uoride to assist in arresting caries lesions; informed consent: particularly
highlighting expected staining of treated lesions.
Sealants: Although studies report unfavorable cost/benet ratio for sealant placement in low caries-risk children, expert opinion favors
sealants in permanent teeth of low-risk children based on possible changes in risk over time and dierences in tooth anatomy. e
decision to seal primary and permanent molars should account for both the individual-level and tooth-level risks.
BEST PRACTICES: CARIES-RISK ASSESSMENT AND MANAGEMENT
306 THE REFERENCE MANUAL OF PEDIATRIC DENTISTRY
children at low, moderate, and high caries risk by a
preponderance of risk and protective factors and disease
indicators will enable a more evidence-based approach to
medical provider referrals, as well as establish periodicity
and intensity of diagnostic, preventive, and restorative
interventions.
3. Care pathways, based on a child’s age and caries risk,
provide health providers with criteria and protocols for
determining the types and frequency of diagnostic,
preventive, and restorative interventions for patient-
specic management of dental caries.
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