ADVANCING THE CAUSE OF
INTERCEPTIVE ORTHODONTICS
The foundation for dental mal-occlusion and disfigured faces is established within the
first five years of life. Though genetics plays a part, research in craniofacial
development points to extrinsic factors as the most influential in abnormal facial growth.

Natural potential expressed. |

A preventable compromised result. |
THE CONTROVERSY
Although credible studies demonstrate significant benefits in early treatment to
correct skeletal discrepancies, others have shown that relapse is common in multi-phase
treatment, and posit that ultimately, single-phase adolescent treatment is the more time
and cost effective.
Non-professionals in the insurance industry have taken this controversy as an
opportunity to further limit costs / benefits through re-defining covered orthodontic
services. In some areas of the country, the integrity and motives of those suggesting
interceptive treatment has been questioned.
What is the truth about interceptive treatment? What are the causes of malocclusion and
abnormal facial growth? To what extent can these causes be influenced by treatment? What
are the risks of delaying treatment? Why is there relapse? How could it be prevented or
reduced? Can we make treatment more predictable, with fewer esthetic compromises.
Recently a family traveled to our office for evaluation of a 15-yr. old daughter who
had completed orthodontic treatment a few years previously. Her bite had since opened, and
the asymmetry in her mandible put her chin >15mm off midline. They had been meeting with
surgeons. Before discussing treatment options, we spent time explaining the physiology and
process of developing the presenting deformity ... to which the mother, a nurse, excitedly
responded that now, for the first time, she understood her daughters problem. This
knowledge is a powerful force that we will need to draw from to successfully complete the
treatment.
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THE DEVELOPMENT OF MID AND LOWER FACIAL DEFORMITIES STATES:
"The infantile swallow is characterized by: 1) a positioning of the tongue between
the gum pads holding the jaws apart as the swallow is completed, 2) a stabilization of the
mandible by contraction of the "facial" muscles and the interposed tongue, and
3) a swallow which is initiated, and to a great degree guided by, the sensory interchange
between the "lips" and the "tongue." This infantile swallow is
normally given up sometime during the first year of life. (Handbook of Facial Growth)
And, later adds: "The orofacial and jaw musculature is responsible for the vital
positional relationships that maintain the airway. All learned jaw functions are built
around and accommodated to the mandibular and tongue positions which make possible a clear
air-way."
If the airway is clear, and there are no related genetic or traumatic defects, the
infant successfully nurses (with nasal breathing), as its oral musculature, digestive, and
nervous system mature. The pressure of the tongue on the palate stimulates the mid-facial
bones, and the A-P jaw movement pumps the small Eustachian tubes, as its oral musculature,
digestive, and nervous system begin to mature.
"During the latter half of the first year of life, several maturational events
occur that alter markedly the orofacial musculatures functioning. The arrival of the
incisors cues the more precise opening and closing movements of the mandible, compels a
more retracted tongue posture, and initiates the learning of mastication. As soon as
bilateral posterior occlusion is established (usually with the eruption of the first
primary molars), true chewing motions are seen to start, and the learning of the mature
swallow begins. Gradually, the fifth cranial nerve muscles assume the role of muscular
stabilization during the swallow, and the muscles of facial expression abandon the crude
infantile function of suckling and the infantile swallow and then begin to learn the more
delicate and complicated functions of speech and facial expressions."

Facial graphical analysis. |

Lateral graphical analysis. |
Characteristic features of the mature swallow are; (1) the teeth are
together (although they may be apartwith a liquid bolus); (2) the mandible is
stabilized by contractions of the fifth cranial nerve muscles; (3) the tongue tip is held
against the palate above and behind the incisors; and (4) minimal contractions of the lips
are seen during the swallow.
Harvold demonstrated with primates the development of anterior open bite as the result
of nasal obstruction. The mandible reflexively drops, and "learns" to
reposition, arcing downward to open the airway, the lips contracting to simulate the nares
function, the buccinators returning to the infantile mandible-stabilizing role, and the
tongue bunching forward to humidify the air like the turbinates. The result is an
underdeveloped maxilla (due to the orofacial muscle pressure and lack of occlusal and
lingual stimulation), apertognathia, and long face.
When the tonsils are swollen and/or tender, the tongue moves down and forward to avoid
contact and to open the airway. This results in minimal stimulation of the maxilla
(causing an underdeveloped maxillary arch), and excessive forces on the mandible, causing
cross-bite and prognathism.
An additional extrinsic factor in developing
malocclusions is abnormal sleep posture. Stomach sleeping with the face into the pillow,
the mouth forming a pocket in the pillow to humidify and warm the air during mouth
breathing, exerts the heaviest traction on the lower face. When the teeth are separated by
the tongue, there is little to prevent the mandible from sliding to the opposite side ...
compressing the TM Joint, and placing stretching traction on the ipsilateral hemimandible.
During deep sleep, there is no proprioception from the joint until the patient cycles into
a lighter level, during which time, the pain typically signals for a temporary shift in
sleep posture, or a period of bruxing.
From these principles, one can further apply the fundamentals of facial development to
under-stand the pathogenesis of most facial dysmorphisms.
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THE CASE FOR INTERCEPTIVE TREATMENT.
Schellhas, Boering, and others have demonstrated the
prevalence of internal derangements of the TMJs in the pediatric population, along with
their contribution to retrognathia and asymmetry. Fortunately, studies have demonstrated
the potential for repair or healing during the early stages of degenerative change,
especially in youth. Unaddressed, these degenerative and maladaptive changes continue
actively into the second decade of life. It is my opinion that the majority of these cases
develop due to the mandibular instability that is the result of mouth breathing, retained
infantile swallow, and face-sleeping.
Interceptive orthodontics has the potential to halt and reverse the progressive
aberrant growth in two ways.
In many cases, patients have been able to convert to
nasal breathing following aggressive maxillary arch development (especially in the
pre-maxilla / cuspid area), and establishment of stable occlusal contacts at correct
vertical (with discs properly on condyles). In others, this treatment must be complemented
by dietary changes and ENT surgery. Once nasal breathing is established, treatment can
develop both arches to contain the tongue volume comfortably (neutral zone), allowing a
tooth-together swallow, and also develop anterior coupling to complete the oral functional
matrix.
Although treatment is initially unstable, the tooth-together swallow is
self-supportive, and the cyclic vertical occlusal pressure facilitates maturation of the
alveolus around the newly aligned dentition. In early interceptive treatment, getting the
patient "on track" in this way allows the natural down-and- forward growth of
the face and mandible to occur coupled together. This normally occurs with the growth of
the tongue, but this potential will not be realized with an infantile swallow due to the
tongue not being contained within the arch. The downward force also occurs in the sinuses,
which will generally continue after the tongue completes development.
In contrast, adolescent (late)
treatment suffers from multiple compromises; among which are: 1.) Significantly reduced
potential for midface anterior development due impacted sinuses and near completion of
tongue growth with-out the functional oral matrix. 2.) The development of the basal bone
of the mandible is near mature and narrow, limiting the potential for arch development, or
correction of the angle and corpus length. 3.) The learned, deviate swallow habit has
matured; lip size and position are now fixed, and have become a part of the persona. 4.)
Slow, chronic remodeling has occurred around the TMJ and mandible to accommodate the
internal derangement (if present). 5.) The patient is rarely willing to be involved in the
extensive extra treatment required (including changing sleep posture).
"The most crowded case (with a mature swallow) is easier than a slightly crowded
mouth breather."
AVOIDING RELAPSE.
Comprehensively diagnose and educate. (2.) Use appliances: a.) that will continue to
stimulate orthopedically until nature fully "kicks-in," b.) that can be adjusted
periodically following initial active treatment to insure that the arch keeps up with
growth, and c.) that are minimally invasive and easy to clean (can be safely left in
without complaint while new growth and function mature) (3.) Work to establish the mature
swallow, get patient functioning on the dentition, and maintain function over time.
The ALF appliance was developed
to address #2. and #3). It has the power necessary to gain the necessary arch dimension in
a short period. Its powerful forces in the premaxilla facilitate nasal breathing. It can
be converted to manage anterior brackets to effect alignment and coupling with small
elastic wires, etc. It can be left in place for extended periods while new arch
development matures, and is easily tweaked to activate for facial growth. The triomega
loop design occupies minimal space, yet reminds the tongue of its posture. The design has
proven itself for well over a decade, and is readily adapted to each individuals
technique or requirements.
The included case demonstrates a young patient with compromised nasal breathing. He is
already developing a long face with a lateral distortion. Both arches are crowded (the
reason for referral), the premaxilla is particularly underdeveloped, the lips compress the
arch as they form a small breathing aperture, and the tongue bunches inferiorly. The plan
is to develop both arches and premaxilla, allowing the mandible to autorotate closed and
forward (which necessitates adequate tongue space.)
The ALF appliances are placed and activated. After there is adequate arch length for
uncrowding, brackets are placed on the "1"s. In this case, the buccal tubes have
Clear Triad "plugs" in the distal, and the light arch wire is cut slightly long
to provide labial pressure (the proximity of the tubes to brackets precludes wire problems
and controls force vectors). The laterals are then tied in, and the arch levels. Brackets
help reduce the lip pressure. The ALF continues to be activated past that necessary for
uncrowding until there is adequate space for a mature swallow conversion, and every effort
made to insure adequate nasal breathing. Occlusion is tested regularly to assure that it
is balanced.
The initial changes occur in a
matter of months. A lip bumper may need to be added to the lower appliance, but, due to
primary tooth anchorage, is small, stable, and effectively generates new keratinized
tissue.
Brackets are eventually removed and the arch form maintained from the lingual
appliance, which is evaluated briefly for activation at the 6-month hygiene visits.
Pictures are also included to show use of the extended buccal tube (on an omega wire)
assembly which is soldered to bands placed on the primary molars. This auxiliary
facilitates control over vertical positioning and R-L slant. The
appliance is readily adjusted intraorally with a Weingard pliers, but is cemented with
EBA cement to allow easy removal and re-cementation (small bonded "ledges" on
the cuspids stabilize the appliance against accidental dislodging.) This design carries
into full arch treatment and allows (as shown) correction of sloping occlusion (caused by
face sleeping or similar trauma.)
Using uneven omega tubes to correct canted occlusion.
The ability to diagnose and intercept facially disfiguring and functionally compromised
and unstable malocclusions with a high degree of success is the most exciting dental
achievement of our time. The impact of facial form and esthetics on self esteem has been
demonstrated in numerous studies. There is still so much work to be done to further
increase the level of predictability, educate, and broad-en the access to this service
and technology is expanding the potential at the moment we need it!
by Dr. Darrick Nordstrom
Featured speaker at the American 0rthodontic Society Foundation meeting.
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