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FACIAL PROFILE CHANGES WITH EXTRACTION OF FOUR FIRST PREMOLARS IN CAUCASIAN, CLASS I, MINIMALLY-CROWDED, ADOLESCENT PATIENTS Daniel J. Cloward, D.M.D. An Abstract Presented to the Graduate Faculty of Saint Louis University in Partial Fulfillment of the Requirements for the Degree of Master of Science in Dentistry 2013 Abstract Purpose: The purpose of this study is to investigate the effect that the extraction of four first premolars has on the facial profiles of Caucasian, Class I, minimallycrowded, adolescent patients. Materials and Methods: A sample of 30 subjects was selected from the archives at Saint Louis University Center for Advanced Dental Education. Cases were selected based on these criteria: 1) Caucasian, 2) adolescent, 3) Class I molar relationship, 4) treatment with extraction of four first premolars, 5) <5 mm of initial crowding in the most crowded arch. Pretreatment (T1) and post treatment (T2) cephalograms were analyzed. Paired t-tests were performed to analyze the differences between the pre- and post-treatment values. Linear regression analysis was performed to evaluate the strength of correlation between incisor and lip retraction. Results: There was a statistically significant decrease in the horizontal distance for the upper lip, lower lip, upper incisor, and lower incisor. The reduction of the upper and lower lip to E-plane was -2.82 mm and -3.47 mm respectively. The mean ratio for the retraction of the upper incisor to upper lip was 2.1:1 (r=.619), and for the lower incisor to lower lip was 1.1:1 (r=.874). 1 Conclusions: Upper and lower lip protrusion was reduced resulting in an overall flattening of the facial profile. There was a moderate correlation between retraction of the upper incisors and upper lip, but there was an even stronger correlation between retraction of the lower incisors and lower lip. 2 FACIAL PROFILE CHANGES WITH EXTRACTION OF FOUR FIRST PREMOLARS IN CAUCASIAN, CLASS I, MINIMALLY-CROWDED, ADOLESCENT PATIENTS Daniel J. Cloward, D.M.D. A Thesis Presented to the Graduate Faculty of Saint Louis University in Partial Fulfillment of the Requirements for the Degree of Master of Science in Dentistry 2013 COMMITTEE IN CHARGE OF CANDIDACY: Professor Eustaquio A. Araujo, Chairperson and Advisor Professor Rolf G. Behrents Associate Professor Ki Beom Kim i DEDICATION This work is dedicated to my wife, Heather. Thank you for your constant love and support during my orthodontic residency. Thank you for your patience as I have pursued my dream beyond dental school to become an orthodontist. Thank you also to my children, Tyler, Tessa, Olivia, and Jayden for sharing their father to the educational and professional process to become an orthodontist. Also, thank you for providing me balance and joy throughout this journey. And lastly, to the faculty of Saint Louis University, it has been an honor to have been trained under your exceptional guidance. Your instruction and mentorship will serve as a strong foundation for the rest of my professional career. ii ACKNOWLEDGEMENTS This project could not have been completed without the help and support of the following individuals: Dr. Eustaquio Araujo. Thank you for your guidance during my thesis preparation and for enriching my education with your tremendous dedication and enthusiasm for orthodontics. Dr. Rolf Behrents. Thank you for your contributions to my thesis and allowing me to obtain an orthodontic education at Saint Louis University. Dr. Ki Beom Kim. Thank you for your guidance during my thesis preparation and revisions, and for the value that you have added to my clinical education. Dr. Heidi Israel. Thank you for your assistance with the statistical analysis for this thesis. iii TABLE OF CONTENTS List of Tables............................................v List of Figures..........................................vi CHAPTER 1: INTRODUCTION...................................1 CHAPTER 2: REVIEW OF THE LITERATURE Normal Dental Occlusion..............................2 Class I Dental Malocclusion..........................2 Definition......................................2 Prevalence......................................3 Orthodontic Treatment...........................3 Prevalence of Extractions............................4 Effect of Extractions on Facial Profile..............6 Relation of Incisor Position to Lip Position........11 Statement of Thesis.................................16 Literature Cited....................................18 CHAPTER 3: JOURNAL ARTICLE Abstract............................................21 Introduction........................................23 Materials and Methods...............................24 Sample.........................................24 Methodology....................................24 Statistical Analysis...........................28 Reliability....................................28 Results.............................................29 Horizontal Measurements........................29 Vertical Measurements..........................30 Angular Measurements...........................31 Linear Regression Analysis.....................33 Discussion..........................................35 Conclusions.........................................41 Literature Cited....................................42 Appendix.................................................44 Vita Auctoris............................................45 iv LIST OF TABLES Table 2.1 Change in lip position to E-Plane following premolar extraction........................8 Table 2.2 Effects of incisor retraction on the upper and lower lip.............................13 Table 3.1 Changes in cephalometric horizontal measurements..............................29 Table 3.2 Changes in cephalometric vertical measurements..............................30 Table 3.3 Changes in cephalometric angular measurements..............................32 Table 3.4 Relationship between incisor retraction and subsequent lip change.....................33 Table 3.5 Comparison of change in lip position to EPlane following premolar extraction in previous studies compared with the present study.....................................37 Table 3.6 Comparison of the effects of incisor retraction on the upper and lower lip in previous studies with the present study.....................................38 Table A.1 Landmarks and Definitions.................44 v LIST OF FIGURES Figure 2.1 Prevalence of extractions of four first premolars at five year intervals...........5 Figure 3.1 Landmarks located.........................25 Figure 3.2 Reference planes..........................26 Figure 3.3 Combined horizontal and vertical changes in mm for the upper and lower incisors and lips from T1 to T2.............................31 Figure 3.4 Scatter gram of upper incisor to upper lip retraction for each subject in the study.....................................34 Figure 3.5 Scatter gram of lower incisor to lower lip retraction for each subject in the study.....................................34 vi CHAPTER 1: INTRODUCTION There have been many studies that have examined the changes in facial profile that occur as a result of bicuspid extractions during orthodontic treatment. This area of research has been important because a primary consideration when making orthodontic treatment decisions is assessing how the treatment will affect the patient’s facial profile. Past studies have shown that premolar extractions generally result in some flattening of the face.1-9 This can be either advantageous or detrimental depending on the particular patient’s profile. Other studies have attempted to quantify the relationship between the amount of incisor retraction and the subsequent amount of lip retraction.10-17 While some of these studies have established a significant correlation between these variables, there has been great individual variation. Few studies, if any, have considered the amount of crowding that patients exhibit pretreatment when measuring the effect that premolar extraction had on the facial profile. The purpose of this study is to investigate the effect that the extraction of four first premolars has on the facial profiles of Caucasian, Class I, minimallycrowded, adolescent patients. 1 CHAPTER 2: REVIEW OF THE LITERATURE Normal Dental Occlusion Early on the focus of orthodontics was on alignment of teeth and the correction of facial proportions. There was little emphasis placed on bite relationships or how the teeth came together. It wasn’t until the late 1800s that the concept of occlusion was formally defined. Angle as “the father of modern orthodontics” gave us the first clear and simple definition of normal occlusion. He believed that the upper molars were the key to occlusion and that the upper and lower molars should be related so that the mesiobuccal cusp of the upper molar occludes in the buccal groove of the lower molar.18 If a person has this molar relationship along with their teeth being arranged along a smoothly curving line of occlusion, they are considered to have a normal occlusion. Class I Dental Malocclusion Definition Angle described three classes of malocclusion, based on the occlusal relationships of the first molars. In Class I malocclusion the molars have a normal relationship, as previously described for a normal occlusion, but the 2 line of occlusion is incorrect because of malpositioned teeth, rotations, or other irregularities.18 Prevalence The NHANES III survey provided a picture of how many American children and youths fall into each of Angle’s four groups of occlusion. Estimates from this survey, showed that a maximum of 30% had normal occlusion. Approximately 50 to 55% had Class I malocclusion which made up the single largest group. Approximately 15% had Class II malocclusion, and less than 1% were classified as Class III.19 Orthodontic Treatment In general, patients with a Class I malocclusion with minimal crowding or an arch length discrepancy of less than 4 mm, are treated without extractions. When arch length discrepancy ranges from 5 to 9 mm, such cases are considered borderline for extraction treatment. Then when crowding becomes 10 mm or more, extractions are almost always required. The presence of protrusion in addition to crowding can also complicate the decision whether to extract teeth or not in the patient with a Class I malocclusion.20 3 Prevalence of Extractions Throughout history the acceptance of extractions as a viable form of treatment has swung from one extreme to the other. Angle was a strong advocate for nonextraction treatment, but then later on Tweed became one of the strongest advocates for extractions. In 1966, Tweed estimated the extraction rate in orthodontics to be about 80%.21 In 1979, a study of extraction frequency from an office in the Northeastern United States estimated that the prevalence of extraction treatment to be around 42% of orthodontic cases.22 In 1993, O’Connor looked at contemporary trends in orthodontics based on the previous five years. A large survey of practitioners across the United States showed a decline in the reported extraction rate from 38% to 29%.23 In 1994, Proffit looked at changes in extraction rate over the previous forty year period.24 The most frequently used extraction pattern to treat crowding is four first premolars. Figure 2.1 demonstrates the prevalence of this pattern over a forty year period. 4 FOUR FIRST PREMOLAR EXTRACTIONS PERCENT OF PATIENTS 60 50 40 30 20 10 0 1953 1958 1963 1968 1973 1978 1983 1988 1993 Figure 2.1. Prevalence of extractions of four first premolars at five year intervals. Adapted from Proffit.24 Proffit also reported the total extraction percentage over the same time period. He estimated the extraction rate to be about 30% in 1953. It then peaked at 76% in 1968, with the belief that extractions would enhance stability. 28% in 1993. The rates then declined, and reached a rate of Reasons noted for the decline from 1983 to 1993 were for improved facial esthetics, the belief that extractions weren’t necessarily more stable, TMJ concerns, and changes in treatment technique.24 5 Effect of Extractions on Facial Profile An article by Bowman and Johnston evaluated the perceptions of dentists and laypersons on the esthetic impact of extraction and non-extraction treatments on Caucasian patients.1 The non-extraction treatment was seen to have little effect on profile, whereas extractions were seen as beneficial to the profile in cases that exhibited greater initial protrusion. In their sample, the extraction patient’s profiles after treatment were on average 1.8 mm flatter than the non-extraction patients. Regression analysis showed that both dentists and laypersons saw extractions as being beneficial when the lips were more protrusive than 2 to 3 mm behind Ricketts’ E-plane. Ricketts defined the “E-plane” as a line from the nose to the chin and claimed that most people have an aversion to the lips that protrude past this plane. He claimed the upper lip should be related to the lower lip and the lower lip should be considered the main reference. He believed that the ideal adult lower lip should be located 4 mm behind the E-plane +/-3 mm.25 Bishara assessed the perception that laypersons have on the profile changes that occurred for patients that underwent extraction of four first premolars or had 6 nonextraction treatment. normal control group.26 These were also compared to a Immediately after treatment, judges perceived the changes in the profile of the extraction group more favorably than the non-extraction and normal groups. However, at 2 years posttreatment, the raters did not evaluate the profile of any of the groups as being more favorable, but that all were perceived as more favorable than before treatment. Boley also evaluated the perceptions of 192 experienced general dentists and orthodontists.27 Facial photos were collected from the main author’s practice and consisted of 25 consecutively treated nonextraction patients and 25 consecutively treated four-premolarextraction patients. The photos were randomized, and the dental professionals were asked to discern which cases they felt were treated with extractions. They were only correct 54% of the time, which was only slightly better than pure chance. For many years, the desire to achieve or maintain ideal facial esthetics has been a factor in deciding whether or not to extract teeth during orthodontic treatment. There have been numerous studies conducted that attempt to evaluate or quantify the effects that extractions have on the facial profile.1-9 7 Many of the extraction studies have used Rickett’s E-plane to evaluate the amount of profile change that occurs during treatment. These results are summarized in Table 2.1. Table 2.1. Change in lip position to E-Plane following premolar extraction Investigator Lip Change Upper Lip Lower Lip Kocadereli2 -1.0 -1.1 Drobocky and Smith3 -3.4 -3.6 James4 -3.3 Bishara et al5 -3.7 -3.4 Paquette et al6 -3.1 Luppanapornlarp et al7 -2.9 Bravo8 -3.4 Bowman and Johnston1 -3.8 -2.5 Luecke and Johnston9 -2.4 -1.4 Kocadereli’s study included a sample of 80 white patients that had an Angle Class I malocclusion. Half of the sample underwent extraction of four first premolars, while the other half were treated nonextraction.2 The average retraction of the upper lip and lower lip for the extraction group with respect to the E-plane was 1.0 mm and 1.1 mm respectively. This was a significantly greater reduction than for the nonextraction group even though for 8 both groups the lips moved posterior in relation to the E plane. The maxillary and mandibular incisors showed significant retroclination in the extraction group, whereas in the nonextraction group, there was a noticeable proclination of the incisors. Another study by Drobocky and Smith examined the change in facial profile for a large sample of 160 patients from different sources that were also treated with removal of four first premolars.3 Mean changes following the extraction treatment were retraction of the upper and lower lips behind the E line of -3.4 mm and -3.6 mm respectively, and an increase in the nasolabial angle of 5.2 degrees. Also, 80 to 90% of the patients had soft tissue measurements that indicated the profile either improved or remained satisfactory throughout treatment. James conducted a study using 170 consecutively treated cases, 108 of which were treated with extractions and 62 without extractions.4 He showed a change in the lower lip to E plane of -3.3 mm for the extraction group, and -1.1 mm for the nonextraction group. When broken down by extraction pattern, extraction of four first premolars showed the greatest change at -3.77 mm. It was interesting to note that the posttreatment lower lip E-value for the extraction group (E = -2.6) was very close to the 9 pretreatment value for the nonextraction group (E = -2.9). In other words, the extraction group’s final profile was about the same as the nonextraction group’s starting profile. Bishara et al demonstrated in a sample of 44 Class II Division 1 patients that had extraction of four first premolars a significant reduction in lip protrusion.5 There was a change from the upper and lower lip from the E-plane of -3.7 mm and -3.4 mm respectively. In the nonextraction group the E-values actually increased. Additionally, the extraction group had more upright maxillary and mandibular incisors following treatment, whereas the nonextraction group had opposite tendencies. Paquette et al showed a change of -3.1 mm of the lower lip to E-plane following extractions in Class II Division 1 patients that were classified as “borderline” for extractions. This compared to a change of -0.6 mm for the comparable nonextraction group.6 Luppanapornlarp et al then showed a change of -2.9 mm for the lower lip to E-plane for a “clear-cut” Class II extraction group, compared to -0.5 mm in the study’s nonextraction group.7 Bravo conducted a small study of 16 adolescent Caucasian female patients that were treated with extraction of four premolars. His study also showed a reduction in 10 lip protrusion following treatment. The change of the upper and lower lips to the E-plane was -3.4 mm and -3.8 mm respectively.8 Bowman and Johnston also showed a reduction in lip protrusion from the sample in their study. They showed a decrease in the lower lip to E-plane of 2.5 mm.1 However, this wasn’t as large of a decrease as has been demonstrated in some of the other former studies. Luecke and Johnston measured the effect of premolar extractions on the soft tissues. Their study consisted of 42 Class II Division 1 patients that had maxillary first premolars removed. Changes were measured parallel to the mean functional occlusal plane. The incisors were retracted significantly, but this only resulted in 1.4 mm of maxillary lip retraction and 0.1 mm of mandibular lip retraction. This was translated into a change in the upper and lower lips to the E-plane of -2.4 mm and -1.4 mm respectively.9 Relation of Incisor Position to Lip Position The lips and soft tissues surrounding the oral cavity play a significant role in facial esthetics. The soft tissues surrounding the mouth are in close proximity to the dentition. There are several articles in the past literature that have sought to explore this relationship 11 between the hard and soft tissues of the perioral cavity.1017, 28-35 Riedel found that the changes in the soft tissue profile correlated well with changes in the skeletal profile.28 Subtelny explains that the position of the soft tissues covering the lower jaw and the maxillary and mandibular dentoalveolar areas is strongly dependent on the position of the hard tissue structures. He stresses that the strong interrelationship between the lips and the dental structures is obviously important to the orthodontist.29 Bloom conducted a study of 60 male and female adolescents to evaluate the relationship between the changes to incisor position and resulting soft tissue changes.30 His scatter diagrams of the change in incisor and lip positions showed a strong linear relationship. While the upper lip was shown to follow the movement of the upper incisors (r=.87), there was an even stronger correlation between the lower lip and the lower incisors (r=.93). Another study by Hershey had a sample of 36 Caucasian postadolescent females, 32 of which had four first premolars extracted and the other 4 were treated without extractions. He found a stronger correlation between 12 retraction of upper incisor to the upper lip (r=.79) than for the lower incisor to lower lip (r=.52). He also noted that the correlation of the lower incisor to the lower and upper lip was much stronger for the patients in the Class I group.31 Many authors also support a direct correlation between the incisor position and lip position, although some report greater correlations than others.10-17 The ratio of incisor to lip retraction in these studies is summarized in Table 2.2. Table 2.2. Effects of incisor retraction on the upper and lower lip Investigator Ratio U1 : U Lip L1 : L Lip Rudee10 2.9 : 1 0.6 : 1 Roos11 2.5 : 1 1.0 : 1 Garner12 3.6 : 1 1.0 : 1 Lo and Hunter13 2.5 : 1 Waldman14 3.8 : 1 Perkins and Staley15 2.2 : 1 Kasai16 2.4 : 1 Hanson17 2.0 : 1 13 1.3 : 1 Rudee investigated the relationship between the incisors and lips in 85 consecutively treated patients from his office. The ratio for upper incisor to upper lip retraction was 2.9:1 (r=.73), and for lower incisor to lower lip was .6:1 (r=.70).10 Roos showed similar ratios of 2.5:1 (r=.42) for the upper incisor to upper lip, and 1:1 (r=.82) for the lower incisor to lower lip.11 also showed similar ratios. Other studies Lo and Hunter13 recorded a ratio of 2.5:1 (r=.77)for upper incisor to upper lip retraction, and Perkins and Staley15 reported the ratio of 2.2:1. In a sample of 16 African American adolescents, Garner reported a ratio of 3.6:1 for the upper incisor to upper lip retraction, and 1:1 for the lower incisor to lower lip.12 There was a high degree of individual variation among patients and there was less predictability for retraction of the upper lip than for the lower lip. Waldman also reported a ratio of 3.8:1 for upper incisor to upper lip retraction in a study of 41 Class II patients.14 His sample also showed a large variability among patients. In a study of 32 Japanese women treated with four premolar extractions, Kasai concluded using a multiple regression analysis that movement of the lower lip could be predicted fairly well by lower incisor retraction, but that 14 upper incisor retraction had a weaker association in predicting upper lip movement. The reported ratio for the upper incisor to upper lip retraction was 2.4:1.16 This weaker association may be due to the complex anatomy and dynamics of the upper lip which is suspended from the nose and the anterior nasal spine.36 Hanson completed a thesis at Saint Louis University, where she looked at different extraction patterns and the resulting dental and soft tissue changes. She reported relatively good correlations between incisor movement and lip position. The ratio for the upper incisor to upper lip was 2:1 (r=.71) and the lower incisor to lower lip was 1.3:1 (r=.73).17 Some authors have reported that there does not seem to be a direct correlation between incisor retraction and lip response.32, 34, 35 Burstone stated that if a redundancy of lip tissue exists, most likely the tissue will not fall back following retrusion of the teeth.32 He claims that there may be a postulated anteroposterior position of the lips independent of the teeth. This is demonstrated in samples of dentulous and edentulous people. Oliver also demonstrated in his study of 40 Caucasian patients with a Class II, Division 1 malocclusion that lip thickness affects the correlation between incisor retraction and 15 subsequent soft tissue response. He found that there was a high correlation for patients with thin lips or with high lip strain, but that there was a weak correlation for patients with thick lips or low lip strain.33 Neger showed cases where the dentoskeletal changes were significant, but net change in soft tissue profile was rather slight. He also showed cases where the profile improved significantly following retraction of teeth, so he saw variable results in different cases.34 Wylie evaluated cases that Tweed had treated and made the argument that it wasn’t the angulation or position of the lower incisor that improved the facial profile in his cases. Rather, he claimed that it was primarily mandibular growth that should be credited for the improvement in facial profile.35 Overall, there appears to be some degree of relationship between changes in incisor position and resulting changes in the soft tissues. However, the strength of this correlation appears to differ among individuals. Statement of Thesis Extractions are often times performed to alleviate crowding and to correct anterior-posterior discrepancies of the occlusion. They are also performed to decrease or 16 limit protrusion of the lips and dentition. There is generally some flattening of the facial profile following extraction treatment. This can either be beneficial or detrimental to the patient’s profile depending on the case. While there have been other studies that have evaluated the soft tissue profile changes following extraction treatment, few studies have attempted to control for the amount of crowding or the initial anteriorposterior relationship of the occlusion. This investigation seeks to evaluate the soft tissue profile changes that occur for Class I patients with minimal crowding that undergo orthodontic treatment that includes extraction of four first premolars. 17 Literature Cited 1. Bowman SJ, Johnston LE, Jr. The esthetic impact of extraction and nonextraction treatments on Caucasian patients. Angle Orthod. 2000;70:3-10. 2. Kocadereli I. Changes in soft tissue profile after orthodontic treatment with and without extractions. Am J Orthod Dentofacial Orthop. 2002;122:67-72. 3. Drobocky OB, Smith RJ. Changes in facial profile during orthodontic treatment with extraction of four first premolars. Am J Orthod Dentofacial Orthop. 1989;95:220-30. 4. James RD. A comparative study of facial profiles in extraction and nonextraction treatment. Am J Orthod Dentofacial Orthop. 1998;114:265-76. 5. Bishara SE, Cummins DM, Jakobsen JR, Zaher AR. Dentofacial and soft tissue changes in Class II, division 1 cases treated with and without extractions. Am J Orthod Dentofacial Orthop. 1995;107:28-37. 6. Paquette DE, Beattie JR, Johnston LE, Jr. A long-term comparison of nonextraction and premolar extraction edgewise therapy in "borderline" Class II patients. Am J Orthod Dentofacial Orthop. 1992;102:1-14. 7. Luppanapornlarp S, Johnston LE, Jr. The effects of premolar-extraction: a long-term comparison of outcomes in "clear-cut" extraction and nonextraction Class II patients. Angle Orthod. 1993;63:257-72. 8. Bravo LA. Soft tissue facial profile changes after orthodontic treatment with four premolars extracted. Angle Orthod. 1994;64:31-42. 9. Luecke PE, 3rd, Johnston LE, Jr. The effect of maxillary first premolar extraction and incisor retraction on mandibular position: testing the central dogma of "functional orthodontics". Am J Orthod Dentofacial Orthop. 1992;101:4-12. 10. Rudee DA. Proportional profile changes concurrent with orthodontic therapy. Am J Orthod. 1964;72:165-75. 18 11. Roos N. Soft-tissue profile changes in Class II treatment. Am J Orthod. 1977;72:165-75. 12. Garner LD. Soft-tissue changes concurrent with orthodontic tooth movement. Am J Orthod. 1974;66:36777. 13. Lo FD, Hunter WS. Changes in nasolabial angle related to maxillary incisor retraction. Am J Orthod. 1982;82:384-91. 14. Waldman BH. Change in lip contour with maxillary incisor retraction. Angle Orthod. 1982;52:129-34. 15. Perkins RA, Staley RN. Change in lip vermilion height during orthodontic treatment. Am J Orthod Dentofacial Orthop. 1993;103:147-54. 16. Kasai K. Soft tissue adaptability to hard tissues in facial profiles. Am J Orthod Dentofacial Orthop. 1998;113:674-84. 17. Hanson RA. Incisor retraction and lip response with various extraction patterns in caucasian females. Saint Louis: Saint Louis University; 2003. 18. Angle EH. Treatments of Malocclusion of the Teeth. 7th ed. Philadelphia: SS White Dent Mfg Co; 1907. 19. Proffit WR, Fields HW, Jr., Moray LJ. Prevalence of malocclusion and orthodontic treatment need in the United States: estimates from the NHANES III survey. Int J Adult Orthodon Orthognath Surg. 1998;13:97-106. 20. Proffit WR, Fields Jr. HW, Sarver DM. Contemporary Orthodontics. 4th ed. Philadelphia: Mosby Elsevier; 2007. 21. Tweed CH. Clinical Orthodontics. Saint Louis: C. V. Mosby; 1966. 22. Peck S, Peck H. Frequency of tooth extraction in orthodontic treatment. Am J Orthod. 1979;76:491-6. 23. O'Connor BM. Contemporary trends in orthodontic practice: a national survey. Am J Orthod Dentofacial Orthop. 1993;103:163-70. 19 24. Proffit WR. Forty-year review of extraction frequencies at a university orthodontic clinic. Angle Orthod. 1994;64:407-14. 25. Ricketts RM. Esthetics, environment, and the law of lip relation. Am J Orthod. 1968;54:272-89. 26. Bishara SE, Jakobsen JR. Profile changes in patients treated with and without extractions: assessments by lay people. Am J Orthod Dentofacial Orthop. 1997;112:639-44. 27. Boley JC, Pontier JP, Smith S, Fulbright M. Facial changes in extraction and nonextraction patients. Angle Orthod. 1998;68:539-46. 28. Riedel RA. An analysis of dentofacial relationships. Am J Orthod. 1957;43:103-19. 29. Subtelny JD. The soft tissue profile, growth and treatment changes. Angle Orthod. 1961;31:105-22. 30. Bloom LA. Perioral profile changes in orthodontic treatment. Am J Orthod. 1961;47:371-9. 31. Hershey HG. Incisor tooth retraction and subsequent profile change in postadolescent female patients. Am J Orthod. 1972;61:45-54. 32. Burstone CJ. Lip posture and its significance in treatment planning. Am J Orthod. 1967;53:262-84. 33. Oliver BM. The influence of lip thickness and strain on upper lip response to incisor retraction. Am J Orthod. 1982;82:141-9. 34. Neger M. A quantitative method for the evaluation of the soft-tissue facial profile. Am J Orthod. 1959;45:739-51. 35. Wylie WL. The mandibular incisor--its role in facial esthetics. Angle Orthod. 1955;25:32-41. 36. Talass MF, Talass L, Baker RC. Soft-tissue profile changes resulting from retraction of maxillary incisors. Am J Orthod Dentofacial Orthop. 1987;91:38594. 20 CHAPTER 3: JOURNAL ARTICLE Abstract Purpose: The purpose of this study is to investigate the effect that the extraction of four first premolars has on the facial profiles of Caucasian, Class I, minimallycrowded, adolescent patients. Materials and Methods: A sample of 30 subjects was selected from the archives at Saint Louis University Center for Advanced Dental Education. Cases were selected based on these criteria: 1) Caucasian, 2) adolescent, 3) Class I molar relationship, 4) treatment with extraction of four first premolars, 5) <5 mm of initial crowding in the most crowded arch. Pretreatment (T1) and post treatment (T2) cephalograms were analyzed. Paired t-tests were performed to analyze the differences between the pre- and post-treatment values. Linear regression analysis was performed to evaluate the strength of correlation between incisor and lip retraction. Results: There was a statistically significant decrease in the horizontal distance for the upper lip, lower lip, upper incisor, and lower incisor. The reduction of the upper and lower lip to E-plane was -2.82 mm and -3.47 mm respectively. The mean ratio for the retraction of the upper incisor to upper lip was 2.1:1 (r=.619), and for the 21 lower incisor to lower lip was 1.1:1 (r=.874). Conclusions: Upper and lower lip protrusion was reduced resulting in an overall flattening of the facial profile. There was a moderate correlation between retraction of the upper incisors and upper lip, but there was an even stronger correlation between retraction of the lower incisors and lower lip. 22 Introduction There have been many studies that have examined the changes in facial profile that occur as a result of bicuspid extractions during orthodontic treatment. This area of research has been important because a primary consideration when making orthodontic treatment decisions is assessing how the treatment will affect the patient’s facial profile. Past studies have shown that premolar extractions generally result in some flattening of the face.1-9 This can be either advantageous or detrimental depending on the particular patient’s profile. Other studies have attempted to quantify the relationship between the amount of incisor retraction and the subsequent amount of lip retraction.10-17 While some of these studies have established a significant correlation between these variables, there has been great individual variation. Few studies, if any, have considered the amount of crowding that patients exhibit pretreatment when measuring the effect that premolar extraction had on the facial profile. The purpose of this study is to investigate the effect that the extraction of four first premolars has on the facial profiles of Caucasian, Class I, minimallycrowded, adolescent patients. 23 Materials and Methods Sample A sample of 30 subjects was selected from the records at Saint Louis University Center for Advanced Dental Education. Cases for the sample were selected based on these inclusion criteria: 1) Caucasian, 2) adolescent, 3) Class I molar relationship, 4) treatment with extraction of four first premolars, 5) <5 mm of initial crowding in the most crowded arch. Crowding was determined by visual analysis of the dental casts. If there was a question of too much crowding, a Tooth Size Arch Length Discrepancy (TSALD) analysis was performed, and the case was either included or excluded based on these results. The 30 subjects in the study consisted of 18 females and 12 males. The average age for the sample at the onset of treatment (T1) was 12.76 +/- 1.25 years and the average age at the end of treatment (T2) was 15.05 +/- 1.2 years. This resulted in an average treatment time of about 2.29 years. Methodology From each of the patient records, pre-treatment (T1) and post-treatment (T2) cephalograms were traced in order to acquire the necessary measurements for the study. 24 For each of the cephalograms, 12 hard and soft tissue anatomical landmarks were located. Their definitions can be found in the Appendix Table A.1 and a diagram of their corresponding location is seen in Figure 3.1. These landmarks were traced at both time points (T1 and T2), then digitized using Dentofacial Planner software (Dentofacial Software, Inc. Dentofacial Planner, Version 7.0, Toronto, Canada). Figure 3.1. Landmarks located 25 Within Dentofacial Planner, two reference planes were constructed in order to create an x-y coordinate grid. A horizontal line was created parallel to the sella-nasion line minus 7 degrees (SN-7) and a vertical line was created perpendicular to this line (SN-7) passing through the landmark sella. This is diagrammed in Figure 3.2. Figure 3.2. Reference Planes 26 From the landmarks and reference planes, 11 linear and 3 angular measurements were derived and computed by the Dentofacial Planner software. Horizontal and vertical measurements from the x-y reference planes were made for upper lip, lower lip, upper incisor, and lower incisor. Also measured were the upper and lower lips to the E-plane and the linear vertical measure of Nasion to Menton. Angular measures consisted of the angle between the mandibular plane (Gonion to Menton) and the long axis of the lower incisor (IMPA), angle between the Sella to Nasion plane and the long axis of the upper incisor (U1 to SN), and the angle between the upper and lower incisor (U1 to L1). The data was corrected for magnification differences between T1 and T2 on an individual basis. The percentage of enlargement was adjusted based on equalizing the distances from sella to nasion (S-N). In this sample the distance was mostly larger for the T2 cephalograms, so these measurements were reduced by the individual enlargement factor. Since magnification does not affect angular measurements, all angles in the study were excluded from being multiplied by a correction factor. 27 Statistical analysis All measurements were taken from T1 and T2 cephalograms. Descriptive data was obtained and statistical analysis was performed using the Statistical Package for the Social Science (IBM SPSS, Version 20, Armonk, NY). Differences between the pre- and post- treatment values were analyzed using paired t-tests for each of the variables. A significance level of p<.05 was set to assess the difference between the variables for times T1 to T2. Associations between incisor retraction and relative lip changes were analyzed using a linear regression analysis. Reliability Cronbach’s alpha was used to determine consistency of measurements. Reliability is considered to be “adequate” when intra-class correlations are greater than or equal to 0.80. Five sets of cephalograms were randomly selected and re-measured to test for intra-examiner reliability. The results indicated that the Cronbach’s alpha was well above 0.80 for all variables. This showed that the original measurements and repeated measurements were at an acceptable level of reliability for accuracy of measurements. 28 Results Horizontal Measurements All of the measurements in the horizontal axis showed statistically significant changes from T1 to T2; all of these measures showed a decrease. The results also showed a decrease of the upper and lower lip to E-plane of -2.82 mm and –3.47 mm respectively. Details are given below in Table 3.1. Table 3.1. Changes in cephalometric horizontal measurements Horizontal Measures Time Variable T1 T2 Mean Change Mean SD Mean SD Mean SD Sig. Upper Lip 88.76 4.58 86.40 4.71 -2.37 2.37 .000* Lower Lip 85.56 5.43 82.68 5.61 -2.89 2.45 .000* Upper Incisor 75.23 5.43 70.27 5.48 -4.95 2.75 .000* Lower Incisor 71.13 4.99 67.85 5.45 -3.28 1.89 .000* UL to Eplane -0.62 2.28 -3.44 2.27 -2.82 1.47 .000* LL to Eplane 2.14 2.69 -1.33 2.59 -3.47 1.59 .000* *P < .01 29 Vertical Measurements The results for the vertical axis measurements from T1 to T2 showed statistically significant changes for the upper lip and lower incisor. significant increase. These two measures showed a Also, the vertical measure of nasion to menton showed a significant increase for the anterior facial height. The vertical measures for lower lip and upper incisor did not yield statistically significant differences. Details are below in Table 3.2. Table 3.2. Changes in cephalometric vertical measurements Vertical Measures Time Variable T1 T2 Mean Change Mean SD Mean SD Mean SD Sig. Upper Lip 64.65 5.36 66.15 5.16 1.50 1.94 .000* Lower Lip 80.68 5.87 81.47 5.41 .79 2.37 .080 Upper Incisor 75.80 5.51 76.57 5.07 .77 2.25 .071 Lower Incisor 72.45 5.50 74.62 4.77 2.17 2.19 .000* Na to Me 122.81 8.45 126.42 7.98 3.61 2.63 .000* *P < .01 30 In Figure 3.3 below it shows the combined horizontal and vertical changes for the upper and lower incisors and lips from T1 to T2. Tooth and Lip Movement 0 Vertical Change -5 -4 -3 U1 -2 -1 0 -1 LL UL -2 L1 -3 Horizontal Change Figure 3.3. Combined horizontal and vertical changes in mm for the upper and lower incisors and lips from T1 to T2. 31 Angular Measurements Results for each of the angular measurements from T1 to T2 showed a statistically significant difference. The IMPA and U1 to SN angles both showed a significant decrease. The interincisal angle of U1 to L1 showed a significant increase. Details are given below in Table 3.3. Table 3.3. Changes in cephalometric angular measures Angular Measures Time Variable T1 T2 Mean Change Mean SD Mean SD Mean SD Sig. IMPA 96.75 4.94 90.02 4.62 -6.74 4.07 .000* U1 to SN 105.3 6.15 99.38 5.62 -5.93 8.47 .001* U1 to L1 121.62 7.59 134.24 6.19 12.62 9.81 .000* *P < .01 32 Linear Regression Analysis Linear regression analyses were run to predict the amount of lip change based on the amount of incisor retraction and to evaluate the strength of these correlations. The results showed statistically significant correlations. Details are given below in Table 3.4. There was a correlation of r=.619 for the retraction of the upper incisor to the upper lip with a mean ratio of 2.1:1. The correlation for the retraction of the lower incisor to lower lip was r=.874 with a mean ratio of 1.1:1. Scattergrams were constructed to show the linear relationship between these variables. See Figures 3.4 and 3.5. Table 3.4: Relationship between incisor retraction and subsequent lip change Standard Mean Regression Ratio Coefficient Independent Variable Dependent Variable Upper Incisor Retraction Upper Lip Change .619* 2.1:1 .361 Lower Incisor Retraction Lower Lip Change .874* 1.1:1 .755 Upper Incisor Retraction Lower Lip Change .682* 1.7:1 .445 Lower Incisor Retraction *p < .01 Upper Lip Change .796* 1.4:1 .620 33 Adjusted R Square Upper lip retraction 9 8 7 6 5 4 3 2 1 0 -1 -2 -1 0 1 2 3 4 5 6 7 8 9 10 11 12 Upper incisor retraction Figure 3.4. Scattergram of upper incisor to upper lip retraction for each subject in the study. 10 9 Lower lip retraction 8 7 6 5 4 3 2 1 0 -1 -2 -1 0 1 2 3 4 5 6 7 8 Lower incisor retraction Figure 3.5. Scattergram of lower incisor to lower lip retraction for each subject in the study. 34 Discussion Previous studies in the literature have examined the effects that extractions have on the soft tissue facial profile. In these studies it has been documented that extractions cause a general reduction in lip protrusion or flattening of the facial profile. This present study aimed to investigate the effects that the specific extraction pattern of four first premolars would have in a sample of Caucasian adolescent patients that began treatment with minimal crowding and an Angle Class I molar occlusion. These are patients that perhaps would not have extractions if it weren’t for some other reason such as excessive lip protrusion or excessive incisor proclination. It might be expected that perhaps in these extraction cases there would be a greater potential for incisor retraction and resultant reduction in lip protrusion. However, on the other hand, maybe the results would simply mirror the results from other extraction studies. The results from this present study did demonstrate a significant reduction in the horizontal position of both the upper lip (-2.37 mm) and lower lip (-2.89 mm), and the upper incisor (-4.95 mm) and lower incisor (-3.28 mm). Hanson’s results17 from a thesis at Saint Louis University 35 for the same extraction pattern of four first premolars were much less. In her study, the reduction for the upper and lower lip was -1.21 mm and -.82 mm, and for the upper and lower incisor was -2.25 mm and -.45 mm respectively. It should be noted that in the present study just as in many other extraction studies, the anchorage protocol for the molars was not considered. Anchorage loss of the molars during treatment could affect the total amount of incisor and lip retraction that can occur. Accounting for the amount of anchorage loss of the molars is something that could be incorporated into a future study. It might also be noted that in this study magnification differences were accounted for by equalizing the distance between Sella and Nasion for the pre- and post-treatment cephalograms. This can help minimize the effect that growth has on the measurement of the difference between the variables from T1 and T2. There was a marked reduction in the facial profile in the present study as was demonstrated by the significant retraction of the upper and lower lips to the E-plane of 2.8 mm and -3.5 mm respectively. A comparison of these results to those from previous studies is summarized in Table 3.5. 36 Table 3.5. Comparison of change in lip position to E-Plane following premolar extraction in previous studies compared with the present study Investigator Lip Change Upper Lip Lower Lip Kocadereli2 -1.0 -1.1 Drobocky and Smith3 -3.4 -3.6 James4 -3.3 Bishara et al5 -3.7 -3.4 Paquette et al6 -3.1 Luppanapornlarp et al7 -2.9 Bravo8 -3.4 Bowman and Johnston1 -3.8 -2.5 Luecke and Johnston9 -2.4 -1.4 Current Study -2.8 -3.5 The current study’s results were very comparable to those of the other studies. The studies by Kocadereli2, Drobocky and Smith3, and Bishara et al5 specifically limited their samples to extractions of four first premolars also. When compared to these studies, the results were very similar with the exception of the study by Kocadereli which had much less reduction in lip protrusion than the current study. Also, when James4 broke down his study by group, four first premolar extractions showed a reduction in the 37 lower lip to E-plane of -3.77 mm which compares to the -3.5 mm in the present study. Several authors have attempted to quantify a ratio for the amount of lip retraction to incisor retraction that occurs during orthodontic treatment. They have done this with hopes to effectively predict how the soft tissues will respond to retraction of the teeth. In the present study, a mean ratio for the retraction of upper incisor to upper lip was 2.1:1, and for retraction of the lower incisor to the lower lip was 1.1:1. The comparison to other studies is summarized in Table 3.6. Table 3.6. Comparison of the effects of incisor retraction on the upper and lower lip in previous studies with the present study Investigator Ratio U1 : U Lip L1 : L Lip Rudee10 2.9 : 1 0.6 : 1 Roos11 2.5 : 1 1.0 : 1 Garner12 3.6 : 1 1.0 : 1 Lo and Hunter13 2.5 : 1 Waldman14 3.8 : 1 Perkins and Staley15 2.2 : 1 Kasai16 2.4 : 1 Hanson17 2.0 : 1 1.3 : 1 Current Study 2.1 : 1 1.1 : 1 38 The ratio of the present study for the lower incisor to lower lip is very similar to that of previous studies. A 1:1 ratio has been pretty consistent among studies. The ratio for the upper incisor to upper lip varies more among studies ranging from 2:1 to 3.8:1. The current study of 2.1:1 compares closely with Hanson17, Perkins and Staley15, Kasai16, Lo and Hunter13, and Roos.11 Through the use of linear regression analysis we can also compare the correlation values from this study to previous studies. Correlation for retraction of the upper incisor to upper lip was r=.619 and for the lower incisor to lower lip was r=.874. In Hanson17 these values were r=.70 and r=.73 respectively. Rudee10 also showed similar correlations to this of r=.73 and r=.70. Roos11 showed less correlation for the upper incisor to upper lip (r=.42) than for the lower incisor to lower lip (r=.82). Bloom18 showed very strong correlations for both of r=.87 and r=.93 respectively. The present study is similar to many of the studies in that there is a stronger correlation between the retraction of the lower incisor to lower lip than there is for the upper incisor to lower lip. There appears to be more variability for the upper lip retraction. Talass et al19 attributes this to the complex anatomy and dynamics of the upper lip which is suspended 39 from the nose and the anterior nasal spine. Burstone20 and Oliver21 also believed that lip thickness and lip strain had an effect on the variability of lip retraction. Angular measurements from this study showed an average decrease in the IMPA of -6.74 degrees and a decrease in the U1 to SN of -5.93 degrees. These decreases resulted in an increased interincisal angle of 12.6 degrees. These results compare to other extraction studies that show a significant retroclination of incisors. 40 Conclusions According to the results of this study we may conclude the following: 1. Upper and lower lip protrusion was reduced resulting in an overall flattening of the facial profile. 2. There was a moderate correlation between retraction of the upper incisors and corresponding upper lip retraction, but there was an even stronger correlation between retraction of the lower incisors and subsequent lower lip retraction. 3. Upper and lower incisor proclination was reduced during treatment which resulted in an increased interincisal angle. 4. Further studies could be done to explore the effect that molar anchorage has on the amount of incisor and lip retraction. 41 Literature Cited 1. Bowman SJ, Johnston LE, Jr. The esthetic impact of extraction and nonextraction treatments on Caucasian patients. Angle Orthod. 2000;70:3-10. 2. Kocadereli I. Changes in soft tissue profile after orthodontic treatment with and without extractions. Am J Orthod Dentofacial Orthop. 2002;122:67-72. 3. Drobocky OB, Smith RJ. Changes in facial profile during orthodontic treatment with extraction of four first premolars. Am J Orthod Dentofacial Orthop. 1989;95:220-30. 4. James RD. A comparative study of facial profiles in extraction and nonextraction treatment. Am J Orthod Dentofacial Orthop. 1998;114:265-76. 5. Bishara SE, Cummins DM, Jakobsen JR, Zaher AR. Dentofacial and soft tissue changes in Class II, division 1 cases treated with and without extractions. Am J Orthod Dentofacial Orthop. 1995;107:28-37. 6. Paquette DE, Beattie JR, Johnston LE, Jr. A long-term comparison of nonextraction and premolar extraction edgewise therapy in "borderline" Class II patients. Am J Orthod Dentofacial Orthop. 1992;102:1-14. 7. Luppanapornlarp S, Johnston LE, Jr. The effects of premolar-extraction: a long-term comparison of outcomes in "clear-cut" extraction and nonextraction Class II patients. Angle Orthod. 1993;63:257-72. 8. Bravo LA. Soft tissue facial profile changes after orthodontic treatment with four premolars extracted. Angle Orthod. 1994;64:31-42. 9. Luecke PE, 3rd, Johnston LE, Jr. The effect of maxillary first premolar extraction and incisor retraction on mandibular position: testing the central dogma of "functional orthodontics". Am J Orthod Dentofacial Orthop. 1992;101:4-12. 10. Rudee DA. Proportional profile changes concurrent with orthodontic therapy. Am J Orthod. 1964;72:165-75. 42 11. Roos N. Soft-tissue profile changes in Class II treatment. Am J Orthod. 1977;72:165-75. 12. Garner LD. Soft-tissue changes concurrent with orthodontic tooth movement. Am J Orthod. 1974;66:36777. 13. Lo FD, Hunter WS. Changes in nasolabial angle related to maxillary incisor retraction. Am J Orthod. 1982;82:384-91. 14. Waldman BH. Change in lip contour with maxillary incisor retraction. Angle Orthod. 1982;52:129-34. 15. Perkins RA, Staley RN. Change in lip vermilion height during orthodontic treatment. Am J Orthod Dentofacial Orthop. 1993;103:147-54. 16. Kasai K. Soft tissue adaptability to hard tissues in facial profiles. Am J Orthod Dentofacial Orthop. 1998;113:674-84. 17. Hanson RA. Incisor retraction and lip response with various extraction patterns in caucasian females. Saint Louis: Saint Louis University; 2003. 18. Bloom LA. Perioral profile changes in orthodontic treatment. Am J Orthod. 1961;47:371-9. 19. Talass MF, Talass L, Baker RC. Soft-tissue profile changes resulting from retraction of maxillary incisors. Am J Orthod Dentofacial Orthop. 1987;91:38594. 20. Burstone CJ. Lip posture and its significance in treatment planning. Am J Orthod. 1967;53:262-84. 21. Oliver BM. The influence of lip thickness and strain on upper lip response to incisor retraction. Am J Orthod. 1982;82:141-9. 43 Appendix Table A.1. Landmarks and Definitions Abbreviation Go Landmark Gonion L1 LL Mandibular Incisor Incisal Edge Mandibular Central Incisor Apex Lower Lip Me Menton N Nasion Pog’ Prn Soft Tissue Pogonion Pronasale S Sella U1 Maxillary Incisor Incisal Edge Maxillary Central Incisor Apex Upper Lip L1a U1a UL Definition The most convex point along the inferior border of the ramus The incisal tip of the mandibular central incisor The root tip of the mandibular central incisor The most anterior part of the lower lip The most inferior midline point on the symphyseal outline of the mandible The most anterior point of the frontonasal suture The most anterior point on the contour of the chin Most anterior point on the nasal tip The center of the pituitary fossa The incisal tip of the maxillary central incisor The root tip of the maxillary central incisor The most anterior point on the upper lip 44 VITA AUCTORIS Daniel Joseph Cloward was born in Salt Lake City, Utah on September 23, 1976 to Raymond Lavar Cloward and the late Linda Yates Cloward. He grew up in Magna, Utah and attended Cyprus High School. After high school, he attended Ricks College in Rexburg, Idaho for one year. Then he lived in Santiago, Chile for two years as a missionary for the Church of Jesus Christ of Latter-Day Saints. After returning home, he attended Brigham Young University where he received a Bachelor in Science degree in Sociology in 2000. Daniel then worked for a few years in the Social Work field before continuing his education at the University of Louisville, where he received a Master of Public Health degree in 2007 and a Doctor of Dental Medicine degree in June of 2011. He then attended the Orthodontic residency program at Saint Louis University, where he plans to complete his Master of Science in Dentistry degree in December 2013. Daniel is married to his wife Heather, and they have four children. 45