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Orthopedic expansion of the maxillary arch--rapid maxillary expansion (RME)--is a commonly used
treatment technique that has become increasingly popular during the last 25 years. During this
time, however, clinicians routinely have imputed a variety of undesirable side effects to RME,
particularly bite opening. Whereas there have been many explanations as to the mechanisms
underlying such RME-related effects as bite opening, few studies have considered the long-term
effects of RME in the vertical and sagittal dimensions of the face. The purpose of this investigation
was to examine cephalometrically the tong-term effect that the Haas-type rapid maxillary expansion
may have on bite opening and on the anteroposterior position of the maxilla. The sample consisted
of 25 patients who had undergone RME with the Haas-type expander, followed by standard
edgewise therapy. This RME sample was compared with a group of 25 patients who had standard
edgewise treatment (SET) only and with a control (CTRL) group of 23 subjects. Mean initial form
and mean age at start of treatment for the RME, SET, and CTRL groups were similar. Statistically
significant among-group differences were documented for only 2 of 10 cephalometric variables
sensitive to anteroposterior and vertical skeletal changes. These differences, however, were not
clinically significant. The current investigation implies therefore that RME therapy with the Haas-
type expander has little long-term (more than 6 years after treatment) effect on either the vertical
dimensions or the anteroposterior dimensions of the face. (Am J Orthod Dentofac Orthop 1997;112:
330-7.)
~Graduate Orthodontic Program, Department of Orthodontics and Pedi- Several theories have been advanced to explain
atric Dentistry, The University of Michigan, Ann Arbor, Mich.; private how RME therapy might cause bite opening, at least
practice, Healdsburg, Calif. over the short-term. The most obvious explanation,
bprofessor of Dentistry, Department of Orthodontics and Pediatric Den-
tistry, School of Dentistry; Professor of Anatomy and Cell Biology, School which usually is observed immediately after expan-
of Medicine; and Research Scientist, Center for Human Growth and sion is completed, concerns the disruption of the
Development, The University of Michigan, Ann Arbor, Mich.; private posterior occlusion. The maxillary arch typically is
practice of orthodontics, Ann Arbor, Mich.
°Private practice of orthodontics, Elyria, Ohio. overexpanded relative to the mandibular arch, and
Reprint requests to: Dr. James A. McNamara, Department of Orthodon- the resultant posterior cuspal relationships cause
tics and Pediatric Dentistry, School of Dentistry, University of Michigan, transient bite opening. In addition, the maxillary
Ann Arbor, MI 48109-1078.
Copyright © 1997 by the American Association of Orthodontists. first molars may be extruded during the process of
0889-5406/97/$5.00 + 0 8/1/75942 rapid maxillary expansion, 14,15 and this movement
330
American Journal of Orthodontics and Dentofacial Orthopedics Chang, McNamara, and Herberger 331
Volume 112, No. 3
also can open the bite. Further, Melsen and against other facial sites that circummaxillary sutural
Melsen 16 have argued that R M E is sufficiently trau- growth may be promoted. By encouraging such
matic to produce fractures in the region of the growth, R M E could cause bite opening.
maxillary tuberosity, thus facilitating maxillary dis- An additional mechanism has been proposed
placement. In this way, R M E can result in down- that involves structures distant from the circummax-
ward and forward displacement of the maxilla in illary sutural system. In Gardner and Kronman's 2~
patients who have had R M E therapy. study with rhesus monkeys, R M E produced 0.5 to
Haas 6 has advanced a theory as to why "the 1.0 mm of opening in the sphenoccipital synchon-
maxilla always moves downward and forward with drosis. From this observation, Gardner and Kron-
rapid maxillary expansion." Specifically, because of man suggested that the opening at the sphenoccipi-
the sutural orientation of the maxilla, growth pro- tal synchondrosis might be another method by which
duces a downward and forward vector of maxillary the maxilla moves downward and forward.
movement. The hailing zone (circummaxillary) su- Thus there are many explanations as to how the
tures are disengaged by palatal expansion, and "as side effects of R M E may be produced, but few
the maxillae are forced apart and these sutures studies have considered the long-term significance
begin to open, the force produces an effect similar to of these treatment effects. The current retrospec-
growth, so that the maxilla moves downward and tive, longitudinal study examines the nature of the
forward." Denticulated sutures open, the bones side effects produced as a result of R M E treatment
slide, and the denticles bind like ratchets to prevent in combination with conventional edgewise mechan-
the return of the maxilla to its former position. ics, as well as the persistence of such effects during
Another possible mechanism of maxillary move- the posttreatment period. This study also explores
ment is reminiscent of the septopremaxillary liga- the popular conjecture that patients with high man-
ment hypothesis 17 in relation to maxillary growth. dibular plane angles have an increased risk of bite
Ohshima Is asserted that "new bony spicules.., de- opening.
posited in a direction perpendicular to the inferior
border of the vomer revealed evidence of a down- PATIENTS AND METHODS
ward displacement of the maxilla." Ohshima implied Sample Selection
that osteogenic activity at the vomeromaxillary su- This study compared a group of patients who received
ture pushes the maxilla downward or at least facili- RME as part of their overall treatment protocol with a
tates the downward displacement of the maxilla. matched group of patients whose orthodontic treatment
In a 1973 study, Biederman ~9 suggested how the did not include RME. The edgewise-treated control group
anterior maxilla at point A can come forward with was generated by the same private practitioner (T.A.H.)
R M E therapy: If the center of rotation of the expan- as the RME-treated group, thereby minimizing the poten-
sion is located at the posterior of the maxilla at the tial effects of interclinician differences. The third group
junction between the hamular and pterygoid plates, was an untreated control group selected from the records
of the University of Michigan Elementary and Secondary
then the paired maxillae rotate about these points and
School Growth Study22 that was age matched to the
point A comes forward. Biederman ~9 also proposed a
RME-treated group.
mechanism for bite opening: if the maxilla disarticu- RME group: The RME sample for this study was
lates from the nasal bones and walls of the ethmoid, derived from the long-term records of patients who had
then the bite closes, ff these bones do not disarticulate undergone RME and nonextraction edgewise appliance
but instead bend, then subsequent remodeling tips the therapy in a single orthodontic practice. The practitioner
palatal plane down at the posterior nasal spine, which attempted to contacted all RME patients who were
causes an increase in the mandibular plane angle and treated from 1972 through 1985, regardless of the treat-
thereby opening the bite. ment outcome. The parent sample of 86 patients repre-
Rapid maxillary expansion also exerts considerable sent those patients fi'om whom the private practitioner
force against multiple extramaxillary structures. An obtained long-term records. The records obtained on this
patients included initial and deband lateral cephalograms
examination of the relationship of a maxillary bone to
and study casts and posteroanterior cephalograms at
other facial bones reveals that it abuts 10 other osseous immediate postRME screw fixation and at deband. Lat-
structures. It is plausible then that R M E could pro- eral cephalograms and study models also were obtained 5
duce skeletal effects remote from the maxilla. Given or more years after ~treatment. The fact that the same
that Isaacson and Ingrain 2° have demonstrated that an records were taken on all patients should minimize detec-
R M E appliance can exert up to 30 pounds of force tion bias. 23
against the maxilla, enough force might be exerted These patients originally were judged by the practitio-
332 Chang, McNamara, and Herberger American Journalof Orthodontics and Dentofacial Orthopedics
September 1997
Table h Mean maxillary intermolar width (mm) Table Ih Average age of the three groups
The current null hypotheses that there is no significant Table IlL M a n d i b u l a r plane angle at the start of treatment
long-term bite opening or anteroposterior maxillary (TO
change associated with RME therapy were tested with
RME SET CTRL
two-way repeated-measures ANOVA, with group (RME,
SET, and CTRL) as the "between subjects" factor and Mean MPA 28.1 ° 25.0 ° 25.4 °
time (initial, deband, and posttreatment) as the "within SD 5.9 ° 4.9 ° 4.9 °
subjects" factor. Repeated measures ANOVA takes into >27 ° 17 8 8
<27 ° 8 17 15
account the fact that a measure taken on a person at one
time is correlated with the same measure taken at a
previous time, that is, large amounts of growth would not
be expected in a person who is constitutionally small. The
repeated measures design allows one to test whether that cephalograms on the untreated sample from
changes across time are similar for all three sample the University of Michigan Growth Study were
groups. This comparison is the interaction effect in the available only until the late teen years. The R M E
repeated measures ANOVA model. and SET groups had the same proportion of male
The cephalometric measures at specific times were and female patients in each sample (18 females, 7
analyzed for the three groups (RME, SET, and CTRL) by males). The C T R L group, however, had almost the
comparing the differences among groups from time 1 to reciprocal gender proportion: 16 males and 7 fe-
time 2 (A[T2-T1]), time 1 to time 3 (A[T3-T1]), and time 2
males.
to time 3 (2x[T3-T2]) for each of the 10 measures.
These measures were examined by one-way ANOVA The distribution of Angle classification for each
for each separate time interval. Post-hoc comparisons group at the start was similar. Of the R M E sample
between treatment groups were made with independent t (N = 25), 12 (48%) subjects had Class I malocclu-
tests. Statistical significance was tested at p -< 0.05. One sions, 13 (52%) had Class II malocclusions, and
must bear in mind that no Bonferroni or Tukey's correc- none had Class III malocclusions. For the SET
tion was made; therefore a type I error will occur 5% of group, the identical breakdown in Angle classifica-
the time by chance alone. tion was observed. Crossbites, both unilateral and
bilateral, were found in 18 (72%) of the R M E
RESULTS patients. In the SET group, only two (8%) of the
Analysis of Starting Form patients had crossbites. As one might expect, max-
The RME, SET, and C T R L groups generally illary intermolar width was the only feature that
had similar characteristics for 30 cephalometric and distinguished the R M E from the SET group (Table
three cast measures at initial presentation. There I). The mandibular plane angle for each group also
were statistically significant differences between the was similar at the beginning of treatment (Table
R M E and SET groups in starting form for midfacial III).
length (Condylion - point A), Co - ANS, and
Statistics
maxillomandibular differential. 23 Because these
three measures are interrelated, significance with The 10 measures (Tables I V to VI) sensitive to
one of the variables likely would generate signifi- anteroposterior or vertical skeletal changes or both
cance in the other two. Also, because 30 A N O V A s were analyzed statistically with the repeated-mea-
were run at a p -< 0.05 level, one would expect 1.5 of sures A N O V A . Overall, no among-treatment differ-
the measures to be statistically significant by chance ences were seen. Within-groups, however, all mea-
alone. Of the 30 measures, three were statistically sures changed over time, apparently as a by-product
significant between R M E and C T R L groups: U6 of normal growth.
horizontal, U1 horizontal, and midfacial length. There was scant evidence of treatment-time in-
Thus it appears that the three groups generally were teraction. Of 90 individual contrasts, only two
similar in most cephalometric characteristics at the showed statistical significance. T r e a t m e n t change in
onset, although it should be noted that the R M E the SNA angle (T 1 to T2) was 1° less in the R M E
group had twice as many subjects with mandibular group than in the control group (Table IV), and
plane angles greater than 27 ° (Table III). In addi- overall change in the mandibular plane angle (T 1 to
tion, the R M E group had a narrower transpalatal T3) was less in the R M E group than in the edgewise
width in comparison to the other two groups (Table group (Table VI). Because individual trends can be
I), but were otherwise similar. masked by statistical analyses such as the repeated
The average ages for each group taken at T1, T2, measures A N O V A , it perhaps is appropriate to
and T3 were comparable (Table II), except at T3, in illustrate graphically the individual changes in the
334 Chang, McNamara, and Herberger American Journal of Orthodontics and Dentofacial Orthopedics
September 1997
*,p < 0.05; **,p < 0.01; ***,p < 0.001; NS, not significant.
*,p < 0.05; **,p < 0.01; ***,p < 0.001; NS, not significant.
*,p < 0.05; **,p < 0.01; ***,p < 0.001; NS, not significant.
mandibular plane angle (MPA) from T 1, T2, and T 3 (23.5%) from T 1 to T 3. These trends can be com-
for the RME group (Figs. 1 and 2). pared with the SET group, in which are all the
Because of the significant difference in MPA, a original eight patients with high M P A (again de-
sign test was used to examine patients with a "high fined as M P A > 27°), M P A decreased from T1 to T 2.
MPA" (arbitrarily defined as MPA > 27°). Of the 17 According to Fisher's exact test, there was no sig-
patients with high MPA in the RME group, the nificant difference in outcomes between the R M E
MPA decreased in 13 (76.5%) and increased in 4 and SET groups.
American Journal of Orthodontics and Dentofacial Orthopedics Cha/'tg~ McNamara, and Herberger 335
Volume 112, No. 3
40
35
t~
30
a.
_ 27 °
25
0
10 15 20 25
Age (years)
Fig. 1. Individual changes in mandibular plane angle (MPA) during treatment and post-
treatment period in patients with initial higher MPA. Three observation points indicated for
each patient correspond to T1 (initial), T2 (end of treatment), and T3 (posttreatment).
Furthermore, within the RME group, Fisher's Transverse, vertical, and anteroposterior skeletal
exact test was used to see whether the patients with malrelationships often coexist in a single patient. A
high MPA responded differently to RME therapy clinician who wishes to correct a transverse problem
than did patients with low MPA. In the sign test, in such a patient and who bases treatment decisions
four (23.5%) of the patients with high MPA (N = on the existing literature might initiate unnecessary
17) increased in MPA from T 1 to T3, and 13 (76.5%) treatment (e.g., vertical-pull chincup) or fail to
decreased. Of the patients with low MPA (N = 8), render appropriate treatment for fear of "opening
five (62.5%) increased and three (37.5%) decreased. the bite." In fact, the results from the current study
Fisher's exact test showed no significant difference suggest that the Haas-type RME will not open the
between the low and high MPA groups on change in bite over the long term, even for the higher man-
MPA. dibular plane angle patient.
To test the idea that patients with high MPA
DISCUSSION tend to react more negatively to RME therapy by
The current present study does not support the having greater bite opening than patients with low
claim that bite opening (i.e., increase in lower angles, Fisher's exact test was used. No relationship
anterior facial height or opening of the mandibular between a high pretreatment MPA (defined here as
plane angle or both) occurs in patients with Class I MPA > 27°) and a tendency to increase in MPA
and Class II malocclusions treated with RME. over time was shown. Furthermore, a sign test
Furthermore, this investigation shows that RME revealed that 76.5% of patients with high MPA
does not significantly alter anteroposterior maxillary showed bite closure from T 1 to T3; whereas, only
position over the long term, 37.5% of the patients with low MPA showed bite
Vertical Dimension. Schudy27was one of the first closure over the same observation period.
orthodontists to stress the importance of controlling This trend seems to contradict the idea that the
the vertical dimension of the face in patients who bite of the patient high MPA tends to open more
have an anteroposterior imbalance between the readily than that of the patient with low MPA. One
upper and lower jaws. Schudy emphasized that could argue that bite closure was observed more
increasing a patient's vertical dimension can aggra- often in high than patients with low MPA, as a result
vate any preexisting anteroposterior discrepancy. of preferential treatment, that is, the practitioner
336 Chang, McNamara, and Herberger American Journal of Orthodontics and Dent@cial Orthopedics
September 1997
25
J
J
20
O .tl
"O
,~ 15
¢t
=E
10
10 15 2O 25
Age (years)
Fig. 2. Individual changes in mandibular plane angle (MPA) during treatment and post-
treatment period in patients with initially lower MPA. Three observation points indicated for
each patient correspond to T1 (initial), T 2 (end of treatment), and T a (posttreatment).
took more care to control the vertical dimension in period was observed among any of the three groups.
the patients with high MPA. Conversely, more pa- Furthermore, nasion perpendicular to point A, 23
tients with high angle probably were found in the another measure that might show significance
R M E group because they are more likely to have should the maxilla come forward, did not show
constricted arches in need of widening. The latter statistically significant changes. It should be noted,
was borne out in the analysis of starting form. Only however, that Class III malocclusion was not repre-
8 (32%) of 25 patients had initially high MPAs in the sented in any of the three groups studied, so no
SET group, whereas 17 (68%) of 25 R M E patients conclusions can be drawn regarding the effect of
had a starting MPA greater than 27 ° (Table III). R M E on the movement of point A in patients with
Maxillary Position. For the SNA angle, post hoc Class III malocclusions.
testing revealed a significant difference between
R M E and C T R L groups from T 1 (initial) to T2 (end CONCLUSIONS
of treatment). In the R M E group, SNA decreased The purpose of this investigation was to examine the
- 0 . 5 ° from the beginning to the end of active treat- long-term effect of the Haas-type RME on bite opening
ment. In the C T R L group, the SNA angle increased and on the anteroposterior position of the maxilla. There
- 0 . 5 ° during the same time period. In previous was no significant difference among groups receiving rapid
investigations, Haas 3'6'13'28 and Wertz la claimed that maxillary expansion, followed by edgewise treatment
(RME), standard edgewise therapy alone (SET), or no
point A comes forward. None of these studies
treatment (CTRL) for 8 of the 10 cephalometric variables
quantified the amount that point A came forward,
(facial axis angle, SNB, ANB, nasion perpendicular to
and none compared that amount with the normative pogonion, nasion perpendicular to point A, facial plane,
data. In the current study, change in the SNA angle palatal plane, and lower anterior facial height). A statis-
between the R M E and C T R L groups was observed tically significant difference was seen for the SNA angle
to be statistically different; however, the mean between RME and CTRL groups from initial to deband;
change from T 1 to T 2 for R M E and C T R L groups however, this difference was clinically insignificant (-1°).
were within 1° of each other, an amount that is Furthermore, there was no significant overall among-
clinically insignificant. More importantly, no statis- group difference in the SNA angle.
tical significance for change in the SNA angle from Finally, there was a statistically significant overall
the beginning of treatment to the posttreatment difference for the MPA between RME and SET groups.
4merican Journal of Orthodontics and Dentofacial Orthopedics Chang, McNamara, and Herberger 337
Volume 112, No. 3
Although the MPA decreased over the duration of obser- 12. Linder-Aronson S. The skeletal and dental effects of rapid maxillary expansion.
Br J Orthod 1979;6:25-9.
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group exceeded that of the RME group by - 1 . 6 °. This Orthod 1980;50:189-217.
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1966;365-77.
The current investigation of long-term treatment ef- 15. Hicks EP. Slow maxillary expansion - - a clinical study"of the skeletal versus dental
fects concludes therefore that RME therapy used in the response to low-magnitude force. Am J Orthod 1978;73:121-41.
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studied on human autopsy material. Am J Orthod 1982;82:329-42.
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either the vertical or the anteroposterior dimensions of human middle face and the theory of multiple assurance. Arch Oral Biol
the face. 1970;15:1097-100.
18. Ohshima O. Effect of lateral expansion force on the maxillary structure in
Cynomolgus monkey. J Osaka Dental Univ 1972;6:11-50.
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