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Theoretical Considerations of
Headgear Therapy: A Literature
Review
D. E. J. Bowden, M.D.S., F.D.S.(Edin.), D.D.O.R.C.P.S.(G)
Orthodontic Department, Dental School, Heath, Cardiff CF4 4XY
Abstract. The literature of headgear therapy is reviewed and used to explain some of the theoretical mechanical
~rinciples of tooth movement and anchorage control achieved by this method. Part I, Mechanical Principles,
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ISa review of force directions, centres of rotation, force magnitude and duration. In Part 2, Clinical Response
and Usage, the clinical uses of different directions of force are examined. Some of the clinical research into
the changes produced by different headgears is described. An attempt is made to draw conclusions from the
theoretical concepts discussed which may be of aid to the clinician.
Part 1 Mechanical Principles face bow and cervical traction, whilst Kuhn (1968)
The response of an individual tooth to a single and Worms et al. {1973) additionally consider the
force to its crown is generally one of tilting, the effect of differing directions of pull to maxillary
root apex moving in the opposite direction to the molars.
crown. The clinician, who applies force through Gould (1957) cites the example of a body that
arch wire and bracket to a tooth's crown employs revolves around a fixed centre of rotation such as a
a more complex system of forces in the form of a fly wheel on a shaft. The body may only rotate,
couple, creating a suitable ratio between force and no translational movement is possible. Figure la
~oment system in order to produce pure transla- shows a force vector which does not pass through
tton. In the same way headgear forces are applied the centre of rotation. The body responds by
at molar tube or bracket level. Tipping of teeth rotating in the direction of the force applied. This
readily occurs and pure translation is difficult to rotational effect depends upon the creation of a
achieve unless a number of mechanical principles moment arm (lever arm) which is the perpendicular
are observed. Additionally, it is claimed that distance between the force vector and the centre
orthopaedic forces may produce changes in the of rotation. !n Figure le the force is applied in a
Position of the maxilla, whilst other writers have clockwise direction, a moment arm is created and
de!llonstrated unwanted reactions to headgears, the flywheel rotates clockwise. In Figure I b the
PTimarily those associated with maxillary molar force vector passes directly through the centre of
extrusion and mandibular rotation. It is thus rotation and there being no moment arm created,
essential that the orthodontist understands fully the there is no rotation.
mechanical principles involved in headgear therapy. However, a free body without a fixed centre of
Worms et al. (1973) discussed four factors in the rotation will behave differently, for both transla-
~ffective employment of extra-oral force systems. tional and rotational movements are possible. A
hese are centres of rotation, the direction, the free body will resist a force, the resistance being
magnitude and the duration of the force. equal and opposite to the force applied (Newton's
third law of motion) and may be reduced to one
point described as the centre of resistance. A force
Centres of Rotation which passes through the centre of resistance will
Face bow to maxillary molars produce pure translation of a free body. However,
~outd (1957) and Oosthuizen et al. (1973) discuss once again, if the force vector does not pass through
he mechanical principles involved in the use of the the centre of resistance, a moment arm is created,
145
D. E. J. Bowden
APPLIED
FORCE
F
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c
Fig. 3. The shortest perpendicular distance between
the headgear force vector and the centre of resistance
(e) determines the moment arm and hence the centre
of rotation (X). From Worms, F. W. et al. Angle
Orthodontist, 43, p. 394, Fig. 11, 1973.
146
Theoretical Considerations of Headgear Therapy: A Literature Review
of resistance, rotation occurs following the princi- a number of ways (Kuhn, 1968). The first factor is
ples described. The exact centre of resistance is their position in the antero-posterior plane i.e.,
unknown, but is generally assumed to be in the the outer arms are made to end mesial or distal to
region of the middle to apical third of the root. the centre of resistance of the tooth. Exceedingly
Worms et al. ( 1973) clinically determined the long or short outer arms may take the force vector
centre of resistance of maxillary first molars to be further away from the centre of resistance and
at the trifurcation of the roots. Poulton ( 1959) consequently excessive rotation of the tooth results.
designated the geometric centre of the maxillary Moreover, the antero-posterior position of the
dental roots and alveolar process as the centre of outer arms may determine whether the line of force
resistance of a fully banded maxillary arch. This passes mesial or distal to the centre of resistance
point he called 'M' and states that it lies between and hence decides the direction of the rotation.
the premolar roots (Fig. 2). Barton (1972) quotes The second factor is the position of the outer
Poulton, but states that the centre of resistance of arms in the vertical plane i.e., the bow is made to
a banded maxillary arch will vary according to the lie apical or occlusal to the centre of resistance of
number of teeth banded and the size of the roots the tooth, for this also determines the direction in
of the banded teeth. which the tooth rotates. A distal force vector
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Following these principles, the effect of various passing apically to the centre of resistance will
lines of force applied to a maxillary molar by tip the maxillary molar roots distally. A distal
means of a face bow may be examined, using a force passing occlusally to the centre of resistance
diagram by Worms et al. (1973). Figure 3a shows will tip the roots mesially. For example, cervical
a line of force passing through the centre of resis- traction to a long face bow, outer arms bent
tance so that translation occurs. Figure 3b shows a upwards, apical to the centre of resistance within
line of force apical to the centre of resistance the maxillary molar root, will produce a distally
creating a perpendicular moment arm. The created directed line of force and a moment which tips the
centre of rotation approaches the crown edge and molar roots distally. However, short outer face
tipping of the root occurs in a distal direction. In bow arms to cervical traction may produce a line
Figure 3c the line of force passes further apically of force which is occlusal and mesial to the centre
to the centre of resistance. The created centre of of resistance and which consequently tips the root
rotation approaches the centre of resistance and mesially. These points are briefly summarized with
greater distal root tipping results. regard to cervical and high pull in Figure 4. A
Whether a face bow, 'J' hooks to the arch wire more detailed analysis of the effect of face bow
or to individual teeth is used, a line of force may outer arm antero-posterior and vertical position in
be chosen to relate to the particular centre of regard to cervical, straight and high pull, has been
resistance. The direction and moment created will made in diagrammatic form by Greenspan (1970).
depend upon the shortest perpendicular distance Thirdly, in the coronal plane, the face bow inner
from the force vector to the centre of resistance. and outer arms may induce compressive or expan-
This perpendicular distance may of course alter sive forces upon the maxillary molars.
as the tooth moves and rotates. Thus, in the case
of the face bow, a suitable line of force may be J-Hook headgear to arch wire
achieved by angulating the outer arms upwards Examination (Fig. 2) of force vectors relative to the
and arranging a line of pull along their long axes maxillary centre of resistance 'M' (Poulton, 1959)
through the centre of resistance, to the headgear. indicates the direction of the moment system
Alternatively, a suitable force vector may be formed, assuming the arch wire is stiff enough to
created by choosing an appropriate line and direc- make the maxillary arch behave as a single unit.
tion of elastic traction to the headgear whilst the Clearly a line of pull attached to the incisor region
face bow outer arms remain at the same level as of the arch wire and passing occlusally to 'M' will
the molar tubes. The appropriate direction of pull place a distally directed force upon the maxillary
of 'J' hook traction to an arch wire or to individual teeth. but will also tip the occlusal plane down-
teeth may be achieved by choosing the most wards at the incisor end of the arch. A line of pull
suitable headgear or point of attachment upon a through 'M' will produce distal movement of the
variable pull headgear. maxillary arch without undesirable rotational
The position of the face bow outer arms relative effects. A more vertical direction of pull, mesial and
to the centre of resistance of the maxillary molar, apical to 'M' produces an anti-clockwise moment
will affect the position of the centre of rotation in and an intrusive effect upon the incisor end of the
147
D. E. J. Bowden
148
Theoretical Considerations of Headgear Therapy: A Literature Review
I z
I
I
--- _____ .:1
!------{lJ
l.o..---- - ~
0
-------~
1. High
4. Low Occipital
2. Cervical
5. High Occipital
3. Straight
6. Cervical
Fig. 6. Relative horizontal and vertical force components.
Adapted from Kuhn, R. J. Angle Orthodontist, 38, p. 348,
Fig. 11, 1968.
149
D. E. J. Bowden
the maxillary complex in the growing child. It is demonstrated both d1stal movement of maxillary
possible that shorter periods of wear will produce teeth and distal displacement of the maxilla. Haas
tooth movement, for Northcutt (1975) on intro- (1970) used about I± to 2! kg (3 to 5 lb) each
ducing a headgear capable of recording the hours side to produce orthopaedic change. It should be
of wear, found that the great bulk of his patients remembered that these larger forces are distributed
wore their headgears for only 35 to 50 hours per widely and as evenly as possible to the teeth of the
week. However, knowledge that the period of wear maxillary dentition, thus reducing the pressure
was being recorded by the headgear caused the upon any one tooth. Gianelly and Valentini (1976)
patients to raise their wearing rate to I 00 hours per in discussing the relative importance of ortho-
week, with a consequent reduction of treatment paedic and orthodontic movement, come to the
time. conclusion that 'high' pressures probably produce
both types of change. They show two cases in
which extra oral forces of approximately 900 g
Magnitude of the Force (2 lb) of force each side, worn for approximately
Reitan (1969) suggests that the single most impor- 14 hours a day, attached to the incisal portion of a
tant factor in the causation of root resorption is removable appliance, produced a net change in the
the magnitude of the force. He also feels that a molar relationship of 4 to 5 mm. They comment
force greater than I lb or 450 g surpasses the that the principle mode of correction was tooth
tooth moving threshold. Force magnitude would movement.
thus appear to be critical and yet a huge range of An important factor, affecting even patients in
forces is certainly used. The force component is whom the headgear force applied is of sufficient
notoriously difficult to measure. Elastic bands and magnitude and duration, is the dental age of the
straps are subject to 'creep' and continual force patient. Armstrong (1971) suggests that in the
reduction. A continuous neck strap may be subject vast majority of patients of the same dental age,
to friction and apply uneven pressure to each side the dento-alveolar response is fairly uniform to the
of the face bow arms. The headgear force required application of a given force and direction, 24 hours
will depend upon the number of teeth banded, per day. Quoting Dewel (1967) and Haas (1970)
the reaction to anterior tooth movement and he points to an observed faster rate of tooth
whether distal arch movement or merely anchorage movement in patients in the mixed dentition to
is required. Thus, authors seldom quote the forces those in the adult dentition. Moo re ( 1959), San-
they use. Kloehn (1961) and Jakobsson (1967) dusky ( 1965) and Armstrong (1971) suggest that
are guided by patient comfort. Berman (1976) uses greater orthopaedic change in the naso-maxillary
450 g (I Ib) each side to his combination cervical complex may be achieved by commencing headgear
and occipital headgear. Clinical experience would therapy in the early mixed dentition. Gianelly and
suggest a force of 340 to 450 g ( 12 to 16 oz) each Valentini (1976) in agreeing with Armstrong's
side transmitted to maxillary molars by means of a observations, comment that the skeletal system of
face bow will move them distally, but that patient the younger patient is apparently more dynamic,
comfort and clinical response remain the best possessing a greater capacity to re-model.
150
Theoretical Considerations of Headgear Therapy: A Literature Review
molar (Worms et al., 1973). If a headge~r force is assumed a rigid face bow. The use of a rigid face
applied distally through the centre of res1s!ance of bow will reproduce these mechanics more accura-
the first molar, it should produce translatiOn, but tely and allow less adverse reaction, especially the
the resistance produced by the erupted second rotational forces introduced by a 'springy' face
molar crown enforces a rotational moment. The bow. In practice, Root (1975) feels that a face bow
first molar tilts distally with root ahead of crown. with a 1·15 mm (0·045 in.) round inner bow and a
A force acting apically to the centre of resistance 1·57 mm (0·062 in.) outer bow, will be suitable,
will have an increased distal root tipping effect. A provided the inner bow is strengthened from the
force acting occlusally to the centre of resistance front, back to about two-thirds of the way to the
will have an increased mesial root tipping effect. molar tubes. If it proves difficult to place the face
Although first permanent molars may on occasions bow into the molar tubes because the molar is
be moved distally in the presence of an erupted tipped or rotated, angle the inner arms to achieve a
second permanent molar, Armstrong (1971) sug- fit, 'straightening' them progressively to de-rotate
gests that this movement should be completed the molars; alternatively, use an appropriate palatal
before the eruption of the second permanent arch (Orton, 1965) or a free sliding buccal arch
molar; alternatively, the latter's extraction. will (Hasund, 1972) to establish tube alignment first,
facilitate distal movement of the first max11lary rather than increase the flexibility of the face bow.
molar.- There has been argument about the position of
The direction and moment system of headgear the face bow tube relative to the arch wire tube
forces will be affected by the presence of an arch upon the molar band. Worms et al. (1973) put
wire. For example, should a tip back bend be the problem in perspective (Fig. 8). Given two
incorporated mesial to the terminal molar, particu- identical face bows, the more gingivally placed
larly if the arch wire is tied back to the mol~r tube will raise the level of the outer bow hook
crown, then mesial tipping of the molar root w1ll relative to the centre of resistance. Thus, the
occur. If upright distal movement of that molar perpendicular distance of face bow A, B, C to the
is required, a greater compensation by headgear centre of resistance is greater than that of face
distal root rotational forces will be necessary. bow A1-B1-C 1 - and consquently more tipping
However, if the face bow is being used for anchor- will result. However, the outer face bow arm may
age purposes only •. especially if some ~pace closure be adjusted to the centre of resistance, independent
from behind is demed at a later stage m treatment, of any position of the face bow molar tube. It is,
the headgear may be used to augment mesial therefore, suggested that the tube is positioned for
movement of molar roots preparatory to later convenience and is generally placed occlusal to the
mesial movement of the crown. arch wire tube.
Intra-maxillary elastics tend to tip the molar
crown mesially. This may be resisted by tip back
bends in the arch wire and if applicable the face Summary
bow may be activated to assist in root control as I. The direction of the moment produced in a tooth
suggested above. A high pull headgear to 'J' hooks depends upon the relationship of the line of
151
D. E. J. Bowden
152