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Introduction: The objective of this research was to observe changes in aerodynamics and anatomic character-
istics of the upper airway after mini-implants assisted rapid maxillary expansion and to evaluate the correlation
between the 2 changes of the upper airway in young adults. Methods: Thirty consecutive patients (mean age,
23.82 6 3.90 years; median, 24.5 years; 9 males, 21 females) were involved. Cone-beam computed tomography
was taken before activation and over 3 months. Three-dimensional models of the upper airway were
reconstructed on the basis of cone-beam computed tomography. The anatomic characteristics of the upper
airway, including volume, area, transverse, and sagittal diameter, were measured. The aerodynamic
characteristics of the upper airway were calculated on the basis of 3-dimensional models using computational
fluid dynamics. The correlation between the changes in aerodynamics and anatomic characteristics of the
upper airway was explored. Results: The enlargements of the volume of the total pharynx, nasopharynx, and
oropharynx were found (9.99%, 20.7%, and 8.84%, respectively). The minimum cross-sectional area
increased significantly (13.6%). The airway resistance (R) and maximum velocity (Vmax) decreased
significantly in both the inspiration and expiration phase (inspiration: R, 26.8%, Vmax, 15.7%; expiration: R,
24.7%, Vmax, 16.5%). The minimum wall shear stress reduced significantly only in the inspiration phase
( 26.3%). The correlations between decreased R and increased volume and minimum cross-sectional area
were observed. Conclusions: Mini-implants assisted rapid maxillary expansion is an effective device for
improving anatomic characteristics represented by the total volume of the upper airway and minimum cross-
sectional area, which contributed to the respiratory function depending on the favorable changes of
aerodynamic characteristics including resistance, velocity, and minimum wall shear stress. (Am J Orthod
Dentofacial Orthop 2021;159:e301-e310)
O
bstructive sleep apnea (OSA) is a breathing disor- clinical diseases.1-3 In addition, some studies reported
der during sleep characterized by recurrent apnea craniofacial disharmonies such as midface hypoplasia
and hypopnea, which is associated with narrow and narrow dentition were predisposing factors in the
upper airway, obesity, hypertension, and other adverse occurrence and progress of OSA, according to the
influence of upper airway and muscular function.4,5
OSA was a multifactor disease, and orthodontic treatment
From the Department of Orthodontics, School and Hospital of Stomatology, was only an effective method in treating OSA that was
Shandong University, Shandong Key Laboratory of Oral Tissue Regeneration,
and Shandong Engineering Laboratory for Dental Materials and Oral Tissue
mainly caused by structural stenosis of the upper airway
Regeneration, Jinan, Shandong, China. because of skeletal craniofacial disharmony. In contrast,
All authors have completed and submitted the ICMJE Form for Disclosure of the effects of orthodontic treatment were limited for
Potential Conflicts of Interest, and none were reported.
Address correspondence to: Jing Guo, Department of Orthodontics, School and
OSA caused by other factors such as heredity, overweight,
Hospital of Stomatology, Shandong University, Shandong Key Laboratory of Oral and dyslipidemia.
Tissue Regeneration, and Shandong Engineering Laboratory for Dental Materials Rapid maxillary expansion (RME) is a conventional
and Oral Tissue Regeneration, Number 44-1, Wenhua W Rd, Jinan, Shandong
250012, China; e-mail, guojing@sdu.edu.cn.
treatment method correcting transverse maxillary defi-
Submitted, September 2020; revised, November 2020; accepted, December ciency.6 Some studies have reported the effects of RME
2020. could increase the volume of the upper airway,7-9 and
0889-5406/$36.00
Ó 2021 by the American Association of Orthodontists. All rights reserved.
Cistulli et al10 first suggested RME could be a therapy
https://doi.org/10.1016/j.ajodo.2020.12.013 for patients with OSA in 1998. However, conventional
e301
e302 Tang et al
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Tang et al e303
occlusion, the tongue in the position at the end of swal- generate tetrahedral volume mesh. According to the
lowing (against the palate), breathing smoothly, no complexity of the model of the upper airway, a typical
swallowing15 and the duration of the scan was about grid consisted of approximately 2 million tetrahedral
15 seconds which was not difficult for our patients to cells (Fig 5).
keep constant. We had tried our best to ensure the uni- After mesh generation, the 3D mesh was imported
formity of the head position and posture of our patients into software (FLUENT 16.0; ANSYS) for airflow simula-
during CBCT before and after the treatment. The unifor- tion. The steady-state Reynolds Averaged Navier-Stokes
mity assured the reliability of the measurements to the formulation together with the laminar model was used
greatest extent. The CBCT data were saved as Digital Im- to model aerodynamic characteristics of the upper
aging and Communications in Medicine format. airway. Second-order discretization schemes were
The Digital Imaging and Communications in Medi- used, and the coupling between velocity and pressure
cine data were imported into Dolphin Imaging software was achieved using the SIMPLE algorithm.24 The density
(version 11.8; Dolphin Imaging and Management Solu- and the viscosity of the air were set as 1.225 kg/m3 and
tions, Chatsworth, Calif). The images were reoriented 1.79 3 10 05 kg/m/s, respectively, which was acquies-
along the palatal suture, tangent to the nasal floor and cent in the software. An inlet volume flow rate of
parallel to the FHP. The upper airway was divided into 166 mL s 1 (10 l min 1) was set in the airflow simula-
3 segments: nasopharynx, oropharynx, and hypophar- tion, and the standard atmospheric pressure of 0 Pa
ynx, and all the descriptions and definitions of anatomic was set for the inlet.25 The air within the upper airway
parameters were shown in Figures 2 and 3 and Table I. was thought to be adiabatic.24 In the inspiration phase,
The CBCT data were imported into Mimics software the inlet boundary was set at the line passing through
(version 19.0; Materialise, Leuven, Belgium). The upper PNS and S, and the outlet boundary was set at the plane
airway was highlighted by setting the threshold between across the C4 point parallel to the FHP. Conversely, the
1024 and 360 Hounsfield Units. The anterior upper expiration phase was simulated by setting an inlet at
boundary was the line passing through PNS and S, the the plane across the C4 point parallel to the FHP and
upper boundary was the roof of the nasopharynx, and outlet at the line passing through PNS and S. The itera-
the lower boundary was the plane across the C4 point tion numbers were 400 steps.
(the most anterior inferior point of the fourth cervical Airway resistance (R) was calculated by the following
vertebra) parallel to the FHP. All 3D models were ex- formula: R 5 DP/Q. The total pressure drop between the
ported as stereolithography files (Fig 4). inlet and outlet of the upper airway (DP) was computed
All the models of the upper airway were loaded into by Pmax Pmin, and Q was the volume flow rate, which
software (ICEM 16.0; ANSYS, Canonsburg, Pa) to was a constant. All the parameters were measured again
American Journal of Orthodontics and Dentofacial Orthopedics April 2021 Vol 159 Issue 4
e304 Tang et al
by 1 researcher (H.T.) after 1 week, and the average value distribution and the homogeneities of variances were
was applied in this study. checked by the Shapiro-Wilk test and the Levene test,
respectively. A paired t test was used for the comparison
Statistical analysis of normally distributed data between T0 and T1 and the
All the data were measured repeatedly after 1 week by Wilcoxon test for the comparison of nonnormally
1 operator (H.T.), and the intraclass correlation coeffi- distributed data. Pearson correlation test was used to
cient was 0.91-0.97, indicating repeat agreement analyze the correlation of normally distributed data,
regarding all measurements. and Spearman correlation test was used to assess the
Statistical analysis was performed with SPSS software correlation of nonnormally distributed data. A P
(version 21; SPSS Inc, Chicago, Ill). The normality of data value \0.05 was determined as a statistical significance.
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American Journal of Orthodontics and Dentofacial Orthopedics April 2021 Vol 159 Issue 4
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Table II. Anatomic characteristics of the upper airway before (T0) and after (T1) MARME
Parameters T0 T1 P value
Total volume 25,518.43 6 6756.68 28,068.69 6 7142.77 0.007*
CSAmin 164.36 6 68.43 186.71 6 72.3 0.03*
Transverse diameter of CSAmin 21.55 6 5.22 23.69 6 5.40 0.007*
Sagittal diameter of CSAmin 8.66 6 3.04 9.86 6 2.69 0.003*
Nasopharyngeal volume 6463.86 6 1459.17 7806.69 6 1806.87 \0.001*
Cross-sectional area of interface1 434.71 6 113.83 481.95 6 132.88 0.003*
Transverse diameter of interface1 27.29 6 3.50 28.52 6 3.90 0.002*
Sagittal diameter of interface1 19.73 6 4.13 20.23 6 3.73 0.166
Oropharyngeal volume 10,886.67 6 3382.94 11,849.28 6 4306.25 0.043*
Cross-sectional area of interface2 240.53 6 104.08 256.46 6 104.94 0.364
Transverse diameter of interface2 27.09 6 5.86 28.4 6 5.03 0.213
Transverse diameter of interface2 11.72 6 3.55 12.36 6 3.34 0.276
Hypopharyngeal volume 8542.31 6 3426.18 8307.14 6 3237.12 0.387
*P \0.05.
sagittal diameter of CSAmin (P \ 0.01). In addition, the whose growth was slow, the interval assured growth,
increased volume of the nasopharynx, volume of the and the changes in body mass index were very slight,
oropharynx, and transverse diameter of the nasopharynx and there was no need to set a control group without
correlated negatively with the decreases of Rin and Rex treatment. After MARME, we observed favorable effects
(P \0.01) (Table IV). in both aerodynamic and anatomic characteristics.
In our study, the total volume of the upper airway
DISCUSSION increased significantly after MARME. In published
The retrospective study focused on the changes of studies, there were different results concerning the
anatomic and aerodynamic characteristics of the upper changes in total airway volume. Kim et al16 reported sig-
airway after MARME. In this study, 30 young adults nificant increases in total airway volume after MARME.
were involved consecutively, and the mean age was Another study indicated that although the effects of
23.82 6 3.90 years (range, 18-33 years). The interval be- bone-borne RME were more obvious than tooth-borne
tween T0 and T1 ranged from 4.3 to 5.6 months, which RME, both tooth-borne RME and bone-borne RME
assured the radiation exposure would not influence the could increase the total volume of the upper airway.26
patients. Because all of the subjects were young adults However, Yi et al27 found no significant changes in the
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Tang et al e307
Fig 6. Aerodynamic characteristics during inspiration: A, pressure drop; B, velocity; C, wall shear
stress.
Fig 7. Aerodynamic characteristics during expiration: A, pressure drop; B, velocity; C, wall shear
stress.
total upper airway after the same treatment, and the airway. That might be 1 of the factors why the effects of
study explained the negative result might be due to bone-borne RME on the upper airway were more
elongation of posterior teeth, which caused mandibular obvious than tooth-borne RME as well.
clockwise rotation. Therefore, vertical control guaran- Significant increases of CSAmin in the upper airway
teed by 4 mini-implants in the midpalatal region, which were observed after MARME. A systemic review relating
could avoid mandibular clockwise rotation, might be an to OSA have pointed out CSAmin was the most relevant
important factor to assure the enlargement of the upper factor in assessing the severity of obstruction of the
American Journal of Orthodontics and Dentofacial Orthopedics April 2021 Vol 159 Issue 4
e308 Tang et al
*P \0.05.
April 2021 Vol 159 Issue 4 American Journal of Orthodontics and Dentofacial Orthopedics
Tang et al e309
reduction of minimum wall shear stress after MARME scientific research of school of stomatology, Shandong
indicated MARME had a positive effect on the function University [2019QNJJ02].
of epithelial cells of the upper airway.
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