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Diagnosis of the Vertical Dimension

James L. Vaden and Lloyd E. Pearson

The vertical dimension problem is complex and multifactorial, Not only


must the clinician recognize a vertical discrepancy abnormality, he/she must
be able to recognize its numerous components and understand their inter-
relationships, Many scientific investigators and orthodontic clinicians have
contributed to the body of knowledge to which we have access. This article
reviews some of the pertinent literature and offers some diagnostic and
treatment planning suggestions to the clinical specialist who struggles with
the vertical dimension enigma on a daily basis, (Semin Orthod 2002;8:
120-129,) Copyright 2002, Elsevier Science (USA). All rights reserved.

he h u m a n face has been the subject of now be so treated as to bring about a complete
T study since man could first express himself. transformation of the facial expression, even to
As civilizations have risen and subsequently the establishment of lines of beauty."
faded away, one thing that has remained is art, Tweed revolutionized orthodontic diagnosis
in most cases, drawings, paintings, and so on of because of his c o n c e r n for the balance and har-
faces. During the Renaissance, da Vinci, Michae- m o n y of the lower face. Many in our specialty
langelo, and D u h r e r led o t h e r artists to study have studied the face, z-6 developed diagnostic
faces. Facial p r o p o r t i o n was discovered; there guidelines for quantifying facial balance, 7-u and
were standards set for balance and h a r m o n y of proposed treatment regimens that give the orth-
the lower face. In our specialty of orthodontics, odontic clinician a greater certainty that facial
Angle was vitally c o n c e r n e d about the face. In balance and h a r m o n y is an attainable goal for
his sixth edition, 1 he states, "One of the evil their patients.
effects of malocclusion is the marring or distort- The underlying theme that surfaces from all
ing of the normal facial lines. It follows that, in artists and orthodontic investigators is the con-
the application of the principles of orthodontia, cept that there c a n n o t be good balance and
our efforts should be so directed as to mold and h a r m o n y in the lower face unless the vertical
modify these lines of i n h a r m o n y to those of dimension is within normal limits. The most
h a r m o n y and facial beauty so far as lies within important prerequisite for facial balance is a
the range of the possibilities of art, and of the normal vertical dimension of the lower face.
type and t e m p e r a m e n t of the individual. O u r Poulton 12 c o n d u c t e d a study on cervical traction
opportunities for benefiting humanity are very and f o u n d that large lower anterior facial
great in this field, far exceeding those offered by heights were most often associated with a dis-
any other branch of dental science, for patients pleasing face. In their article on soft-tissue pro-
with facial lines so distorted as sometimes to be file preference, DeSmit and DermauO 3 created
a marked deformity and a source of constant three different series of nine profile photo-
humiliation to themselves and their friends may graphs so that a total of more than 200 profiles
could be ranked by graduate dental students.
They f o u n d that differences in gender and orth-
Prom the Department of Orthodontics, University of Tennessee, odontic knowledge of the students seemed to
Memphis, TN; and a Private Practice, Edina, MN. have no significant influence on their esthetic
Address cor~rspondence to James L. Vaden, DDS, M8, Depart- preference. The results of their study confirmed
ment of Orthodonti~, University of Tennessee, Health Seienee Cen- the importance of anteroposterior deviations
ter, 875 Union Avenue, Memphis, TN 38163.
Copyright 2002, Els~ier Science (USA). All rights trserved. but suggested that unaesthetic facial profiles
1073-8746/02/0803-0003535.00/0 that were a result of anteroposterior deviations
doi:l O.1053/sodo. 2002.125431 were completely overshadowed by long-face fea-

120 Seminars in Orthodontics, Vol 8, No 3 (September), 2002: pp 120-129


Diagnosis of the Vertical Dimension 121

t u r e s - - t h e long-face feature being m o r e unaes- third of the face into an u p p e r one third and a
thetic. Because of the challenge of the vertical lower two third. These divisions of the face can
dimension, the subject of this article is of ex- be used by the clinician to help diagnose vertical
treme i m p o r t a n c e to the orthodontic specialist. dimension problems. For example, does a pa-
Not only must the specialist recognize the prob- tient have a disproportionately long lower facial
lem, the specialist must u n d e r s t a n d the diagno- height because of vertical maxillary excess or to
sis of the p r o b l e m so that all facets and compo- excessive chin height? Conversely, is a short fa-
nents of the vertical dimension e n i g m a are cial height caused by vertical maxillary defi-
understood. T h e clinician must be able to rec- ciency or a short chin height? 17 By using these
ognize the various c o m p o n e n t s of a vertical di- accepted proportions as a guide, the patient
mension abnormality and u n d e r s t a n d the inter- shown in Figure 2 has an excessive lower ante-
relationship of all the elements of the problem. rior facial height, whereas the patient shown in
Before discussing the abnormal, it is p r u d e n t Figure 3 has diminished lower anterior facial
to understand the normal. Two of the most ac- height. Although it is evident that both have
cepted descriptions or publications of vertical vertical dimension abnormalities by looking at
facial proportions have b e e n published by Fra- the face, measuring the facial proportions con-
kas 14 and Frakas and Munro. 15 In these, they firms this intuitive conclusion. A careful deter-
describe the ideal face as vertically divided into mination of the vertical proportions of the face
equal thirds by horizontal lines that approxi- is therefore the first step in the diagnosis of a
mate the hairline, the bridge of the nose, the ala vertical dimension problem.
of the nose, and m e n t o n (Fig 1)J 6 Figure 1 also
shows that in the ideal vertically p r o p o r t i o n e d
Role of Skeletal and Dental
face there is a further division of the lower one
Relationships
After examining the face and quantifying its pro-
portions, the skeletal pattern and the teeth and
their relationships to each other must be scruti-
nized. However, a diagnosis of the vertical di-
m e n s i o n is m o r e complicated because vertical
discrepancy malocclusions are nmltidimen-
1/3 sional. For example, dentoalveolar abnormali-
ties can impact the skeletal pattern, and p o o r
skeletal patterns can cause dentoalveolar com-
pensations that are difficult for the clinician to
correct. T h e following variations can be present,
113 either alone or in combination: (1) maxilla:
maxillary posterior alveolar excess and inferiorly
positioned maxilla and (2) mandible: mandibu-
lar posterior alveolar excess and short mandib-
ular rami. O t h e r abnormalities may include
113 superiorly positioned condylar fossa, obtuse cra-
nial base angle, and condylar resorption.
Any of these conditions, with or without ab-
errant m a n d i b u l a r growth rotation, can be a
causative factor in the vertical discrepancy mal-
occlusion.
Figure 1. The ideal facial proportions as described
by Frakas 14 and Frakas and Munro. 15 The frontal
view of the face is divided into equal thirds by Condylar Growth
horizontal lines that approximate the hairline, the
bridge of the nose, and the ala of the nose and A c o m m o n scenario affecting the skeletal prob-
menton. The lower third is further divided into an lem is m a n d i b u l a r growth a n d growth rotation,
upper third and a lower two third. which unfavorably impacts dentoalveolar devel-
122 Vaden and Pearson

Figure 2. An example of a
patient with an excessive
lower facial height.

o p m e n t in both the maxilla and mandible. tients with long-face syndrome (Fig 6A and B)
Bjork is-21 and Bjork and Skieller 2:~,24 have per- have a m o r e posteriorly directed growth pattern
f o r m e d n m n e r o u s studies that have shown that of the m a n d i b u l a r condyle (Fig 7). 26,27 These
the most c o m m o n direction of condylar growth backward growth rotators have increased ante-
is vertical, with some anterior c o m p o n e n t . Pa- rior facial height, a m o r e posterior position of
tients with a p r o n o u n c e d short lower anterior the chin, and in e x t r e m e cases, an anterior o p e n
facial height (Fig 4A and B) generally exhibit bite may develop. Serial images of the patient
upward and forward condylar growth (Fig 5). taken to m o n i t o r the direction of condylar
These individuals generally have a d e e p vertical growth would be very useful for the diagnosis of
overbite with a d e e p mentolabial sulcus and a vertical growth. At the present time, serial imag-
strong overclosed appearance. 25 In contrast, pa- ing poses certain concerns, most significantly

Figure 3. An example of a
patient with a diminished
lower facial height.
Diagaosis of the Vertical Dimension 123

Figure 4. A patient with a pro-


nounced short lower anterior fa-
cial height. (A) The cephalomet-
ric radiograph is also shown. (B)

radiation exposure. Advances in imaging tech- m e t h o d of prediction of condylar growth rota-


nology may, in the future, p e r m i t the clinician to tion from a c e p h a l o g r a m offers the clinician
use these m e t h o d s for diagnostic purposes with some guidelines. Bjork identified seven specific
greater safety. structural features that m i g h t develop as a result
An understanding of the maxillomandibular of r e m o d e l i n g during a particular type of growth
growth rotation of the patient would be most rotation. Bjork's suggestions for predicting con-
helpful in the diagnosis of vertical variations. dylar rotation have, however, not b e e n widely
Bjork u8 has contributed information that offers used by the specialty because (1) some of the
some guidelines for the clinician to assist in the indicators cannot be easily seen on the average
determination of the growth rotation of the cephalogram, (2) the use of the indicators is vmT
mandible so that the c o n c o m i t a n t vertical time-consuming for the clinician, and (3) there
changes are m o r e easily understood. Bjork's has b e e n no scientific validation of the suggested
124 Vaden and Pearson

the backward rotator exhibits (1) a straight in-


clination of the condyle, (2) a relatively straight
mandibular canal, (3) the symphysis slopes for-
ward and, (4) lower anterior facial height is
long.
Isaacson, 29 Isaacson et al, 3 and Schudy, ~ fol-
lowing on Bjork's reports, studied jaw rotation
caused by vertical condylar growth. A succinct
summary of the findings of these investigators is
that a forward mandibular rotation occurs when
vertical condylar growth exceeds the sum of the
vertical growth of the maxillary sutures and the
maxillary and mandibular alveolar processes. If
growth of the maxillary sutures and the maxil-
lary/mandibular alveolar processes exceeds ver-
tical condylar growth, a backward rotation
occurs, and the face becomes longer. An under-
standing of the effect of condylar growth on
mandibular position is fundamental if the clini-
cian is to adequately and appropriately diagnose
a vertical dimension abnormality.

Figure 5. An example showing upward and forward Anterior and Posterior Facial Height
condylar growth.
Vertical dimension skeletal abnormalities are
not solely caused by condylar growth direction.
indicators because of difficulties e n c o u n t e r e d in They are also caused by differences in anterior
study design. Some in the specialty also question facial height and posterior facial height develop-
whether several of the suggestions are valid in- ment. These differences in height development
dicators of a particular type of growth rotation. can lead to rotational growth or to changes in
However, when used for their intended purpose, mandibular position that greatly influence the
as guidelines only, the indicators have some use- position of the chin. ~ Etiologies influencing un-
ful clinical applications in the diagnosis of the favorable differences in development of anterior
patient with vertical dysplasia (Table 1). and posterior facial height are nmltifactorial.
Using Bjork's guidelines, it is interesting to These factors can, for simplicity, be subdivided
study Figures 4B and 6B. Figure 4B, the forward into those caused by (1) dentoalveolar develop-
rotator, exhibits several of Bjork's indicators in- m e n t and (2) environmental factors.
cluding observations that (1) the condylar head
curves forward, (2) the mandular canal is
Dentoalveolar Development
curved, (3) the symphysis has a backward cant,
(4) the interincisal angle is obtuse and, (5) Issacson et al 3~ studied dentoalveolar develop-
lower anterior facial height is short. Figure 6B, m e n t in three groups of subjects--those with

Table 1. Bjork's Seven Structural Guidelines 2s


Fo~t~ard Pvotator Backward Rotator

Inclination of the condylar head Cupees forward a n d back Straigbt or slopes u p


Curvature of the m a n d i b u l a r canal Curved Straight
Shape of the m a n d i b u l a r lower border Curved downward Notchcd
Inclination o f the symphysis (Anterior aspect j u s t below "B" point) Slopes backward Slopes fi)iveard
Interincisal angle Vertical or obtuse Acute
l n t e r p r e m o l a r or intermolar angles Vertical or obtuse Acute
Anterior lower face h e i g h t Short Tall
Diagnosis of the Vertical Dimension 125

Figure 6. An example of a pa-


tient with long-face syn-
drome.

short anterior facial height, those with average short anterior facial height (low MP-SN angles).
anterior facial height, and those with excessive This difference of 5.1 m m of dentoalveolar de-
anterior facial height. T h e a m o u n t of maxillary v e l o p m e n t between the high angle and low an-
posterior alveolar d e v e l o p m e n t was t o u n d to de- gle groups is of significance.
crease as the MP-SN angle decreased. In patients M a n d i b u l a r p o s t e r i o r alveolar d e v e l o p m e n t
with long anterior facial height (high MP-SN similarly d e c r e a s e d with decreases in the
angles), the m e a n distance f r o m the occlusal MP-SN angle b u t m u c h less dramatically t h a n
plane to the inferior edge of the palate was 22.50 those f o u n d in the maxilla. M a n d i b u l a r h e i g h t
m m . This distance decreased to 19.6 m m for the showed a m e a n of 31.2 m m for the l o n g ante-
average g r o u p and 17.1 m m for the g r o u p with rior face h e i g h t g r o u p , 28.2 for the average
126 Vaden and Pearson

Mouth breathing. T h e relationship between


m o u t h breathing, altered posture, and the de-
v e l o p m e n t of malocclusion is not as clear cut as
the theoretical o u t c o m e of shifting to oral respi-
ration m i g h t a p p e a r at first g l a n c e Y Recent ex-
perimental studies have only partially clarified
the situation. C u r r e n t e x p e r i m e n t a l data for the
relationship between malocclusion and m o u t h
breathing are derived f r o m studies of the nasal/
oral ratio in normal versus long-face c h i l d r e n Y
T h e data from the study show that both normal
and long-face children are likely to be predom-
inantly nasal breathers u n d e r laboratory condi-
tions. A minority of the long-face children had
less than 40% nasal breathing, whereas n o n e of
the normal children had such low nasal percent-
ages. W h e n adult long-face patients are exam-
ined, the findings are similar: the n u m b e r with
Figure 7. An example showing a posterior-directed evidence of nasal obstruction is increased in
growth pattern of the mandibular condyle.
comparison to a n o r m a l population, but the
majority are not m o u t h breathers in the sense of
p r e d o m i n a n t l y oral respiration.
group, a n d 28.3 for the s h o r t a n t e r i o r face Airway problems, such as large adenoids, ton-
h e i g h t group. sils, or blocked ail~vays caused by septum devia-
The findings of the Issacson et a133 study were tions, large conchae, or allergies are frequently
confirmed in a study p e r f o r m e d by J a n s o n et observed in high-angle patients and may affect
al. 34 These investigators f o u n d that all dentoal- m a n d i b u l a r posture, allowing m o r e f r e e d o m for
veolar heights were significantly greater in long posterior eruption. This hypothesis is s u p p o r t e d
anterior facial height patients than in patients by Linder-Aronson 39,4 who showed closing of
with n o r m a l facial height. Also, in the short the m a n d i b u l a r plane angle and reduction in
lower anterior facial height, all dentoalveolar the anterior face height after removal of ade-
heights were significantly shorter than in the noids and tonsillectomy.
n o r m a l lower anterior facial height group. It appears that research on respiration, up to
T h e differences in dentoalveolar develop- the present time, has resulted in two opposing
ment, most particularly in the maxilla, have a views: (1) total nasal obstruction is highly likely
significant impact on the anterior facial height to alter the pattern of growth and lead to mal-
of the orthodontic patient. Moller and Inger- occlusion in e x p e r i m e n t a l animals and humans,
val135 and T h i l a n d e r :~6 have postulated that ex- and individuals with a high p e r c e n t a g e of oral
cessive maxillary posterior dentoalveolar devel- respiration are overrepresented in the long-face
o p m e n t is associated with weaker masticatory population, but (2) the majority of individuals
musculature in high-angle patients c o m p a r e d with the long-lace pattern of deformity have no
with the strong musculature c o m m o n l y associ- evidence of nasal obstruction and must there-
ated with short anterior facial height patients. fore have some o t h e r etiologic factor as the prin-
cipal cause.
In conclusion, it appears that m o u t h breath-
Enviornmental Role--Swallowing and
ing may contribute to the d e v e l o p m e n t of orth-
Tongue Posture
odontic p r o b l e m s but is difficult to indict as a
T h e role of tongue posture, swallowing, and frequent etiologic agent. Clinically, most orth-
breathing are still subjects of debate, argument, odontists refer m o u t h breathers to an otolaryn-
and study in orthodontics. Their respective im- gologist tbr an evaluation. This p r o b l e m should
pact on the vertical dimension are in n e e d of be carefully evaluated during the diagnosis of a
continued study and research. patient with excess vertical dimension.
Diagnosis of the VerticalDimension 127

Swallowing and tongueposture. O n e viewpoint Diagnostic Considerations


holds that t o n g u e thrust swallowing is seen in
Steep Excess Vertical Pattern:
(1) y o u n g e r children with r e a s o n a b l y n o r m a l
The Backward Rotator
occlusion in w h o m it r e p r e s e n t s only a transi-
tional stage in n o r m a l physiologic m a t u r a t i o n During differential diagnosis of the high-angle
a n d (2) in individuals who have displaced in- patient, two questions must be asked. First,
cisors. In the latter, it is an a d a p t a t i o n to where should the teeth be positioned? For the
the space b e t w e e n the teeth. O t h e r s a r g u e that patient with long anterior facial height, the man-
t o n g u e thrust swallowing simply has too dibular anterior teeth are most often positioned
s h o r t a d u r a t i o n to have an i m p a c t o n t o o t h in a m o r e retracted posture over basal bone. Lip
position. Pressure by the t o n g u e against the p r o c m n b a n c y can be best resolved if the man-
teeth d u r i n g a typical swallow lasts for a p p r o x - dibular anterior teeth are upright. T h e a m o u n t
of uprighting that must be achieved is a matter
imately 1 second. A typical individual swal-
of (1) clinical preference and must be deter-
lows a b o u t 800 times p e r day while awake b u t
m i n e d during the t r e a t m e n t p l a n n i n g phase of
has only a few swallows p e r h o u r while asleep.
the t r e a t m e n t protocol or (2) the dictates of the
T h e total p e r day, t h e r e f o r e , is usually u n d e r
malocclusion. If indeed the facial profile of the
1,000. O n e t h o u s a n d seconds of pressure, of patient with excess vertical dimension is long, a
course, totals only a few minutes, n o t nearly vertical reduction genioplasty can be effective
e n o u g h time, it is argued, to affect the equi- for facial esthetics. It is f u n d a m e n t a l for the
librium. 41 clinician to be able to visualize the posttreat-
Most clinicians believe that if a patient has a m e n t positions of the m a n d i b u l a r anterior teeth
forward resting posture of the tongue, the dura- during t r e a t m e n t plan preparation. Secondly,
tion of this pressure, even if very light, could will extractions be necessary? For m a n y patients
affect tooth position, vertically or horizontally. with excessive lower anterior facial height, ex-
Tongue-tip protrusion during swallowing is tractions may be necessary. T h e question of
sometimes associated with a forward tongue pos- which teeth should be extracted can be an-
ture. swered only after a t h o r o u g h and accurate dif-
During the diagnosis of the patient with a ferential diagnosis.
vertical dimension problem, the clinician must
u n d e r s t a n d that condylar growth, sutural lower- The Overdosed Forward Rotator
ing of the maxillary complex, dentoalveolar de-
velopment, dental eruption, and the patient's Patients with short anterior vertical facial height
oral e n v i r o n m e n t / h a b i t s are interrelated. T h e r e have a unique set of problems that require dif-
is not generally a single causative factor that ferent diagnostic considerations. The following
diagnostic guidelines should be considered
predisposes the patient to too m u c h or too little
when a patient with this skeletal pattern is
vertical d e v e l o p m e n t of lower facial height. To
treated without surgical intervention.
simplify, one might conclude as a general rule,
Mandibular incisors, if well aligned before
that when vertical condylar growth exceeds
treatment, can be allowed to remain in their
tooth eruption (alveolar development), forward
p r e t r e a t m e n t position. Uprighting of mandibu-
m a n d i b u l a r rotation occurs. T h e result is in- lar incisors has an adverse impact on facial es-
creased posterior facial height a n d an increase thetics of the low-angle patient. However, the
in the ratio of posterior facial height to ante- m a n d i b u l a r incisors, if malaligned, should not
rior facial height. Conversely, if dentoalveolar be proclined beyond their bony support for the
growth and tooth eruption are greater than ver- p u r p o s e of alignment.
tical condylar growth, the resultant m a n d i b u l a r Some overclosed forward rotator malocclu-
change is backward rotation. T h e anterior facial sions are characterized by a d e e p vertical over-
h e i g h t / p o s t e r i o r facial height ratio decreases. 42 bite, maxillary incisor protrusion, a n d / o r crowd-
Environmental factors can play a role, but the ing. Correction of the overbite for these patients
role is, at times, difficult to assess and varies f r o m is best accomplished by intrusion and retraction
patient to patient. of the maxillary incisors.
128 Vaden and Pearson

Treatment Concerns three c o m p o n e n t s of a malocclusion facial,


dental, and skeletal. Each c o m p o n e n t must be
During the diagnosis of the vertical dimension
carefully studied and u n d e r s t o o d so that (1) the
problem, the clinician must be attentive to the
p r o p e r questions are asked and (2) the correct
force systems that are p l a n n e d for treatment and
diagnostic decisions are made to lead to an ef-
understand that undesirable reactions to incor-
fective treatment plan.
rectly applied fbrce systems are disastrous. Pos-
Diagnosis of the vertical dimension is a con>
terior facial height must be carefully controlled
plex problem. Yet, it can be as simple as studying
for the high-angle patient because an increase in
a face and applying c o m m o n sense diagnostic
posterior facial height will result in an increase
tools to ascertain the reason that the lower face
in anterior facial height. 434~ An increase in an-
is too long or too short. The vertical dimension
terior facial height of high-angle patients is ca-
has been a subject of study and debate since
lamitous.
orthodontics became a specialty. Researchers in
An important mechanical tooth manipulation
the field of vertical dimension diagnosis, includ-
that must be accomplished during the treatment ing Bjork, is Schudy, 27 Nielsen, 25 Isaacson, 29
of the patient with excess vertical dimension is
Pearson, ~6 and others, have provided the spe-
prevention of extrusion of the mandibular pos-
cialty many useful guidelines and concepts that
terior teeth, assuming that the maxillary poste-
can be used by every orthodontic clinician as
rior vertical dimension is controlled by intrusive
they diagnose a malocclusion that is complicated
forces (ie, headgear or other methods). Extru-
by a vertical dimension discrepancy. Orthodon-
sion in the molar areas will prevent successful
tists should continue to use the work of these
correction of the malocclusion with excess ver-
researchers and clinicians for a foundation as
tical dimension and long lower anterior t:ace
more studies are u n d e r t a k e n that will yield more
height. It is important for the clinician to under-
knowledge so that diagnosis of the vertical di-
stand these concepts during diagnosis and treat-
mension becomes less art and more science.
m e n t planning so that extraoral traction can be
planned to help control the vertical dimension
during treatment. There should be intrusive References
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Diagnosis of the Vertical Dimension 129

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