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ORIGINAL ARTICLE

Effectiveness of interceptive orthodontic


treatment in reducing malocclusions
Gregory J. Kinga and Pongsri Brudvikb
Seattle, Wash, and Bergen, Norway

Introduction: In this retrospective cohort study of the effectiveness of interceptive orthodontic treatment, we
compared patients receiving interceptive orthodontic treatment with untreated control subjects. Methods:
Models were scored by using the index of complexity, outcome and need (ICON). Control models (n 5 113)
were archival and were selected based on malocclusion in the early mixed dentition and no orthodontic treat-
ment during the subsequent 2 years. The patients (n 5 133) were in the mixed dentition and consecutively
treated in the University of Bergen orthodontic clinic. Initial ages were 9.4 years (6 1.4) for the treated group
and 9.3 years (6 0.8) for the control group. The treatment took a mean of 27.2 months (6 16.3) for the patients;
the control group was observed for a mean of 24.4 months (6 3.6). Subject Groups were matched for age,
need, complexity, duration, and all ICON components except spacing (P \0.006) and crossbite (P \0.000).
Results: ICON scores decreased after treatment by 38.8% (P \0.0001) from 54.9 (6 16.6) to 33.6 (6 16.1).
The controls were unchanged, with ICON scores of 54.0 (6 14.8) and 54.2 (6 16.9). Improvement grades
were different (P \0.0001), with most controls categorized as ‘‘not improved or worse’’ (89.4%), whereas
only 36.1% of the treated group were in that category. However, there were increases in the ‘‘minimal,’’ ‘‘mod-
erate,’’ and ‘‘substantial’’ improvement categories for the treated subjects (22.6%, 21.1%, and 17.3%, re-
spectively). The controls did not change in any ICON component and worsened in crowding (P \0.007),
whereas the patients improved in esthetics, crowding, crossbite, and overbite (P \0.007). Conclusions:
These results indicate that interceptive orthodontic treatment is effective for improving malocclusion but
does not produce finished-quality results. (Am J Orthod Dentofacial Orthop 2010;137:18-25)

I
nterceptive and preventive orthodontic procedures mixed dentition, and that the burden of these malocclu-
are relatively simple and inexpensive treatment ap- sions in this age group is substantial (about 25%-30%).
proaches that target developing malocclusions dur- In 1 study, patients at risk for future orthodontic prob-
ing the mixed dentition. Orthodontists perceive these as lems were identified in 28% of those examined, and
useful ways to reduce the severity of malocclusions,1 most of the developing malocclusions were judged to
improve a patient’s self-image, eliminate destructive be suitable for interceptive orthodontic treatment.4 A
habits, facilitate normal tooth eruption, and improve similar study found that about 27% of the children ex-
some growth patterns.2 Because of this, some have ad- amined in a large Nigerian sample needed some form
vocated their wider use as public health measures aimed of interceptive orthodontic treatment.3 A third study
at reducing the burden of malocclusion in underserved of children screened in a community dental clinic at
populations3 and as a strategy for increasing access to ages 9 and 11 years also found that one-third would
orthodontic treatment when resources are limited.1 benefit from interceptive orthodontic treatment.5
Available evidence suggests that patients at risk for Although interceptive orthodontic procedures often
severe malocclusion can readily be identified in the do not produce finished orthodontic results without
a second phase of treatment in the permanent dentition,
a
Moore Reidel Professor, Department of Orthodontics, University of
several studies have suggested that systematically
Washington, Seattle. planned interceptive treatment in the mixed dentition
b
Associate professor, Department of Orthodontics, University of Bergen, might contribute to a significant reduction in treatment
Bergen, Norway.
Supported by NIDCR grant U54 DE14254.
need between the ages of 8 and 12 years, often produc-
The authors report no commercial, proprietary, or financial interest in the ing results so that further need can be categorized as
products or companies described in this article. elective. In a Finnish study, the need was reduced signif-
Reprint requests to: Gregory J. King, University of Washington, Department of
Orthodontics, Box 357446, Seattle, WA 98195; e-mail, gking@u.washington.
icantly from ages 8 to 12 in a small group receiving in-
edu. terceptive treatment.6 In a similar study, 94% of the
Submitted, December 2007; revised and accepted, February 2008. children receiving interceptive treatment in a commu-
0889-5406/$36.00
Copyright Ó 2010 by the American Association of Orthodontists.
nity health clinic were judged to have completely suc-
doi:10.1016/j.ajodo.2008.02.023 cessful results, with only 2% showing deterioration.5
18
American Journal of Orthodontics and Dentofacial Orthopedics King and Brudvik 19
Volume 137, Number 1

Using the peer assessment rating (PAR)7 and the index (ie, final casts with a fully erupted permanent dentition
of complexity, outcome and need (ICON),8 the authors mesial to the first molars were excluded), final casts for
of another study reported significant reductions in mal- the control group who received no orthodontic treat-
occlusion severity after early treatment in both Medic- ment were taken 2 years after the first, initial casts show-
aid and privately financed patients, with comparable ing a malocclusion suitable for funding under the
results in both groups.9 In addition, about two thirds Norwegian Social Security System as judged subjec-
of those patients changed from a ‘‘medically necessary’’ tively by an orthodontist (P.B.) experienced with these
category, as judged by the handicapping labiolingual criteria, Scandinavian ethnicity, and no exclusion based
deviation index10 to ‘‘elective’’ after mixed dentition on sex.
orthodontic intervention.11 All casts were scored with the ICON by a calibrated
Although the available data suggest that interceptive examiner (G.J.K.) who was not blinded to group or time
orthodontic treatment can be effective, no randomized point. True blinding was not possible because the casts
clinical trials or large cohort studies have compared in- of the control group were easily recognizable because of
terceptive outcomes with no treatment in either the near their rough trimming, and the time points were obvious
or long term. This has been primarily due to the lack of based on the stage of tooth development evident on the
suitable cohorts of untreated patients with malocclu- casts. The ICON scores overall occlusion and an es-
sions to serve as control subjects. During the 1970s, thetic component of malocclusion on an interval scale,
the orthodontic faculty at the University of Bergen in from 0 to 120 for the former and 0 to 10 for the latter.
Norway collected orthodontic study casts biannually The higher the ICON score, the worse the malocclusion.
from many local school children. A substantial number The ICON has been validated based on the subjective
of these children had orthodontic needs and were not judgments of 97 orthodontists from 9 countries on 240
treated during the mixed dentition. Thus, it was possible initial and 98 treated dental casts. Created as a single
to collect an archival cohort of study casts of untreated measure of need, complexity, and outcome simulta-
subjects with excellent matching for malocclusion neously, the ICON has 2 advantages over the more com-
severity to compare with a contemporary sample of pa- monly used PAR as a dental outcome measure.7,12 It has
tients treated in an interceptive clinic. We hypothesized an esthetic component that is weighted highly by clini-
that interceptive orthodontic treatment would improve cians and valued by patients, and it has clear and inter-
malocclusions with reductions in their complexity and nationally validated cut points for treatment need and
need. outcome with categories for complexity and improve-
ment. Five weighted parameters are scored and com-
prise the components of the ICON: dental esthetics,
MATERIAL AND METHODS crossbite, anterior vertical relationship, maxillary
This was a retrospective cohort design. Power calcu- crowding or spacing, and buccal segment anteroposte-
lations were based on a similar study with a 40% im- rior relationship. The components were individually
provement in ICON scores after interceptive scored from dental casts and multiplied by their respec-
treatment.9 A sample size of 100 provided a power of tive weights to yield a single summary ICON score. This
90% and an alpha of 0.05 for this level of difference final score was then used to determine initial need
in ICON scores. For the treated group, 133 patients (ICON .43) and final outcome acceptability (ICON
with pre- and postinterceptive sets of dental casts were \31), and difference scores were used to determine im-
selected from consecutively treated patients who met provement. According to the convention recommended
our inclusion criteria and were treated in the orthodontic by the developers of the ICON, improvement scores
clinic at the University of Bergen by dental students su- were calculated by subtracting 4 3 final scores from
pervised by orthodontic faculty members. Most of these the initial scores.8 This permitted us to compare the im-
patients were treated for dental misalignment, crowding provement in our samples with the categories validated
or spacing, inversions, anterior open bite, and crossbite for the ICON. Intrarater reliability of the examiner was
with various removable appliances. The control group, determined by using Dahlberg’s formula13 on 10 sets of
consisting of 113 patients with 2 sets of dental casts models remeasured 2 weeks apart and was considered to
that also met the inclusion criteria, was randomly se- be acceptable (4.1 ICON points).
lected from departmental archives of biannual records Initial equivalence of the groups was assessed by us-
of school children taken during the 1970s. Inclusion ing age, sex, and malocclusion characteristics. The lat-
and exclusion criteria were initial casts in the early ter consisted of weighted initial ICON scores and
mixed dentition, final casts after interceptive orthodon- unweighted ICON component scores. Equivalence in
tic treatment but no later than the late mixed dentition ICON components was assessed by using multiple
20 King and Brudvik American Journal of Orthodontics and Dentofacial Orthopedics
January 2010

Table I. Initial comparison of groups Table II. Changes in ICON scores by group
lnterceptive Control P value lnterceptive Control ICON cut points
(n 5 133) (n 5 113) (need or acceptability)
Age (y) (SD) 9.4 (1.4) 9.3(0.8) 0.590
Female (%) 51.6 31.8 0.017 Initial mean ICON 54.9 (16.6) 54.0 (14.8) .43
Mean ICON (SD) unweighted components (SD)
Esthetics (1-10) 5.3(1.8) 5.2 (1.7) 0.469 Final mean ICON 33.6 (16.1)* 54.2 (16.9) \31
Crowding (0-5) 0.6 (1.3) 0.4 (1.6) 0.414 (SD)
Spacing (0-5) 0.2 (0.5) 0.4 (0.7) 0.006 lmprovement % 38.8 0.9
Crossbite (0-1) 0.6 (0.5) 0.2 (0.4) 0.000
*P \0.0001 (initial vs final; interceptive vs control).
Open bite (0-4) 0.3 (1.0) 0.2 (0.6) 0.277
Overbite (0-3) 0.6 (0.8) 1.0 (0.9) 0.008
Buccal AP (0-2) 1.1 (0.8) 1.2 (0.5) 0.500
sets of casts averaged 27.2 months (6 16.3) in the
AP, Anteroposterior relationship treated group and 24.4 months (6 3.6) in the control;
these were not different. At the second time point, the
unpaired t tests with Bonferroni adjustments for multi- mean ICON scores were 33.6 (6 16.1) for the treated
ple comparisons. Since 7 tests were performed, the level group and 54.2 (6 16.9) for the untreated controls.
of significance was set at P \0.007 (ie, P \0.05/7). This represented a 38.8% improvement for the former
ICON scores were compared between groups and at (P \0.0001) and no change for the latter. Based on
the 2 time points with 2-way analysis of variance (AN- the ICON acceptability cut point of \31, both groups
OVA) and post-hoc comparisons with the Kruskal- would be judged unacceptable, but the treated cohort
Wallis test if P \0.05. Initial need was determined by was borderline.
using the weighted ICON score threshold of .43, and The distributions of the initial complexity grades
end-of-study acceptability was determined with the (Fig 1) were not different between the groups (chi-
\31 threshold. The prevalences of subjects in the initial square: P 5 0.186). Figure 2 gives a comparison of
complexity grades and improvement categories were the distributions of improvement grades between the 2
also calculated, and these distributions were compared groups. The difference between these was highly signif-
between groups by using the chi-square statistic. Un- icant (chi-square, P \0.0001). Whereas most subjects
weighted ICON component scores were compared be- were categorized as ‘‘not improved or worse’’ in the un-
tween initial and final casts, and differences were treated control group (89.4%), the treated group had
assessed with multiple t tests with Bonferroni adjust- 36.1% in that category. This reduction was reflected
ments and significance set at P \0.007. by roughly equivalent increases in the ‘‘minimal,’’
‘‘moderate,’’ and ‘‘substantial’’ improvement categories
for the treated subjects (22.6%, 21.1%, and 17.3%, re-
RESULTS spectively) compared with the controls (7.9%, 1.8%,
Initially, the subjects in the interceptive and control and 0.9%, respectively).
groups had mean chronological ages of 9.4 years (6 Improvements in the various ICON categories are
1.4) and 9.3 years (6 0.8), respectively (Table I). These shown in Figures 3 and 4. The untreated controls had
were not different. However, although the treated group no improvement in any component and a statistically
was about equally divided by sex (51.6% female), the significant worsening of maxillary crowding (P 5
control group was predominantly male (31.8% female). 0.007). In contrast, the treated sample showed statisti-
These were statistically different (P 5 0.017). As as- cally highly significant improvements in the esthetic
sessed by the unweighted ICON component scores, and crossbite components (P \0.0001), with significant
the malocclusions in the 2 groups were largely well improvements in the maxillary-crowding and open-bite
matched, with moderate esthetics scores, minimal max- components (0.001 \ P \0.007).
illary crowding or spacing and openbite or overbite, and
moderate buccal anteroposterior occlusal relationships.
Statistical differences were found only in maxillary an- DISCUSSION
terior spacing (P \0.006) and crossbite (P \0.000). This study supports the hypothesis that a systematic
Table II shows that both groups had similar ICON program of interceptive orthodontic treatment during
scores when the first models were taken (54.9 and the mixed dentition is more effective than doing nothing
54.0, respectively). Based on the validated ICON as- to improve malocclusions over the near term. This
sessment of need (.43), both groups of subjects needed finding supports other studies that have reported similar
treatment. The intervals between the first and second improvements but has the added advantage of including
American Journal of Orthodontics and Dentofacial Orthopedics King and Brudvik 21
Volume 137, Number 1

Fig 1. Percent of subjects in the ICON initial complexity categories: easy, \29; mild, 29-50; moder-
ate, 51-63; difficult, 64-77; very difficult, .77. Interceptive and control distributions were not different
based on the chi-square statistic.

Fig 2. Percent of subjects in the ICON improvement categories: improvement scores 5 initial ICON
score – 4 x final ICON score. Greatly improved, .–1; substantially improved, –25 to –1; moderately
improved, –53 to –26; minimally improved, –85 to –54; not improved or worse, \–85. Based on the
chi-square statistic, the interceptive and control distributions were highly significantly different
(P \0.0001).

an untreated cohort with similar initial malocclusions to category. This finding clearly supports the conclusion
address spontaneous improvement or worsening during that these malocclusions do not change in any signifi-
the transition from the deciduous to the permanent den- cant ways during the mixed dentition without interven-
tition.5,6,9,11 The untreated control group in this study tion. Conversely, the treated group had far fewer
showed little change in overall ICON scores with patients in this ‘‘not improved or worse’’ category but
most subjects in the ICON ‘‘not improved or worse’’ increases in the ‘‘minimal,’’ ‘‘moderate,’’ and
22 King and Brudvik American Journal of Orthodontics and Dentofacial Orthopedics
January 2010

Fig 3. Changes in ICON components in the untreated control group (unweighted). The initial scores
were statistically different from the final scores based on the t test (*P \0.007).

Fig 4. Changes in ICON components in the interceptive treatment group (unweighted). The pretreat-
ment scores were statistically different from the posttreatment scores based on the t test (*0.001 \
P \0.007; **P \0.0001).

‘‘substantial’’ improvement categories, suggesting that pothesis that interceptive orthodontic treatments often
interceptive treatment improves malocclusions to vary- require further treatment in the permanent dentition.
ing degrees. However, few patients in either group were When we considered the various components of
in the ‘‘greatly improved’’ category, supporting the hy- malocclusion, the untreated group experienced no
American Journal of Orthodontics and Dentofacial Orthopedics King and Brudvik 23
Volume 137, Number 1

improvement in any category and a statistically signifi- more mild-to-moderate malocclusions in the control
cant worsening of maxillary crowding, whereas the group and more difficult-to-very-difficult cases in the
treated group had improvements in esthetics, crossbite, treated group. This seems reasonable, since one expects
maxillary crowding, and anterior open bite. The deteri- that there would be parental pressure to begin treatment
oration in maxillary crowding in the untreated sample early for children with more significant impairments.20
during the mixed dentition might have been caused by Since mixed dentition treatment was an exclusion crite-
a loss of arch perimeter caused by caries, since this rion for the control group in this study, some subjects
archival sample subjectively appeared to have more with the most severe problems requiring early treatment
interproximal caries, restorations, and early loss of might have been excluded from the control sample. This
deciduous teeth than did the more contemporary treated also might explain the curious finding of more boys in
sample. This suggestion is supported by Norwegian the control sample, since demand for orthodontic treat-
studies reporting declines in caries incidence during ment is known to be higher for girls.21
the interval covered by the 2 groups in this study,14,15 Matching also was generally good with respect to
with the extensive use of fluoride-based preventive the various components of malocclusion with differ-
programs cited as the major factor contributing to the ences only in more maxillary spacing and fewer cross-
decline during the late 1960s and early 1970s.16 bites in the controls. Many clinicians, including the
This comparison did not consider the long-term sta- orthodontic faculty at the University of Bergen, treat
bility of interceptive orthodontic corrections. Without crossbites during the mixed dentition because younger
such a comparison, it is impossible to know the extent patients are thought to respond better to treatment; early
to which these partial corrections have any lasting ben- treatment also prevents the risk of asymmetric facial
efit, or how they compare over the long term with com- growth and gingival damage.22-24 Despite recent reports
prehensive treatment. Preferably, a randomized that do not strongly support many of these beliefs, this
controlled trial designed to compare interceptive with practice is common worldwide.25,26 This could explain
comprehensive treatment over the long term would be why these patients were found less frequently in our un-
required, but such a study has not yet been reported. treated sample. A greater amount of initial maxillary
Randomized controlled trials designed to examine spacing in the untreated sample might reflect greater
1-phase vs 2-phase treatment of Class II malocclusions incisor flaring in this group. The tendency for higher
indicate that early intervention has a short-term benefit overbite scores in this group further supports this inter-
over no treatment but offers no advantage over 1-phase pretation. Despite good matching on several important
treatment at adolescence.17,18 However, these studies criteria for testing the main hypothesis, the failure to
did not have groups receiving only phase-1 treatment, achieve perfect matching in all categories examined is
so they could not address the long-term stability of early a limitation of this study, since some of these might
treatment alone. Because interceptive orthodontic treat- be confounders in data interpretation.
ment has limited goals aimed at reducing, rather than The wider use of interceptive orthodontic treatment
eliminating, features of malocclusion, it is considered has been proposed as a public health measure for reduc-
to be partial treatment by most orthodontists; our data ing the burden of malocclusions in developing coun-
support that conclusion. If producing an ideal occlusion tries3 and for increasing access to orthodontic services
lessens the risk of relapse as some contend, one might for underserved populations (low-income, ethnic minor-
predict that comprehensive treatment would have ities, and geographically isolated subgroups).1 The
greater stability. However, the question of how the qual- rationale for this derives from the hypothesis that ortho-
ity of outcome influences posttreatment stability is de- dontists can more readily provide shorter, simpler inter-
batable, with some evidence suggesting that, over the ceptive and preventive treatments to low-income
long term, excellent results tend to deteriorate, whereas families compared with the alternative of more expen-
average results tend to improve.19 sive and longer comprehensive treatments. Cost-effec-
The comparison groups were well matched with re- tiveness analyses are necessary to demonstrate the
spect to the main outcomes for testing the hypothesis: economic value of this strategy compared with compre-
age, need, complexity, and treatment duration. How- hensive treatment in the permanent dentition. A Finnish
ever, there were some lack of comparability in less rel- study found that the cost was lower in 1-stage treatments
evant features that might reflect clinician and patient started in the permanent dentition compared with
biases in favor of early treatment for some population 2-stage treatments started in the mixed dentition.27
subgroups and malocclusions as well as differences in However, no studies have compared mixed dentition in-
dental health between the years covered by the 2 groups. terceptive treatment alone vs comprehensive permanent
Comparison of initial complexity data suggests slightly dentition treatment alone. Nevertheless, data from
24 King and Brudvik American Journal of Orthodontics and Dentofacial Orthopedics
January 2010

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