Professional Documents
Culture Documents
Analysis of Orthodontic
Mechanics
Bloengi neering
Analysis of Orthodontic
Mechanics
ROBERT J. NIKOLAI, Ph.D.
Professor, Department of Orthodontics
St. Louis University Medical Center
St. Louis, Missouri
Bibliography: p.
Includes index.
1. Orthodontic appliances. 2. Force and energy.
3. Bioengineering. I. Title. [DNLM: 1. Biomedical
engineering. 2. Orthodontic appliances. 3. Orthodontics.
WU 400 N693b]
RK527.N54 1984 617.643 84-5712
ISBN 0-8121-0922-8
Print Number: 5 4 3 2 1
To My Parents
Foreword
vii
Preface
1. Mathematical Topics
Mechanics 24
Force 25
Vector addition and decomposition of concentrated forces 29
The moment of a concentrated force 36
The couple 40
Resultants of force systems exerted on rigid bodies 46
Distributed forces and their resultants 50
Friction 53
Concepts of mechanical equilibrium and their applicability to
orthodontic mechanics 56
Synopsis 69
Index 463
Mathematical
Topics
the most definite because the dimension is well understood and the inch
is an established unit of length. This example suggests that descriptions
in quantifiable terms are generally clearer because of familiarity with the
bases of those terms. A particular stainless steel may be described in
terms of the constituent materials of the alloy, given in percent by
weight or by volume, or implicitly, for example, by the American Iron
and Steel Institute grade-and-type designation. (Given the AISI code for
the alloy, its composition may be learned by consulting an appropriate
metals handbook.)
Because many objective descriptions undergo some form of change
in the most general discussion, in practical considerations some limits or
bounds on the extent of change are often defined or implied. The magni-
tude of a force, exerted by an appliance on a tooth, may lessen over a
period of days as the tooth moves and the appliance partially or totally
deactivates. In a structural analysis undertaken to be valid for only a
short time, however, the force may be considered as unchanging. The
temperature in the oral cavity may vary in a complex fashion and may be
affected temporarily by ingesting hot or cold food or beverages. Often,
however, it is sufficient to consider oral temperature as unchanging, but
elevated some 30°F relative to normal room temperature. (In a study of
the characteristics of a metallic arch-wire material, for example, even the
fact that intraoral temperature is elevated with respect to the ambient air
may be inconsequential.) A constant, then, is defined as a quantity that
retains a fixed, unchanging value or level within the bounds of a particu-
lar discussion or investigation.
A quantity that cannot be regarded as constant while under study,
either because its variation is the subject of the study or the contribution
of its changing is not negligible in overall considerations, may experi-
ence change associated with movement from one location to another, or
directly or indirectly as time passes. Location or position may be related
to time. The force in a helically-coiled spring may be altered by changing
the position of one end of the spring with respect to the other. The
position or orientation of a malposed tooth under the influence of an
activated orthodontic appliance may change with time. A variable, is, in
general description, a definable characteristic or parameter under study
that takes on more than one quantifiable value during the course of a
discussion or investigation. Variables may be categorized as independent
or dependent. Although this distinction may often depend on viewpoint,
a few variables (e.g., time and temperature) are generally independent,
and other parameters assume their values in some manner associated
with the magnitude(s) of the independent variable(s). In the analysis of
the helical spring, the force in the spring may be said to be dependent on
the amount of deformation referenced from the passive (zero-applied-
force) configuration; alternatively, the extent of the deformation may be
viewed as dependent on the size of the force applied to the spring. In
the example of tooth location versus time, however, the parameter
"time" can never be realistically considered as dependent on the orien-
tation or position of a malposed tooth.
3
Mathematical Topics
Frames of Reference
I i t I i i I I
1 1 hr
line in both directions from the origin, which has, therefore, been placed
at the left end of the axis with time increasing to the right.
The graphical relationship of one dependent variable to another, or
possibly to two other independent variables, is usually established
within a two-dimensional, rectangular-coordinates framework. A pair of
reference axes are defined as the basis for the graph; the axes are per-
pendicular to one another with the origin of each the intersection point,
the now-defined origin of the framework as a whole. Ordinarily, one
axis is positioned horizontally and the other vertically. When the varia-
bles may only assume positive values, the origin is placed at the lower-
left so that variable values associated with the horizontal axis will in-
crease from left to right and values associated with the vertical axis will
increase upward. As with the one-dimensional "plot" of Figure 1-1, a
variable name (e.g., force) and units of measurement (e.g., ounces) are
appended to each axis. A scale is implied by the distance associated with
an individual unit division along each axis.
When preparing a graph of the relationship between two variables,
symbolized, for example, by x and y (without specifying the units of
measurement of either), points would be individually plotted in the x-y
plane and each point would be designated by a number pair, or coordi-
nates, (x,y). When plotting a two-dimensional relationship with respect
to a set of horizontal and vertical axes, the x-coordinate of a point is
often termed the abscissa and the y-coordinate the ordinate. When all
points have been plotted, a curve is sketched as a "best fit" through all
of the plotted points. An attempt may then be made to obtain an analytic
expression that relates x and y at or near to every point on the drawn
curve. Figure 1-2 shows a straight-line relationship that is defined as to
position and orientation by just two (x,y) coordinate pairs. A nonlinear
relationship is also displayed that may necessitate the plotting of many
points prior to sketching the curve to obtain an accurate representation.
The scales chosen for the axes need not be identical, regardless of
whether or not similar units of measurement are appropriate to the vari-
ables symbolized by x and y. The straight line in Figure 1-2 was drawn
after the coordinates (1,2) and (2,4) were plotted. If the lower bound for
x and y is zero, the plot appropriately begins at the origin of this x-y
frame (0,0). The equation of the line is easily determined to be y = 2x.
The curve sketched with respect to the same pair of coordinate axes
suggests a functional relationship between x and y that is quite different
from that of the straight line. Although the numerical relationship of x to
y can be readily obtained for any specific point on the curve, the equa-
tion relating the two variables at every point on the curve is not easily
derived from the plotted points.
The two plots of Figure 1-2 may be unrelated to one another or may
be "members" of a family of curves. If the latter is the case, a third
variable is involved and, for each value of interest of that third variable,
an individual relationship exists between x and y. Plotting a family of
curves in the plane is a method of visually describing the relationship
among three variables within a two-dimensional reference frame. Gen-
(2,4)
(1,2)
0 1 2 3 4
l(ingual)
dOstal)
Origin m(esial)
g(ingival)
t(acial)
framework associated with the entire dental arch or dentition, the refer-
ence directions are generally labeled anteroposterior, lateral or trans-
verse, and vertical.
A plane of reference is generally associated directly with the coordi-
nate perpendicular to the plane, often with the additional indication of
the "side" of the plane being viewed. For example, the occiusal plane is
perpendicular to the occlusogingival direction with the view toward the
tooth crowns. A buccal plane is perpendicular to a buccolingual direc-
tion; an identical lingual plane exists, but the implied view is toward the
lingual surface(s). The faciolingual and mesiodistal planes are perpen-
dicular to one another, references associated with an individual dental
unit, and the line common to both planes is coincident with the long axis
of the tooth. Note that the common terminology for the planes of refer-
ence for the dentition, or each arch, as a whole deviates from this pat-
tern; the coronal, the occlusal (or transverse), and the sagittal planes are
the mutually perpendicular references, and two of the associated, per-
pendicular axes have designations unlike their counterpart planes.
C,
C
1800 01
I
C
arc D"D'
Trgonometry
S QA = OB =
AB = s
600 = 22/21 radians
s = (22/21)r
0 A
angle. Each angle is measured interior to the figure and the three angu-
lar measurements always sum to 1800 or 22/7 ("pi") radians. Also, for
every triangle, the ratio of the length of a side to a function of the angle
opposite that side is a constant. That function is defined as the "sine" of
the angle; it is a dimensionless quantity that has bounds for angles be-
tween 0° and 180° of 0 and +1.
Triangles are categorized according to the size of the largest interior
angle. A right triangle contains, opposite to the longest side termed the
"hypotenuse," a right angle. The other two angles, necessarily acute,
must sum to 90°; such angles are said to be "complementary" to one
another. A right triangle is pictured in Figure 1-7. The following trigono-
metric functions are defined for an acute angle within a right triangle:
opposite = a
sine A =
hypotenuse c
adjacent b
cosine A = =— (1-1)
hypotenuse c
opposite a
tangent A =
adjacent b
FIGURE 1-7. A right triangle with angles and sides labeled symbolically.
12
Bioengineering Analysis of Orthodontic Mechanics
secant (sec), and the cotangent (cot or ctn)—are defined as the recipro-
cals of the sine, cosine, and tangent, respectively. The lengths of the
sides of a right triangle are interrelated through the Pythagorean theorem;
for the triangle of Figure 1-7 the relationship is
= a2 + b2 (1-2)
or, in words, the length of the hypotenuse equals the square root of the
sum of the squares of the other two sides. Also, from the foregoing
definitions and because A and B are mutually complementary:
d2 = e2 + f2 2ef(cos D)
e2 =f2+ d2 —2fd(cos E) (1-5)
f2 = + e2 2de(cos F)
FIGURE 1-8. An oblique triangle with angles and sides labeled symbolically.
14
Bioengineering Analysis of Orthodontic Mechanics
0
x
For the right triangle, the sine and cosine laws are replaced by the defini-
tions of the sine and cosine functions and the Pythagorean theorem.
Figure 1-9 shows a line drawn in the plane of the page with the origin
of an x-y-coordinate framework coinciding with one end of the line seg-
ment. Because the reference frame is rectangular, the line makes com-
plementary angles with the x- and y-axes. These angles, labeled and
are called the direction angles of the line OL. The "shadow" or projec-
tion of the line segment on the x-axis is the apparent length of the line
seen from a vantage point far out on the y-axis; that length equals OL cos
Similarly, the projection of OL on the y-axis is equal to OL cos The
cosines of the direction angles are termed direction cosines. Enclosing the
line OL in a rectangle, having adjacent sides coincident with the x- and
y-axes and making the segment OL a diagonal of the rectangle, and
noting the two equal right triangles formed (which share a common
hypotenuse), the following equations may be written:
\ N
\\
a
y
ox
ismeasured between the x-axis and the line segment and that measure-
ment is made in the plane containing ON and the x-axis. The projections
of the segment ON on the coordinate axes are
respectively, and the three projections are also related to the coordinates
of end points of the segment and its direction cosines:
x-projection XN 0 y-projection = YN — 0
(1-8)
z-projection = ZN — 0
Dividing through by the square of the segment length and noting the
resulting forms defining the direction cosines, the expression becomes
+ + = 1 (1-11)
60
units
Scale:
1:20
80 units
0 X
text to distinguish them from scalars. The unit vectors i and j, defined as
associated in direction and sense with the x- and y-directions, are shown
in Figure 1-11; note the positive senses corresponding to increasing coor-
dinate values. The equation for the vector displayed may be written as
Shown in Figure 1-12 is a vector in space. The ends of the vector are
coincident with points located with respect to the chosen x-y-z-coordi-
nate framework; the "tail" of the vector coincides with point D(3, 1,2)
and the vector symbol extends to point E(5,5,6). In this example, the
vector represents a 60-g force. A parallelepiped, oriented to the coordi-
nate frame, "surrounds" the vector, which lies on a main diagonal. The
length DE of the force vector is found through the three-dimensional
form of the Pythagorean theorem:
— 3)2
DE = [(5 + (5 — 1)2 + (6 — 2)21112 = 6 (1-13)
The scale factor for the sketch is, then, 60 g to 6 length units or 10 g to 1
length unit. The lengths of the sides DA (2 units), DB (4 units), and DC
(also 4 units) of the parallelepiped correspond to the projections of the
given vector, which are parallel to the x-, y-, and z-axes, respectively.
The direction angles and of the force vector are the angles EDA,
//
EDB, and EDC, respectively. Similarities in and differences between Fig-
ures 1-10 and 1-12 should now be apparent. Defining k as the unit vector
/'/I
y
/ / /
/7
/ y,/ 1/
/11/ 1
0(3,12)
E(55,6)
4
x
F=20i+40j+4Okg (1-14)
The terms of Equation 1-14 are the x-, y-, and z-components of the force
vector. By way of application, Figure 1-12 might be displaying a force
exerted by a stretched elastic, pulling from a point (3 cm, 1 cm, 2 cm) in
a lateral-anteroposterior-vertical reference frame. (Continuing, the point
(5 cm, 5 cm, 6 cm) is on the line of the force, but the "head" (arrow-
head) of the vector located at that point in the figure is merely a result of
the particular choice of scale factor for the sketch.) Equation 1-14 charac-
terizes the force as to magnitude, direction, and sense at a particular
time, but does not indicate the point of application of the force.
To complete the displacement discussion begun in an earlier section
of this chapter, a vector addition must be carried out. The displacement
of point D, the root apex in Figure 1-5, equals the sum of the displace-
ment vector of point C in the crown and the relative displacement, D
with respect to C. In Figure 1-11 the vector components having magni-
tudes of 80 and 60 units "add" to give the resultant vector V with magni-
tude of 100 units. (The sum of two vectors depends on both the individ-
ual magnitudes and their directions and senses.) In that example, the
(rectangular) components were perpendicular to one another; the com-
ponents of the apex displacement vector are not 900 apart. Note, how-
ever, that the parallelogram law of vector addition, when employed graphi-
cally, is easily undertaken regardless of the relative orientations of the
vectors to be summed.
The vector addition of the two displacement components is shown in
Figure 1-13. The displacement of point C, in reality obtained, perhaps,
from successive cephalograms, is drawn to a scale; in this example, the
scale magnifies the actual displacement size. The magnitude of the rela-
tive displacement is the scalar product of the change in long-axis angula-
tion (in radians) and the length of the axis segment CD. The directions
and senses are from C to C' and D" to D', respectively, from Figure 1-5.
To accomplish the summation, the two vectors are placed in series, with
the tail of one meeting the arrowhead of the other, and they form adja-
d(isplacement)D C
(or D)
C,
d010
(or D")
FIGURE 1-13. Vector addition. The relationship among the displacement vectors of
points in Figure 1-5.
20
Bioengineering Analysis of Orthodontic Mechanics
cent sides of a parallelogram. The third and fourth sides of the parallelo-
gram are added (dashed) to complete the figure and the desired vector,
the absolute displacement of point D, is coincident with a diagonal. The
length of the resultant vector is measured and multiplied by the scale
factor to obtain the magnitude of the displacement of point D.
Because the two vectors summed in Figure 1-13 are nearly parallel
and have comparable senses, the result in this example is almost as if the
component magnitudes were added. Parallel components, however, are
the exception and not the rule; the 80-unit and 60-unit components in
Figure 1-11 sum to give a resultant magnitude of 100 units, not 140.
Additional examples of vector addition are presented in Chapter 2.
Readings
Davis, H.F., and Snider, A.D.: Introduction to Vector Analysis. 4th Ed. Boston,
Allyn & Bacon, 1979, Chapter 1.
Drooyan, I., Hadel, W., and Carico, C.C.: Trigonometry. 3rd Ed. New York,
Macmillan, 1979, Chapters 1, 4, 5, and Appendix A.
Greener, E.H., Harcourt, J.K., and Lautenschlager, E.P.: Materials Science in
Dentistry. Baltimore, Williams & Wilkins, 1972, Chapter 1.
Spiegel, M.R.: Mathematical Handbook of Formulas and Tables. Schaum's Out-
line Series. New York, McGraw-Hill, 1968.
Spiegel, M.R.: Theory and Problems of Vector Analysis. New York, Schaum,
1959, Chapter 1.
Thurow, R.C.: Atlas of Orthodontic Principles. St. Louis, C.V. Mosby, 1970,
Chapter 5.
Wilson, W.A., and Tracey, J.I.: Analytic Geometry. Boston, D.C. Heath, 1949,
Chapters 1—3, 13.
Introduction to Analysis
of Orthodontic Force
22
The activation of an orthodontic appliance creates a system of forces that
are transmitted through the members of that appliance to the dentition,
there providing the potential to produce displacements of dental units.
Relationships exist between force systems and potential displacements
of bodies upon which the forces act. Hence, an understanding of the
fundamental principles and procedures of force analysis is indispensa-
ble to the practitioner who fabricates, places, and activates the appliance
toward the desired end: the controlled movement of teeth.
A large portion of the analysis of forces to be discussed has its foun-
dations in the subfield of classical physics known as particle mechanics.
Several of the basic concepts may be familiar to the reader from an un-
dergraduate survey course in general physics. Nevertheless, the discus-
sion here commences with no assumptions of previous knowledge of
the subject.
Mechanics
Force
Force is defined as an act upon a body that changes or tends to change
the state of rest or the motion of that body. The categories of forces are
numerous, and forces are described in many different ways. Two bodies
are associated with every force; one body exerts the force and the other
receives the force. A first manner of categorizing forces is according to the
proximity of the two involved bodies with respect to each other. Contact
forces arise due to actual physical contact between the bodies; body
forces exist between bodies that are some distance from one another.
The most common, sizable body force is the attraction of the Earth for a
body on or near the Earth's surface: the weight of the body. Newton's
gravitational law enables the determination of the weight of a body,
which is directly proportional to the product of the masses of the Earth
and the body and inversely proportional to the square of the distance
between the centers of the Earth and the body. Other body forces in-
clude those existing in the presence of electric or magnetic fields, but
these do not occur routinely in the study of orthodontic force systems
and thus will receive little attention. Notably, the weights of teeth and
26
Bioengineering Analysis of Orthodontic Mechanics
force and the product of the particle mass and its acceleration, with the
three quantities expressed in consistent, related units, are identical in
magnitude, direction, and sense. (Acceleration is the time rate of change
of velocity and, like the concentrated force, is mathematically a vector
quantity.) The Third Law states that paired active and reactive forces are
equal in magnitude, but are directly opposed to one another and are
exerted on adjacent particles. A corollary to the Third Law is the exist-
ence of internal forces, as previously defined, in canceling pairs; the
ramification of this corollary is demonstrated later in this chapter.
Newton's First Law might be considered a special case of the Second
Law, and in orthodontic force analysis a strong argument may be made
to the point that the inertia of an appliance element or a tooth is negligi-
bly small, in particular after the almost instantaneous response, in the
form of soft-tissue deformations, immediately following the activation of
an appliance. If the inertia, the product of mass and acceleration for a
particle, may be neglected in comparison with the individual compo-
nents of the force system created through activation, the orthodontic
system may be said to exist in a kind of quasi-static state; the displace-
ments that take place are small and occur over a relatively long period of
time and, at any instant, a force analysis may be carried out without
erring appreciably, as if the system was at rest. Clearly, this approxima-
tion has profound consequences; for the purpose of most analyses in-
volving the entire force system, a dynamic body or group of bodies is
effectively replaced by a static body or assembly.
In Chapter 1 the concentrated force was reported to fulfill the mathe-
matical requisites of a vector quantity. In the complete description of a
point force, then, its characteristics as a vector must be stated: magni-
tude, direction, and sense. Moreover, from a physical standpoint the
location of the force on or in the body must be given. Figure 2-1 shows a
point force exerted on a molar crown. From the sketch, the force is seen
to have a magnitude of 200 g; in this two-dimensional idealization, the
direction of the force (and that of the dashed line of action of the force) is
700 from the long axis of the tooth. The sense of the force may be said to
be up and to the left with respect to the sketch as a whole, and the point
of application is point B with the force pushing on that point. (If desired,
an equation in vector form may be written for this or any point force,
following the establishment of a reference frame, and all of the neces-
sary characteristics to describe the force, except point of application,
would be contained in that equation.) Figure 2-1, then, provides a com-
plete visual description of the 200-g force.
The potential or actual effects of a force exerted on a body, whether
active or responsive, are displacement and/or deformation. Although both
effects are of interest in orthodontic structural analysis, only the associa-
tion of displacement with force is discussed in this chapter. Disregard-
ing deformation resulting from force application is tantamount to as-
suming that the body, on which the force or force system acts, is
perfectly rigid. Although this is a reasonable assumption for some bod-
28
Bioengineering Analysis of Orthodontic Mechanics
200 g
ies, including individual teeth, it is not a valid assumption for others, for
example, elastics. In considering effects of force application, however,
bodies that are clearly nonrigid may be reasonably analyzed only within
a framework that recognizes differences in passive and active config-
urations.
The rigid body, then, is a model of Newtonian mechanics used in
analysis procedures when only completion of the description of the total
force system or the whole-body displacement is sought. (In Chapter 1,
the displacement of point D of the tooth was obtained within the as-
sumption that the tooth was rigid; otherwise, the relative displacement,
point D with respect to point C in Figure 1-5, could not have been de-
scribed as it was.) An important feature of rigid-body mechanics allows
the "sliding" of a point force to any location on its line of action found
most convenient for analysis purposes. This principle of transmissibility
states that the mechanical, whole-body effect of a concentrated force,
acting at a specific point, is unchanged by replacing the given force by
another force having the same magnitude, direction, and sense as the
original force, but acting at some different point on the line of action.
Figure 2-2 shows an 80-g force in two different locations on its line of
action (dashed); the potential for displacement of the tooth as a whole is
the same, whether the force is pulling on the lingual side or pushing on
the labial crown surface.
Before proceeding further, the general dependence of orthodontic
force upon the independent variable "time" must be mentioned. The
29
Introduction to Analysis of Orthodontic Force
——
80 g
FIGURE 2-2. Two concentrated torces having identical displacement potentials. The
principle of transmissibility.
concentrated orthodontic force often changes with time and that change
is typically reflected in the magnitude characteristic, although alteration
of direction may also occur with time. Magnitudes of force generated by
appliance activation decrease during the between-appointment periods
and an accompanying change in displacement potential generally oc-
curs. The changes with time may be divided into short-term occur-
rences, primarily due to soft-tissue deformations immediately upon acti-
vation, and long-term changes associated with tissue remodeling.
Magnitude increases and, perhaps, directional alterations take place
when the orthodontist reactivates the appliance. Detailed discussions of
these phenomena are undertaken later in this text; in the present chap-
ter, force systems are analyzed as if all involved entities are "frozen" at
a particular instant in time.
lines of action of the original forces come together. The means of reduc-
ing the two concurrent forces to a single force, mechanically equivalent to
the combination of the original forces, is known as the parallelogram law
of vector addition.
To illustrate, Figure 2-3 shows a pair of point forces: one originating
from an interarch elastic (EL) and the other from an extraoral appliance
(HG); both are exerted on a maxillary molar bracket or buccal tube. The
view is from the buccal on the right side. To obtain the resultant graphi-
cally, the directions and senses are sketched exactly as they exist in a
two-dimensional picture of the appliance action. The force magnitudes
are represented in the lengths of the vectors according to the given scale;
because it is twice the magnitude, the length of the headgear force vec-
tor is twice that of the elastic force. The given forces intersect at point 0,
the center of the bracket in the buccal view, and their vector representa-
tions form adjacent sides of a parallelogram. The dashed lines are added
to complete the geometric figure. The vector representing the resultant
is drawn as the diagonal of the parallelogram; the "tail" of the resultant
vector coincides with the point where the "tails" of the given vectors
meet. Its sense is then known, the direction of the resultant may be
determined with respect to a chosen reference line with a protractor,
and the length of the vector representation is converted to the force
magnitude through the scale as indicated. Note that if one of the forces
is seemingly pushing on the point and the other is pulling on the point
of intersection of their lines of action, one or the other vector must be
moved along its line of action until either both "tails" or both "arrow-
heads" or "tips" of the vectors meet at the point. Then the parallelogram
may be completed and the sense of the resultant is determined; either all
three "tails" or all three "tips" meet at the common point.
EL = 200 g
HG = 400 g
0= + 02
FIGURE 2-3. Graphical determination of the resultant of frio concurrent forces. The
parallelogram law.
31
Introduction to Analysis of Orthodontic Force
With the aid of a rough sketch, the resultant of two concurrent point
forces may be obtained analytically. Seen in the parallelogram construc-
lion of Figure 2-3 is a pair of congruent triangles with a shared side, a
diagonal, coinciding with the resultant vector. Two sides and the in-
cluded angle of each triangle are known through the characteristics of
the given forces. The laws of cosines and sines may then be used to
obtain the magnitude of the resultant force and the orientation of its line
of action with that of a given force or some other known reference.
Either the vector lengths or the actual magnitudes of the given forces,
because length and force size are proportional, may be used in the com-
putations which would proceed as follows:
R= + HG2 — 2(EL)HG(cos 0)
[2002 + 4002 2(200)400(cos 400)]h/2
= 278 g or approximately 10 oz (2-1)
sin0 . 200
EL = R
cb=27.5°
R Q2
= 36
P = 3 oz = 6.8 oz
P 3
tan 6 = = = 0.5
Q = 6 oz
0 = 27°
JR
HG
R
P
0
Q
FIGURE 2-5. Resultants obtained for the given forces of Figure 2-3 (top) and Figure 2-4
(bottom) using the triangle law.
Graphical solutions for the examples of Figures 2-3 and 2-4, using the
triangle law, are shown in Figure 2-5. Recall that the "tails" or "tips" of
the given force vectors must coincide when using the parallelogram law;
the solution by the triangle law requires that the "tip" of one given force
and the "tail" of the other be coincident. The resultant is drawn from the
"tail" of one given force to the "lip" of the other so that the three forces
form the sides of a triangle. Note that in summing two concurrent forces
by means of the triangle law, one given force may have to be displaced
to an artificial location in order that the resultant emerges in the con-
struction along its proper line of action; alternatively, keeping both
given forces on their original lines of action in the graphical approach,
the resultant obtained is correct in all characteristics except for its actual
point of application. Hence, care must be taken in using the triangle law
so that the proper line of action of the resultant is ultimately determined
and designated correctly.
33
Introduction to Analysis of Orthodontic Force
The resultant of any number of point forces having lines of action all
intersecting at one common point is a single, concentrated force; the line
of action of the resultant passes through that same point. To determine
the resultant of a system of three or more concurrent forces, the parallel-
ogram law or triangle law may be used repeatedly. Two of the given
forces may be combined into one, that one combined with a third given
force, and so forth until all of the given forces have been included in the
process; the resultant emerges from the final combination involving the
last given force. Because any two of the concurrent forces define a
unique plane in which their resultant will lie, the two procedures may be
used in a three-dimensional problem. If all of the concurrent forces act in
the same plane, the triangle law may be extended to a polygonal law.
Graphically, the given forces are drawn to scale with the "tip" of one
touching the "tail" of the next until all have been included, in any order
desired. The magnitude, direction, and sense of the resultant are deter-
mined by closing the polygon with the vector resultant having its "tip"
touching that of the last given force drawn (and its "tail" touching that
of the force with which the sketch was begun). The number of sides of
the polygon is one more than the number of given forces. In this con-
struction all but two of the given forces must be moved from their actual
lines of action. The line of action of the resultant is known, though, to
pass through the point common to the lines of action of the given forces.
An example of the procedure using the polygonal law is illustrated with
three given forces in Figure 2-6. In this example the forces are "added"
in the order indicated by the equation in the figure. The dashed lines
suggest the graphical procedure by two successive applications of the
parallelogram law.
In a force-system analysis, the decomposition of given forces into com-
ponents is often desirable. The procedure is the reverse of that of the
parallelogram or triangle law of vector addition. In Figure 2-3 the 200-
and 400-g forces could be considered components of the 278-g force. In
analyses of orthodontic force systems, however, the component direc-
tions often coincide with the mutually perpendicular, dental-coordinate
directions. In Figure 2-4, with proper orientation, the 3- and 6-oz forces
become occlusogingival and mesiodistal components of the 6.8-oz force.
The number of mutually perpendicular, nonzero components equals, at
most, the number of coordinate dimensions in a given problem: up to
two in the plane problem and three in the spatial problem.
Although the determination of vector components perpendicular to
one another was outlined in Chapter 1, by way of review consider the
example of Figure 2-7 in which the occlusal and mesial components of
the 300-g force against the molar are obtained. Graphically, the paral-
lelogram (actually a rectangle because perpendicular components are
desired) is constructed around the 300-g force as its diagonal, drawn
to scale. The components are adjacent sides of the rectangle; their
"tails" touch that of the given vector. The component magnitudes are
obtained from their lengths and the scale factor for the sketch. Analyti-
34
Bioengineering Analysis of Orthodontic Mechanics
V
A = 4 oz
7-
'7
-7
7 B = 6 oz
0
R = 7.5 oz
,,
7,
C = 5 oz
7,
7
7 R=A+B+C
FIGURE 2-6. Three concurrent, coplanar forces and their resultant obtained through the
polygonal law.
0
300 0
280 g
F
a: apical
d: distal
0: occlusal
I, F=l2oz
I: lingual
Mzz = F(d)
= F(d)(cos 0)
FIGURE 2-9. A concentrated torce and moment vectors with respect to lines (axes)
through point 0.
38
Bioengineering Analysis of Orthodontic Mechanics
0
R
7
I
I
Mss /J
1
= Q(b)
M0 = 90(3)1 + 120(2)
30 g-mm
= 420 g-mm J
M0 30
o = -h-- = = 0.2 mm
ME 420
d= = = 2.8 mm
\ E(5,0) x
FIGURE 2-11. Determination of the moment of a force about a point in two dimensions
by using rectangular components of that force in the plane.
The Couple
M0 = 300(1) + 300(3)
300 g = 600 g-mm)
= 300(2)
= 600 g-mm)
2mm
= 300(1)) + 300(1))
• =600g-mm)
C(2,2) M0 = 300(3)) + 300(1)
= 600 g-mm)
8(11)
300 g
D(4,0)
0 x
noting that with respect to point 0 one moment is clockwise and the
other is counterclockwise, the net moment is found to be 600 g-mm
counterclockwise. Using the points B, C, and D as individual moment
centers, the same moment is obtained in the three computations—the
same as that with respect to point 0. In fact, for all moment centers in or
moment axes perpendicular to the plane of the couple, the same result
emerges. A couple has, then, an inherent moment, and the magnitude of
the couple itself is that of the inherent moment, the product of the size
of one of the forces and the perpendicular distance between the two
forces. Because the moments of the individual forces are vector quanti-
ties, so also is that of the couple and it follows that the couple itself may
be represented mathematically as a vector. The direction of the couple is
associated with the plane of the pair of forces and the sense with its
rotational potential, either clockwise or counterclockwise, as viewed
looking into the plane of the couple.
Figure 2-13 displays a couple and its vector representation (and that
of its moment). The direction of the vector C is perpendicular to the
plane of the couple (and the "moment arm" b between the forces) and
the sense is determined according to the convention noted earlier for
moment vectors: out of the plane if viewed as counterclockwise, into the
plane if clockwise. Note the slash through the symbol, again to differen-
tiate between force and moment vectors.
A couple is completely described when specified are its magnitude,
the plane of the two forces, its sense, and, if the body is nonrigid, the
actual points of application of the two forces. The value of the couple as
42
Bloengineering Analysis of Orthodontic Mechanics
C = Pb
FIGURE 2-13. A couple in its plane and its vector representation perpendicular to that
plane.
800 g
200 g
.75 mm
-. mm
200g
300 9
600 9-mm
800 g
moment. Note that the moment vector, representing the rotational po-
tential of the concentrated force with respect to a specific moment center
or axis, is not a "free" vector. On the other hand, because a couple is a
free vector and through its two-force representation, a couple may be
combined with a third force. The form of the resultant from this combi-
nation is particularly dependent on the direction of the third force with
respect to the couple vector.
Figure 2-15 shows the relative position of the force and couple vec-
tors, enabling the placement of the two forces of the couple in a plane
containing the third force, which leads to a simple resultant. Figure 2-16
illustrates the combination procedure. With the three forces in the same
plane, the couple is represented as two forces having magnitudes equal
to that of the single force; the distance between the forces making up the
couple is then determined. Next, the couple is translated and rotated in
the plane so that one force of the couple shares the line of action of
single force and is opposed (in sense) to it. The now directly opposite
forces cancel one another and one concentrated force from the original
three remains, having the same vector characteristics as the original sin-
gle force, but with a line of action some distance from it.
The procedure of combining a force and a couple may also be carried
out in reverse. Given a single force having specific characteristics, in-
cluding location of line of action, a force and a couple may replace it
without altering the whole-body displacement potential. The transla-
800 g-mm
FIGURE 2-15. Mutually-perpendicular force and couple vectors referenced to the plane
of the force system.
45
Introduction to Analysis of Orthodontic Force
200 g
200g 200g
/
mm
/
200 g /
I
B
200 g
200g /
FIGURE 2-16. Reducing the force and couple of Figure 2-15 to a single force.
tional potential remains unchanged if the force portion of the new sys-
tem has the same vector characteristics as the given force. To leave the
rotational potential unaltered, the magnitude, direction, and sense of
the couple must correlate with the position of the line of action of the
force of the substituted system with respect to that of the given force. In
Figure 2-17, in occlusal view the force exerted on the edgewise ortho-
dontic bracket is "moved" by means of the addition of the couple to a
parallel position through the long-axis of the tooth. Although seemingly
adding to the complexity of a force system, the procedure provides a
means to "free" the force vector from its specified location and permit
lateral movement of its line of action.
A couple is a special two-force system. In orthodontic application,
active couples are often created upon bracket engagement of arch wires
C = Qe
FIGURE 2-17. Moving the line of action of a force 0 through introduction of a couple C.
The reverse of the process illustrated in Figure 2-16.
46
Bioengineering Analysis of Orthodontic Mechanics
into which permanent bends or twists have been placed. The dimension
of the couple magnitude is the product of force and length. The couple
tends to cause only rotation of the body on which it acts. In addition to
its importance as a displacement-producing system, the couple is useful
in analysis because it alone enables the transfer of a concentrated force,
exerted on a rigid body, from its given location to a parallel, alternative
line of action associated with the same rigid body.
0 m 0 192g
d 365 g
200 g 55 9
163 g
0
400 9
=163+55=218g I
R
I
FIGURE 2-18. The resultant of several concurrent forces obtained through the use of
force components. A two-dimensional example.
Third, the forces are combined and the set reduced to a single con-
centrated force, using the parallelogram or triangle law or following the
process outline with Figure 2-18 in which each force is decomposed into
coordinate components. The couples, properly represented by free vec-
tors, can all be gathered at any reference point and reduced to one cou-
ple. The choice of reduction procedures is the same as that for reducing
a system of concurrent force vectors. The given force system now has
been replaced by an equivalent system consisting of one point force, or
its two or three rectangular coordinate components, at the reference
point and a single couple (or its two or three components). Fourth and
finally, to the extent possible or desirable, the force and couple may be
combined; in this part of the process, the direct association with the
ref eMnce point is lost (unless, as determined, no couple portion of the
resultant exists as associated with the point). In the special circumstance
when the force and couple vectors are perpendicular to one another, this
pair may be reduced further to a single force. In the plane problem, if
both force and couple, as found with respect to the chosen reference
point, are nonzero, these vectors are always mutually perpendicular
and, therefore, may be combined to yield the single-force resultant.
A two-dimensional resultant problem, using the procedure just out-
lined, is presented in Figure 2-19. The rectangular plate is viewed from
above, initially resting on a frictionless surface. The three forces and the
couple are then applied, and the resultant is sought toward description
of the displacement produced by the loading. If the plate is homogene-
ous (its weight uniformly distributed throughout its volume), point 0 at
the geometric center is the center of resistance. By the choice of the
300 g
8mm 2mm
4— 8mm
lOOg —
200g
L X
R=V2002+2002=2800 =560g-mm)
200 M0
1 °x = —h—560
== 2mm
FIGURE 2-19. The resultant of a general two-dimensional force system acting on a solid
body.
50
Bioengineering Analysis of Orthodontic Mechanics
Earlier, contact forces were noted as being associated with surface areas
of the bodies acted upon. If such forces directly affect only a small por-
tion of the total surface area of the body, in modeling, that small area is
collapsed around a surface point and a concentrated force is exerted
there. On the other hand, when a force system is spread over a relatively
sizable portion of the surface area in a continuous manner, the system is
termed a distributed force. A resultant, a point force and/or a couple, may
be determined to replace the distributed force system for purposes of
examination of whole-body displacement tendencies. When considering
associated deformations, however, it is necessary to differentiate among
forces according to the sizes of contact areas involved.
51
Introduction to Analysis of Orthodontic Force
coordinate locating points of the contact area; the area itself will appear
only in edge view.
In Figure 2-20, two particular distributions for which the determina-
tion of resultants is straightforward are displayed with their resultants.
The distributions are assumed uniform in the direction perpendicular to
the page and, for simplicity, the areas are assumed to be rectangular
with the dimension not seen (perpendicular to the sketch) symbolized
by w. The independent coordinate x, extending from zero to L, locates
points along the edge of the area and, generally, the intensity (at any
point represented by the height of the diagram) may be expressed math-
ematically as a function of the coordinate x. For any distribution of paral-
lel forces, all having the same sense, the resultant magnitude equals the
average intensity multiplied by the area covered by the distribution. For
the uniformly distributed loading on the left in the figure, the intensity,
which is the same everywhere, is clearly the average intensity. For the
linearly increasing, triangular distribution, the average intensity is one-
half of the sum of the minimum (zero) and maximum intensities. Note
that the resultant force may be computed as the area, within the bound-
ary of the distribution seen in the figure, multiplied by the width w of
the rectangular area covered by the distributed force system. In a dimen-
sional analysis, force/(length2) multiplied by length gives force/length
for the "area" of the sketched diagram, and this multiplied by another
h p
(L,h0) (L,p0)
— — — — ——1
\
\\ Lw
P = h0Lw
\\
.1 4
L
\\
L
L
3
- J
FIGURE 2-20. The resultants of uniform and linearly-varying, parallel, distributed forces.
53
Introduction to Analysis of Orthodontic Force
length (perpendicular to the plane of the sketch) yields force. Also note
the locations of the resultant forces; their lines of action pierce the cen-
ters of the rectangular and triangular "areas" shown in the figure.
Again, this development is restricted to distributions over rectangular
areas where the intensifies vary only in one direction along one edge of
an area. Do not confuse the two areas that have been mentioned: the
rectangular contact area over which the force is distributed and the area
within the distribution-of-force sketch.
Friction
Two materials touching one another share a contact area. The resistance
to movement tangent to this area, of one material relative to the other, is
known as friction. Friction may be generated between dry solid surfaces;
the resistance to displacement may be lessened if a lubricant is placed
between the contacting surfaces. Friction may exist between two solid
surfaces, at a solid-fluid interface, or between fluid layers. Friction be-
tween solids is termed rolling or sliding, depending upon the form of
relative movement attempted; rolling resistance is highly dependent on
the amount of localized deformation where contact occurs. The resist-
ance that precludes actual motion is termed static friction; that which
exists during motion is called dynamic friction. Both the static and dynam-
ics forms of sliding friction are of orthodontic interest. Sliding friction is
generated between arch wire and bracket when the wire "guides" the
bracket during mesiodistal movement of an individual tooth or when
the arch wire is slipped through posterior crown attachments in, for
example, the retraction of an anterior dental segment.
A classical model of frictional analysis is depicted in Figure 2-21.
Before the active force P is applied, to produce intended horizontal
movement to the left, the fixed surface on which the block rests re-
sponds only to the weight of the block with an upward force, perpendic-
ular to the plane contact area. This force, often symbolized by N (repre-
senting "normal") is actually the resultant of a distributed force system
against the bottom, rectangular face of the block and, if the block is
homogeneous, initially the distribution is uniform over the contact area.
With the application of the force P at a relatively low magnitude, the
responsive distribution of the force against the bottom surface of the
block becomes nonuniform and the magnitude, direction, and point of
application of the resultant of the distribution are altered. With P suffi-
ciently small, however, the block remains stationary and the changes in
characteristics of the responsive force from the horizontal surface take
place because the contacting surfaces are not perfectly smooth. (If abso-
lutely no friction existed, the application of P, however small in magni-
tude, would result in motion with no change from the static (P = 0)
configuration in the responsive surface force.) With the application of
the force the now-inclined, responsive, resultant force R may be de-
54
Bioengineering Analysis of Orthodontic Mechanics
Wi
f
p ,-p 777'?
FIGURE 2-21. Active and responsive forces exerted on a block supported by a rough
horizontal surface.
Frictional
Component
(Pent, fmax)
Static Dynamic
Activating Force P
FIGURE 2-22. Relationship between the magnitudes of active and frictional forces, P
and f, for the block and surface of Figure 2-2 1.
only one contact area exists in the foregoing example (Fig. 2-21), the
orthodontic problem is three-dimensional in that the wire may contact
the bracket slot and the accompanying ligation at as many as four loca-
tions simultaneously. The direction of the frictional force is bounded by
the angulations of wire and bracket slot; the sense opposes the relative
motion and depends upon whether force is exerted on the bracket or the
wire (action-reaction). If the bracket is to move distally on the wire, the
frictional force against the bracket is generally toward the mesial (and its
action-reaction counterpart against the wire is directed distally). If the
wire is to slide toward the posterior through a stationary bracket, the
frictional force from the wire and against the bracket acts toward the
distal (since the force of friction against the wire is directed mesially,
opposing the intended motion).
Oscillation between static and dynamic forms of friction occurs be-
tween the wire and slot in an activated retraction appliance as the rela-
tive movement takes place in small "steps." As viewed buccally, one or
more of four separate forms of contact between bracket and arch wire
may be observed during canine retraction. These four forms of contact
are shown in Figure 2-23 and a pair of components, normal and fric-
tional forces, would generally exist at each individual contact area. Influ-
encing the normal component of contact force, and therefore the level of
friction, are the angulation between arch wire and bracket and the tight-
ness of the ligation. The wire material and that of the ligature, for a
given bracket, also influence the frictional resistance. Beyond the classi-
cal model, the difference in contact areas that exists with round versus
rectangular wire likely affects the magnitude of frictional resistance. For
a more complete discussion of friction between bracket and wire, refer to
Frank and Nikolai (1980).
56
Bioengineering Analysis of Orthodontic Mechanics
f4
FIGURE 2-23. Bucca! views of possible contact modes between bracket and orthodontic
arch wire.
and the body undergoes accelerated motion and has been given some
inertia.
An important notion in this discussion is that of the "entire force
system": all of the external forces and couples, both active and responsive,
exerted on the body under study. The definition of mechanical equilib-
rium may be extended to apply to groups of bodies or assemblies. Inter-
nal forces, by definition being within the body or assembly, exist in
cancelling pairs and, therefore, collectively contribute nothing to a re-
sultant computation. Internal forces, however, may become external, for
example, when an assembly is disassembled for purposes of analysis
and one body or member is studied individually. Pairs of forces associ-
ated with the connection(s) of this body to others in the assembly are
internal to the assembly, but one of each pair of forces is external to the
one member.
Under the influence of an activated orthodontic appliance, the denti-
lion should not be static. Over a finite period of time the teeth are to be
moyed and, correspondingly, within the appliance itself, relative move-
ments and changes in as-activated shapes may occur. The concept of the
resultant of a system of forces has been discussed toward establishing a
procedure by which forms of displacement caused by active forces might
be predicted. Also created with the activation of the appliance, however,
are responsive force systems in need of description: the force system
transmitted through the tooth and exerted by the root on the periodon-
tal ligament, and that delivered by the appliance to the "anchorage," for
example.
Force analyses of the entire tooth, segment, and the appliance and its
elements or parts are to be carried out, but exact results need not be
obtained. Note, then, that although appliance activation generally re-
sults in the creation of some translational and rotational inertia, in the
dentition as well as in the appliance, these levels of inertia are not siza-
ble. Both parametric parts of the inertia, the mass and the time rate of
change of velocity (the acceleration), are small. Although the entire com-
plex is more dynamic immediately following activation, during the short
lime period of soft-tissue deformations, than during the much longer
period of tissue remodeling, tooth displacement, and appliance deacti-
vation, the contributions of inertia to the analysis may reasonably be
neglected, even in comparison to the smallest of active forces. The pair
of governing vector equations of the orthodontic dynamics problem
may, then, be written as
With the inertia terms deleted, the relationships are those associated
with the definition of mechanical equilibrium. The equations are neces-
sary and sufficient conditions for a mechanically static system. Thus, at
58
Bioengineering Analysis of Orthodontic Mechanics
any instant following activation, the dentition and appliance are said to
exist in a quasi-static state and the equations of mechanical equilibrium
may be employed to obtain a close approximation to the relative magni-
tudes of the components of the active and responsive force systems.
The rationale for the consideration of the mechanical equilibrium
problem and its analysis is, therefore, established. The general problem
may be stated as follows: Given a body or group of interconnected bod-
ies subjected to a system of external forces and couples, such that the
state produced by the system is mechanically static, determine the rela-
tionships that must hold among the characteristics of the external force
system. Often the problem is one in which several of the characteristics
of the force system are quantified and those characteristics that are not
given explicitly are to be obtained.
Nearly indispensable in proceeding toward the solution of all but the
simplest of problems is the use of the free-body diagram, and several of
these diagrams may be needed to solve one problem. In the solution
procedure, a body or assembly of bodies is earmarked for study and, as
the name suggests, is "freed" from its surroundings (its supporting
structure and all of its connections to other bodies); this is depicted in an
isolated sketch. All of the external forces and couples exerted, both ac-
tive and responsive, are shown in the sketch. As has been the conven-
tion in previous force diagrams, forces and couples exerted on (not by)
the body are displayed. Not only the completed known portions of the
force system, but also those forces and couples with unknown character-
istics, must be properly depicted. Moreover, to aid in moment computa-
tions, distances and dimensions must be included. Omitting existing
parts of the force system, including nonexistent forces or couples, and
incorrectly identifying support structures of force-transmission mecha-
nisms (connections) are typical mistakes made in these problems. Once
the free-body diagram has been correctly completed, however, the inter-
relationships among the known and unknown force-system characteris-
tics may be expressed in a rather straightforward manner. For each free-
body diagram drawn, a set of scalar equations may be written, obtained
from the pair of governing vector relationships written previously. In
words, these equations say:
All of the forces exerted on the body or group of bodies, pictured and
under study, must balance, and the moments of all of the forces and cou-
pies, with respect to any chosen moment center or axis, must also balance.
(This is an alternative way of stating that both the force and couple
portions of the resultant of the entire force system must have zero mag-
nitudes.) The number of independent, scalar, algebraic relationships
that may be written from each free-body diagram will depend upon the
type of force system and whether the problem is one-, two-, or three-
dimensional.
In the quasi-static orthodontic problem, because body forces are
nearly always negligible in comparison with contact forces, understand-
59
Introduction to Analysis of Orthodontic Force
n
-__,,_,, ,
61
Introduction to Analysis of Orthodontic Force
TABLE 2-1. Connections between members and supports and associated force systems
:::e surface
N2
this tendency. (Two
component magnitudes
are unknown.)
t N2
Fixed support of Action of bar against Force system exerted Couple represents ra-
bar in plane support by support on bar sistance to rotation in-
setting herent in support
(Action and reaction
interchanged compared
J
3
C4
H4
I / to toregoing examples.
(Three component
magnitudes are unknown.)
Frictronless sup-
port of shaft in
1 No resistance to longi-
C) tudinat shaft displace-
ment assumed. (Four
component magnifudea
are unknown)
ance, represented by the couple. In the plane problem only one un-
known, its magnitude, is associated with such a couple; the sense of the
couple (clockwise or counterclockwise) is obtained through a sign con-
vention in the manner of that of an unknown force component.
A number of three-dimensional connections are relatively common
within structures and machines, encompassing from one to six potential
unknowns, but just two of interest are displayed in Table 2-1. For the
bearing-shaft connection, negligible resistance to shaft translation
through and rotation within the bearing is assumed. This leaves a force
vector and a couple vector, both perpendicular to the shaft axis, gener-
ally transmitted through the connection. Expressing each vector in com-
62
Bioengineering Analysis of Orthodontic Mechanics
'4,
//
0
0
B
B B
A A A
'P
P
I I
I, t
FIGURE 2-25. Preparation of a free-body diagram for a static elastic stretched between
two fixed points.
63
Introduction to Analysis of Orthodontic Force
must also be zero, and thus the line of action of Q must also pass
through point A. The direction of Q is then determined as shown in the
second diagram of Figure 2-25. Now, making a similar argument using
point B as the moment center, the direction of the line of action of I? is
determined; the two forces, accordingly, must share a common line of
action as shown in the third sketch. Finally, because the entire system of
forces must balance in any static situation, the forces P and Q must be
equal in magnitude and opposite in sense. Their common line of action
is determined by the positions of the two connection points, which both
lie on the line. Hence, for any fwo-force member in equilibrium, the two
forces must be equal in magnitude, opposite in sense, and share one line
of action. Generally, the forces may be either pulling away from or push-
.ing toward one another, but an elastic has no resistance to pushing
forces and, therefore, when activated it must be "in tension."
Now, with the background of Table 2-1 and the force analysis of a
stretched elastic, a number of connections associated with orthodontic
mechanics are analyzed in Table 2-2. Although all are shown in a two-
dimensional format, with several a third dimension may be necessary to
represent the connection force system completely. In the first entry just
one potential unknown is present, the magnitude of P1. provided the
orientation (angulation) of the stretched elastic has been or can be meas-
ured. Because the bracket in the second example has finite mesiodistal
width, the couple, due to angulation of the wire within the bracket, as
well as the force may be generated. This is somewhat analogous to the
fixed support in two dimensions shown in Table 2-1. Friction, not in-
cluded in this sketch but potentially present, would add a third scalar
quantity. Examining this connection in an occlusal-plane view, assum-
ing the presence of ligation, another force-couple pair must be present,
and with friction neglected and round wire engaged, this connection is
analogous to that of the bearing-and-shaft connection of Table 2-1.
The third entry in Table 2-2 assumes that the rectangular wire will
not rotate within the bracket slot; the couple shown is torsional in na-
ture. Also generally present is an accompanying force transverse to the
wire, and a total of three potential scalar unknowns in this connection
not including friction. The fourth entry presents a somewhat simplified
representation with friction included; analogous to the second entry in
Table 2-1, this is just one of the possible configurations, in a view from
the buccal perspective, already displayed. (See Fig. 2-23.) The fifth entry
in Table 2-2 shows the resistance to rotation and translation provided by
a buccal tube. The component H5 may arise from a step bend in the
engaged arch wire, a stop, and/or from friction. (If the arch wire was tied
back, H5 would have the opposite sense.) Two additional components, a
buccolingual force and another antirotation couple, would be seen in an
occlusal view, reflecting a total of five potential unknowns associated
with this connection. Finally, the connection of a J-hook to an arch wire
has little; if any, inherent resistance to rotation. This is the three-dimen-
sional extension of the pin connection with three associated potential
unknown force components, two of them existing in the buccal-plane
64
Bioengineering Analysis of Orthodontic Mechanics
TABLE 2-2. Orthodontic appliance interconnections and contact force systems exerted
on the appliance members
V2
H3
v5 H5
view. Note that the most general and complex connection, analogous to
the final entry in Table 2-1, can be generated between the ligated bracket
and a rectangular arch wire: all three force components (the mésiodistal
component from a stop or friction) and all three couple components may
exist for a total of six potential scalar unknown quantities.
The two vector equations governing the equilibrium problem, which
indicated that both the force and couple portions of the resultant of the
entire force system must be zero, suggest that a maximum of six scalar
relationships may be written among the characteristics of the force sys-
tem properly displayed in the free-body diagram. Although the majority
of the quasi-static problems to be examined are three-dimensional,
65
Introduction to Analysis of Orthodontic Force
Bg
EL = 200 g
F8 + 2182 278 g
the third force is known, but its magnitude and direction are not. There-
fore, two unknown scalar quantities are unknown and are pictured as
mesially- and gingivally-directed components in the facial view. In the
problem which is two-dimensional with the forces concurrent, only two
independent scalar relationships may be written: the algebraic sum of
force components in two mutually perpendicular directions in the plane
must be zero to ensure a force balance. The solutions for the compo-
nents of the bracket force and, subsequently, the resultant of those com-
ponents are carried out in the figure. The solution yielding algebraically
positive results indicates correct initial assumptions of the senses of the
components. No moment-balance equation is written. (Clearly, a mo-
ment equation using the bracket center as the moment center is identi-
cally satisfied since the moment arms of all three forces are zero; hence,
no useful information is obtained from the moment-balance relation-
ship. Another moment center might be chosen, and a moment balance
written with respect to it, but the equation obtained would only be use-
ful in replacing one of the two scalar force relationships.) The force just
obtained is noted to be identical in all characteristics, except sense, to the
resultant of the elastic and headgear forces found in Figure 2-3; in all
equilibrium problems involving a concurrent force system, the resultant
of the given forces must be balanced by the force(s) that involve the
unknowns.
The lever is a second example that has applicability to orthodontic
appliance analysis. Figure 2-27 shows a straight member that could rep-
resent an arch-wire segment balanced on a "fulcrum" by the forces P1
and P2 at the ends of the member. The fulcrum force and the relation-
ship between the forces P1 and P2 to ensure equilibrium are sought. It is
Pl P1
C C
L1 L1 . —
P0
= P0 — Pi — P2 = 0
P0 = +
McP2L2)+P1L1)0 -
P2L2 = P1L1
assumed that the applied forces exist in a common plane and are both
perpendicular to the long dimension of the member. Hence, the prob-
lem is two-dimensional and the free-body diagram reflects a parallel
force system because neither of the applied forces has a component in
the direction of the long dimension of the member. The responsive (ful-
crum) force likewise can have no long-dimension component and reflect
a balanced system. The magnitude of the fulcrum force is obtained by
balancing the forces, algebraically summing the forces in the one direc-
tion of all three lines of action. The relationship between P1 and P2 is
obtained through a moment balance using any convenient moment cen-
ter; in this example, point C, which is immediately above the fulcrum, is
chosen.
In general, for a two-dimensional parallel force system, two inde-
pendent scalar equations of equilibrium may be written. One force and
one moment equation were used to analyze the lever example. The gen-
eral vector moment-balance equation previously described indicates that
the center of mass of the body or assembly under study is to be used as
the moment center. With the inertia effects absent or disregarded, how-
ever, it may be demonstrated that a force balance and a moment balance
about the mass center demand that moments balance with respect to
any selected moment center. It follows that the two scalar equilibrium
equations for the problem of Figure 2-27 could have been two moment
equations, and those equations would be independent of one another so
long as the line through the two moment centers is not parallel to the
direction common to the three forces. Figure 2-28 shows a straight
"beam" subjected to a transverse concentrated "load" of 300 g. The
problem of determining the responses at the supports is an inversion of
that of Figure 2-27; sketching the free-body diagram and using the equa-
300 g
I—
Pt' II
6mm P4
FIGURE 2-28. A structural member supported at its ends and subjected to a transverse,
concentrated load. The correct free-body diagram shows a parallel force system in one
plane.
68
Bioengineering Analysis of Orthodontic Mechanics
lions of Figure 2-27 with P0 = 300 g, the magnitudes of the left and right
support may be shown to equal 100 g and 200 g, respectively.
In the final example of this section, a cantilevered straight member is
subjected to a loading consisting of forces at its right end, parallel and
perpendicular to its long dimension, and a couple, all in a common
plane. The left end of the member is engaged in a fixed support, and the
components of the support force system are sought. The free-body dia-
gram of the member includes the support resistances to any movement
of its left end in the plane of the sketch. This is a general two-dimen-
sional equilibrium problem and a total of three independent scalar equa-
tions may be written to relate characteristics of the total force system. An
analysis is undertaken in Figure 2-29. A choice of sets of equations is
available: two force and one moment equations, one force and two
80g
I
I
I
I A lB 100 g
I
2100 g-mm
35mm
80 g
CA
B
lOOg
A
2100 g-mm
= — 100 = 0
= 100 g
bOg
M8 — + 2100 + CA =0
CA = 2100 —2800 = —700 g-mm
700 g-mm
FIGURE 2-29. A cantilevered structural member loaded at its "free" end. A two-
dimensional system of active and responsive forces and couples.
69
Introduction to Analysis of Orthodontic Force
moment equations (but the line connecting the two moment centers may
not be perpendicular to the direction of the force-component balance),
or three moment equations (but the three moment centers may not lie on
one straight line).
The free-body diagram in Figure 2-29 contains three unknown force-
system characteristics: the magnitudes of the two force components and
that of the couple. The reference frame adjacent to the free-body dia-
gram defines the chosen directions and assumed positive senses for the
force-balance relationships written below the sketches. Note that the
assumed senses associated with the unknown magnitudes need not co-
incide with the sign conventions for the equations. In the solution, note
that a negative result was obtained for the support couple; this indicates
that the assumed sense designated in the free-body diagram was incor-
rect. Also, recalling that the moment of a couple is inherent, note that its
contribution to a moment balance in a two-dimensional analysis is the
same, regardless of the moment-center location. The couple portion of
the load on the member was included in the moment-balance relation-
ship written, even though the moment center chosen at the right end of
the member eliminated contributions from the other applied forces (be-
cause their moment arms with respect to point B are zef o) and the cou-
ple and moment center appear to be coincident. A partial check of the
solution obtained in the figure may be pursued by writing a moment-
balance equation using point A at the left end of the member as the
moment center.
Synopsis
Reference
Frank, C.A., and Nikolai, R.J.: A comparative study of frictional resistances be-
tween orthodontic bracket and arch wire. Am. J. Orthod., 78:593-609, 1980.
Suggested Readings
Beer, F,P., and Johnston, E.R., Jr.: Vector Mechanics for Engineers. 3rd Ed. New
York, McGraw-Hill, 1977, Chapters 1 to 4, 6, and 8.
Jarabak, J.R., and Fizzell, J.A.: Technique and Treatment with Light-wire Edge-
wise Appliances. 2nd Ed. St. Louis, C.V. Mosby, 1972, Chapter 1.
McLean, W.G., and Nelson, E.W.: Engineering Mechanics: Statics and Dynam-
ics. New York, Schaum Publishing, 1962, Chapters 2, 3, 5, and 8.
Mulligan, T.F.: Common Sense Mechanics. Phoenix, CSM, 1982, Chapters 2
and 3.
Smith, R.J., and Burstone, C.J.: Mechanics of tooth movement. Am. J. Orthod.,
85:294—307, 1984.
Thurow, R.C.: Atlas of Orthodontic Principles. St. Louis, C.V. Mosby, 1970,
Chapter 4.
Thurow, R.C.: Edgewise Orthodontics. 4th Ed. St. Louis, CV. Mosby, 1982,
Chapter 2.
Material Behavior of
the Orthodontic
Appliance
physical properties, which are descriptive of its size, shape, and appear-
ance. Material properties are further subdivided into characteristics that
are independent of external influences, simply termed "material" prop-
erties, and those that are associated in some way with the conditions of
use or the use environment: mechanical, chemical, thermal, and mag-
netic, for example. Consider, for instance, the decision of selecting a
spring to produce a particular orthodontic displacement. Properties that
enter into this design decision include the cross-sectional wire size, the
coil diameter, and the overall passive length of the spring (physical char-
acteristics), the stiffness and strength of the wire material (mechanical)
and the spring itself (structural), the resistance of the material to corro-
sion (chemical), and the effects of a somewhat elevated and varying
temperature (thermal).
The materials of the members of the orthodontic appliance are the
focus of this chapter. Behavior of ancillary materials, such as plasters,
will not be discussed here. The responses of biologic materials during
orthodontic treatment will not be overlooked, but are relegated to a sub-
sequent chapter. Physical, mechanical, chemical, and thermal are the prop-
erty categories of primary interest to the orthodontist; optical, electrical,
and magnetic properties, although not to be generally disregarded, are
of little importance within the scope of this text and will not be discussed
in this chapter.
Properties may be interdependent and, as previously mentioned, are
often influenced by conditions of use of the material and in-service envi-
ronment. The characteristics of a stationary body, directly associated
with its response to applied or induced forces, which include both mate-
rial and physical contributions, are known as structural properties. The
response to activation of an orthodontic wire loop will depend upon
the wire material, the wire cross-section, the loop geometry, and the
amounts and directions of the bends made in forming the loop. The
behavior of an elastic module used intraorally will differ in some re-
spects from the results of an evaluation of its mechanical characteristics
on the bench in the laboratory under ordinary conditions of temperature
and humidity or its response as part of an extraoral appliance.
Material-property values are generally obtained in controlled experi-
mentation. In-service conditions, as necessary, are created in the labora-
tory and the required measurements are taken. When widespread use of
the results is expected, and to ensure reliability of comparisons, testing
procedures must be standardized. Much of the standardization in the
United States in testing, particularly in the determination of mechanical
properties, has been and is established by the American Society for Test-
ing Materials. Property quantification and certification of testing proce-
dures in the dental fields is carried out under the auspices of the Ameri-
can Dental Association.
In the sections to follow, the nature and structure of solid materials
are surveyed and the interaction between load and deformation is exam-
ined and pertinent structural characteristics are described. The concepts
of stress and strain are introduced, mechanical and structural properties
73
Material Behavior of the Orthodontic Appliance
Interatomic
Force
\
Force of attraction
N
ed
/
Atomic Spacing
Net
/
/ Force of repulsion
I
FIGURE 3-1. Plots of interatomic force versus distance between atoms.
A H H H H H H H
I I I I I I I I
C C C—C————C———-—C
I I I I I I I I
H H H H H H H H
me
Monomer Polymer
H: Hydrogen
C: Carbon
FIGURE 3-2. The ethylene monomer and a portion of the long-chain molecule resulting
from addition polymerization.
77
Material B.ehavior of the Orthodontic Appliance
I
Ii
molecular structure, are termed amorphous. Gases and liquids are amor-
phous ("without form") as are a number of oxides including glasses.
Although such materials are not generally of specific interest to the or-
thodontist, some aggregates of crystalline or molecular and amorphous
materials may be. Plastics are often reinforced with various "fillers." The
divisions between crystals (grain boundaries) contain amorphous mat-
ter. Polycrystalline materials are, by definition, aggregates of small crys-
tals. Those polymers having highly disordered molecular structures
might be categorized as aggregate materials.
The internal, submicroscopic structures of many materials are highly
ordered, but imperfections exist. Although often cumulatively occupying
a small portion or volume of the material, certain imperfections, particu-
larly in crystalline solids, cannot be ignored owing to their substantial
impact upon properties. Within the crystals themselves atoms may be
missing from individual cells, foreign atoms may have replaced some of
those of the pure material, atoms may have become displaced to "in-be-
tween" (interstitial) locations within the cells, or foreign atoms may
have entered the structure and assumed interstitial positions. An extra
line or plane of atoms, termed a "dislocation," may be present within
the crystal. Imperfections inherently exist at external surfaces where the
exposure of surface atoms makes them more vulnerable to reactions
with matter within the adjacent environment. Within crystalline materi-
als at internal or grain boundaries, amorphous matter up to ten or more
atomic distances in thickness is present which generally possesses at
least some relevant property values inferior to those of the individual
crystals.
Certain imperfections are created to enhance property values. For
example, brass is a solid solution of copper and zinc, termed "substitu-
tional" because zinc atoms are substituted for some copper atoms in the
crystal structure to produce the alloy. Steel formation involves elevating
the temperature of iron to a level such that the relatively small carbon
atoms can fit into the middle of the face-centered-cubic cell structure of
the iron. As indicated previously, some material properties are highly
sensitive to imperfections. Although the weight fraction of carbon in
steel is often less than 5%, the presence of the carbon greatly improves
its strength properties over those of pure iron. On the other hand, den-
78
Bloengineering Analysis of Orthodontic Mechanics
11
Passive Extensional Compressive
configuration deformation deformation
Passive Shearing
configuration deformation
I I
- Passive bar
FIGURE 3-6. An illustration of bending detormation, together with two measures of this
form of deformation.
Because all fibers are attached to one another in a solid member, bend-
ing results in the stretching of some fibers and the compressing of oth-
ers. In Figure 3-6, if external forces hold the member in the deformed
configuration the lower fibers are maintained in compression and the
upper fibers in tension. Two external measures of bending deformation
are defined; as shown in the figure, a transverse deflection 6 denotes the
displacement of a cross-section of the member perpendicular to the lon-
gitudinal dimension and an angular coordinate U indicates the rotation of
a cross-section.
The final type of deformation to be introduced is twisting. Figure 3-7
illustrates that the external measure of a twisting deformation is an angu-
lar coordinate 4) which denotes the change in orientation of a transverse
reference line in the cross-section. In a twisted member, because the
amounts of rotation generally vary from one cross-section to another,
and since cross-sections are interconnected, the characteristic internal
deformation is a shearing deformation. (Shearing action often also exists
within a member subjected to bending activation, but the accompanying
deformation is negligible except, possibly, when the longitudinal di-
mension of the member is small.)
Beginning with a structural member in a passive but supported con-
figuration, the application of external force produces an associated de-
formation. To maintain the deformed configuration induced by the force
system, the force system itself must be maintained and the member is
said to be constrained. Releasing the load results in a second configura-
tion change, and the member again becomes passive. By definition, the
application of force causes an elastic deformation of the member if the
passive configurations, before loading and following unloading, are
geometrically identical. If, upon unloading, the member does not return
to its initial, passive configuration, the loading produces inelastic
behavior.
82
Bioengineeririg Analysis of Orthodontic Mechanics
Passive bar
Fixed
end
Twist
deformation
Bar deformed
in torsion
Applied
force
-----
P
Deflection ô
Applied
Force
P
2
/
S: Stiffness
p1: Proportional limit
el: Elastic limit
0 Deflection
FIGURE 3-9. A p'ot of applied force versus midspan deflection for the wire segment of
Figure 3-8.
84
Bloengineering Analysis of Orthodontic Mechanics
longer able to sustain the load). The overall shape of the curve is charac-
teristic of crystalline materials, regardless of the member geometry or
the type of deformation induced. The initial portion of the plot is linear
with the slope then decreasing as the loading (plotted as the ordinate on
the graph) becomes relatively substantial. The end point of the linear
portion of the plot is appropriately termed the proportional limit. The
coordinates of the final point of the curve denote the largest values of
deformation and force before failure.
The application of a relatively light force to the member of Figure 3-8
results in a small deflection; the two values are the coordinates of a point
on the curve of Figure 3-9, most likely below the proportional limit. If
the load is held constant and the temperature is not elevated substan-
tially, the deformation of the metallic member will generally remain un-
changed, virtually independent of time. Upon release of the load the
deformation will disappear and, in general, the original straight-line
shape will be regained, provided the elastic limit has not been exceeded.
The elastic limit is the extreme point on the force-deformation plot from
which unloading will occur with no permanent deformation resulting
from the load-unload cycle.
Points 1 and 2 in Figure 3-9 are below and above the elastic limit,
respectively. An unloading plot from point 1 traces the loading plot
between the origin and point 1. The dashed unloading curve from point
2 is notably linear and parallel to the linear portion of the loading plot;
the deformation coordinate of the point of intersection of this unloading
curve with the abscissa (deformation axis) denotes the permanent defor-
mation of the segment and a new passive configuration of the now bent
wire. Internally, the loading to point 1 stretches some interatomic bonds
and pushes other atoms toward one another, but no bonds are broken
and, as the load is released, the atoms return to their prior equilibrium
positions. Loading to point 2, however, severs some bonds and results
in movements of crystals relative to one another; new bonds are estab-
lished that are reflected upon unloading in a new, altered, passive con-
figuration. The elastic limit for a crystalline member is found experimen-
tally to be only slightly beyond the proportional limit and, to simplify
computations, the elastic limit is often "placed" at the end of the linear
portion of the plot, coincident with the proportional limit.
The elastic limit divides the structural character of the wire segment
and the load-deformation plot into regions of totally elastic behavior and
inelastic response. The slope of the linear part of the curve is the bending
stiffness at the "midspan" location of the arch-wire segment. In an ortho-
dontic activation, the loading of a wire is intended to be to a point not
beyond the proportional limit so that the totally deactivated configura-
tion is known: generally identical to the preload, passive geometry.
Hence, in an elastic activation, the stiffness when quantified enables the
determination of (1) the magnitude of the load corresponding to the
activating deformation—the load is the product of stiffness and - the
amount of activation—and (2) the reduction in the as-activated level of
85
Material Behavior of the Orthodontic Appliance
Stretching
force
Passive Activated
Stretching
Force
/ /
/ /
/
0 Extensional Deformation e
FIGURE 3-11. The force-deformation diagram for the module of Figure 3-10.
Mechanical Stress
In general, the intensity of internal force can vary in all directions within
a member. (In structural analyses, although the internal force system
arising from external loading is superimposed on the bonding force sys-
tem and, likely, also a residual internal-force distribution remaining
from manufacturing or preactivation fabrication processes, the analyses
often ignore all but the first on the basis of magnitude comparisons.)
As a first example in this section, consider the activated elastomeric
module of Figure 3-10. Held in this constrained state, although
stretched, the module is in mechanical equilibrium with its supports.
The internal force system can be exposed in part by making an imagi-
nary cut through the module and arguing that the resulting two parts
are each in equilibrium as is the whole of the module. The specific loca-
tion of the "cut" along the module length is arbitrary in this example
and is simply made perpendicular to the longitudinal direction. The two
portions of the module are shown in Figure 3-12 together with the acti-
vating and responsive forces on the entire module. The external forces at
the module ends are equal and opposite from a force balance; the ex-
posed internal forces are equal and opposite because they are action-re-
action counterparts. Assumed is a one-material, homogeneous module
and, with the line of action of the external forces coinciding with the
longitudinal axis of geometric symmetry, the distribution of internal
force, arising from the loading, is essentially uniform over the cross-sec-
tion as illustrated. Also, with the resultant of the internal force system
equal and opposite to the external force (from a longitudinal force bal-
ance on either module portion), the internal distribution is wholly pul-
ling against the cross-section of the "cut." Finally, because the external
loading is only at the ends of the module, and with its weight negligible,
the pattern of internal forces on all cross-sections having identical orien-
tations is the same from one end of the module to the other, regardless
of the longitudinal location of the "cut." The average intensity of the
internal force in Fig. 3-12) is the resultant, internal-force magnitude
(F) divided by the cross-sectional area (As) exposed by the "cut." In the
determination of the initiation of inelastic material behavior or failure,
intensity of internal force is the critical parameter. In short, but some-
times oversimplified, the larger the cross-section of a structural member,
the greater is the load that it can carry.
Stress is defined as the intensity of internal force, per unit area, at a
point within a machine or structural member. It is a vector quantity,
obtained by dividing a vector (force) by a scalar (area). The dimensions
of stress are force divided by length-squared (FIL2). A "cut" exposes an
area internal to the member, and that area is divided into a number of
subareas with a portion of the internal-force resultant exerted on each
subarea. As the number of subareas increases, the size of each subarea
becomes smaller and the pattern of internal-force intensity (stress) be-
comes more detailed. In the module example, the stress everywhere is
normal to the area and is the same on every subarea of the exposed
cross-section, but this is a special situation; in general, the stress may be
oblique to the area and may vary over the whole of a cross-sectional area
89
Material Behavior of the Orthodontic Appliance
"cut"
F=
Cross- F
sectional A,,
area
FIGURE 3-12. Activation and response at the ends of an elastomeric module, Internal
force distribution over a cross-section of the module.
90
Bioengineering Analysis of Orthodontic Mechanics
Ss S5
Stress
S
Sn
Sn
Side view
FIGURE 3-13. A general stress vector decomposed into normal- and shear-stress
components.
FIGURE 3-14. Shear loading of a bonded bracket and shear-stress distribution within
the bonding adhesive.
Compressive
stresses
FIGURE 3-15. Typical stress patterns internal to a structural member subjected to in-
plane bending.
-II IV
Responsive
forceP -
4?
(3-1)
e,,
The test under discussion produces longitudinal tensile strain; if the load-
ing sense is reversed, the gauge length is lessened under pushing force
and longitudinal compressive strain is induced. Corresponding to the nor-
mal strains are normal stresses against cross-sectional areas exposed by
"cutting" the specimen perpendicular to its longitudinal axis. The uni-
formly distributed internal force system, as in the module example, has
an intensity that depends on the size of the exposed area. The engineer-
ing tensile stress equals the resultant, internal force divided by the pas-
sive, cross-sectional area. Note that by converting force to stress and
deformation to strain, the net effect is the dividing out of the volume of
material in the test section and, thereby, eliminating the influences of
specimen size from the test results. (As the test specimen elongates
under load, the cross-sectional area generally reduces; recall the Poisson
effect illustrated in Figure 3-4. Engineering stress and strain are obtaine&
by dividing out the undefonned, as-prepared area and length of the test
volume. True stress and strain are obtained by dividing the instantaneous,
deformed area and length into the corresponding internal force and elon-
gallon, respectively. All stresses and strains discussed in this chapter
and throughout the text are engineering stresses and strains.)
From the paired readings taken during the tension test, converting
force to stress and elongation or stretched length to strain, a tensile
stress-strain diagram is prepared (either by hand or plotted by the testing
machine). With modifications of coordinates of data only through divi-
sion by constants, the stress-strain diagram in tension for a specific ma-
95
Material Behavior of the Orthodontic Appliance
—'C
C,)
C,)
Mild, Stainless,
structural nickel-chrome
steel steel
E
x: tracture point
FIGURE 3-17. Stress-strain diagrams in tension, obtained from static testing, for mild,
structural steel (left) and for a stainless steel (right).
terial has the same shape as the tensile, load-versus-deformation plot for
a structural member of the same material. Shown in Figure 3-17 are
tensile stress-strain diagrams depicting the behavior of mild, structural
steel, which exhibits a yielding phenomenon, and a stainless steel,
which does not notably yield. Yielding is the straining of the material at
virtually a constant stress well below the level at which rupture occurs.
Illustrated in Figure 3-18 are diagrams for a ceramic material and two-
and three-part diagrams for typical polymeric materials. The mechanical
properties of interest are obtained from the stress-strain diagram for the
material and from measurements taken directly from the specimen, and
are analogous to corresponding structural properties, many of which
have been defined previously.
A crystalline material obeys Hooke's Law, which states that the stress-
strain ratio is constant up to the proportional limit; the constant in this
linear stress-strain relationship is the modulus of elasticity E (Young's
modulus) in tension, the elastic stiffness of the material and the slope of
the initial portion of the diagram. The ultimate strength of the material is
the value of the maximum ordinate of the curve; as indicated in Figure
3-17 this may or may not be the stress level at fracture (but if the high
point of the cprve is reached in loading, although data may be taken at
greater strains, the imminent fracture generally cannot be prevented).
The coordinates of the fracture/rupture point are ordinarily termed the
fracture strain and fracture stress or strength. The proportional and elastic
limits are close together on the curve; the coordinates of the elastic limit
are termed the elastic-limit strain and elastic strength of the material. Ac-
cordingly, the simple relationship a = Ec, which is the expression of
96
Bioengineering Analysis of Orthodontic Mechanics
Tensile
Stress
A ceramic
material
x: fracture
point
Polymeric materials
0 Tensile Strain
FIGURE 3-18. Static stress-strain diagrams in tension for ceramic and polymeric
materials.
Hooke's Law in direct tension, holds virtually up to the elastic limit. For
those crystalline materials that yield, the yield strength is the stress level
at which this phenomenon is exhibited; because yielding immediately
follows the initiation of inelastic action in tension, the values of elastic
strength and yield strength are, for practical purposes, equal.
In the discussion of mechanical properties, the word "modulus"
implies "per unit volume;" accordingly, the modulus of resilience of the
material is quantitatively the area under the stress-strain diagram up to
the elastic limit and the modulus of toughness is the total area under the
diagram to the point of fracture. A material is relatively ductile or brittle,
depending on the extent of the stress-strain diagram beyond the elastic
limit. Clearly, the ceramic material of Figure 3-18 reflects no ductility at
all; the plot being linear to fracture indicates the nonexistence of an
elastic limit and the inability of the material to take a permanent strain.
Typical measures of ductility are, analogous to the content of an earlier
discussion of structural characteristics, the fracture strain referenced to
the elastic-limit strain and the modulus of toughness relative to the mod-
ulus of resilience. A third measure is obtained by taking the two por-
tions of the fracture specimen from the testing machine, mating the
fractured surfaces, measuring the as-fractured gauge length, determin-
ing the corresponding strain value, and finally multiplying by 100 to
obtain the percent elongation at fracture. A fourth measure of ductility,
97
Material Behavior of the Orthodontic Appliance
similar to the third, is obtained from the pretest cross-sectional area and
the cross-sectional area of the fractured specimen at the fracture loca-
tion: the percent reduction in area.
Noncrystalline materials, such as the polymers of Figure 3-18, sel-
dom exhibit any useful level of ductility and often do not obey Hooke's
Law. As a result, there is little distinction between elastic strength and
ultimate strength. Although not exactly correct, the elastic limit may be
taken as the point where the slope of the stress-strain curve begins to
increase substantially toward rupture. The stiffness per unit volume is
not a constant in those ranges where the curve is nonlinear; hence, the
simple relation between stiffness modulus and the coordinates of the
elastic limit, (cr/e)ej = E for crystalline materials, is not valid for those
materials exhibiting a nonlinear first portion of their stress-strain dia-
grams. To determine the stress level, for a given activation in tension of
an elastic for example, it is best to directly measure the force and divide
that magnitude by the cross-sectional area.
Mechanical properties of materials are obtained from simple experi-
ments, tension tests for example, which generate the fundamental forms
of deformation cited previously. Because their values often depend
upon the form of deformation generated in the test, these properties
when quantified must be presented as "in tension," "in compression,"
or "in shear." In addition, the rate of loading during the test will influ-
ence mechanical-property values to some extent; for example, distinc-
tions are made between static and impact tests. Furthermore, environ-
mental conditions, particularly temperature in the test locality, may
affect values, as may specimen-storage time and conditions prior to test-
ing. Finally, the as-received internal material configuration will partially
determine the values of some mechanical properties, in particular for
a metallic material the coordinates of the elastic limit and, therefore,
its modulus of resilience. (The influence on properties of permanent
deformations and accompanying "residual stresses" is considered in
Chapter 4.)
Material behavior in static compression is similar to that exhibited in
a tension test, but some differences in test specimens and procedures,
and in obtained mechanical-property values, do exist. In an axial com-
pression test, with the sense of the loading reversed from that of the
tension test, the as-prepared specimen often has a uniform cross-sec-
tional geometry from one end to the other, and is short and thick to
ensure symmetric loading throughout the test and to avoid the possible
occurrence of lateral deflection or buckling. Load and deformation data
are taken, converted to compressive stress and strain, and the diagram
is constructed. For a crystalline material, the modulus of elasticity is
generally the same in tension and compression, although the extension
of the linear portion of the curve to a greater elastic-strength magnitude
in compression than in tension is not uncommon. Noncrystalline mate-
rials may exhibit a substantially altered stress-strain diagram in com-
pression compared to the tension plot. With molecular materials not
extensively cross-linked, the chain molecules that uncoil at low to mod-
98
Bioengineering Analysis of Orthodontic Mechanics
Shear
Stress
A crystalline
material
0 Shear Strain
FIGURE 3-19. Static stress-strain diagrams in shear for crystalline and polymeric
materials.
Load couple C
Load
Couple
Equivalent
yield point
/
/
/
Stiffness
/
/
/
/
0 Angular Deformation 0
FIGURE 3-21. Couple versus angular deformation; typical plot of flexure-test data
obtained according to ADA Specification No. 32.
load. Although not a factor at room or oral temperature with most met-
als, often it is with molecular materials, particularly certain polymers.
Subjecting a typical, orthodontic, elastic module, thread, or "chain" to a
moderate tensile load, and holding that load constant while monitoring
deformation, a continuing elongation will be observed over a period of
hours. The material is said to creep and, from data taken, a strain-versus-
time curve may be generated similar to the plot of Figure 3-22. If the
temperature or time period is sufficiently high or long, the straight-line
portion of the curve will give way to a nonlinear increase in strain fol-
lowed by rupture, even though the stress level may be substantially
below the ultimate strength of the material as gained from a static, ten-
sion test at room temperature. A material that creeps will also "relax."
Relaxation is the decrease with time of load carried under conditions of
constant strain; a relaxation plot is presented in Chapter 4.
102
Bioengineering Analysis of Orthodontic Mechanics
Modulus of Yield
elasticity strength Springback*
Material (x106 lb/in.2) (x103 lb/in.2) (x102 in/in.)
A gold alloy 15 150 0.94
Type 302
stainless steel 29 280 0.97
Elgiloy
(Cr-Co alloy) 28.5 315 1.1
Nitinol
(Ni-Ti alloy) 4.8 195. 4.1
Beta titanium
(Ti-Mo alloy) 9.5 170 1.8
*The recovered, unit upon unloading from the (equivalent) yield point: the yield-
strength-to-elastic-modulus ratio. Yield strength and springback values will vary with cold working or heat
treatment.
Strain
Stage 3
0 Time
Stress
Ultimate strength
Endurance limit
FIGURE 3-23. A typical plot of the results of tests to fracture of a metallic member
subjected to cyclic loading in bending.
lion, but rather the potential for interactions that may result in deleteri-
ous effects upon the mechanical or physical characteristics of
orthodontic materials. Some, and often all, of the members of the ortho-
dontic appliance must exist and "work" for substantial periods of time
in the oral cavity. Materials used in the mouth must be biologically ad-
missible and the potential for interference with acceptability, because of
chemical reactions that may occur over time, either before or during
intraoral engagement, must be realized and understood.
The oral-cavity environment is inherently corrosive. The oral fluids
are strong, potential reactants toward oxidation of metals. Saliva is
known to contain salts and acids are often liberated during mastication;
ingested food and drink vary widely in their levels of acidity or alkalinity
(pH). Food debris may become lodged and remain for relatively long
periods of time and provide the catalyst for initiation of corrosion; al-
though generally a dental-care matter, the tendency for this occurrence
is increased by the presence of appliances. Both metallic materials (e.g.,
restorations, wires, bands) and molecular solids (e.g., "elastics," ce-
ments, adhesives, acrylics) may be increasingly vulnerable to chemical
degradation in the moist oral environment. The effects of chemistry and
temperature upon the materials themselves, as well as the products of
chemical reactions, must be of concern.
The extraoral environment may also influence the structural capabili-
ties of orthodontic appliance materials. The time period between manu-
facture and actual use can be substantial. Storage may occur with the
manufacturer, with the vendor, and with the practitioner. Molecular
materials, in particular, often have a finite "shelf-life," which may be
reduced by high temperature and humidity. Parts of extraoral appli-
ances come into contact with skin and hair, and the oils as well as per-
spiration, often together with particles suspended in the air, can and do
have a degrading effect.
Corrosion is defined as a deterioration because of a chemical reaction
that results in apparent disappearance of the material attacked. Corro-
sion may occur by a chemical solution contacting the material; ionization
ensues and the material is dissolved in the fluid. For example, silver will
be corroded by a solution containing sulfides with silver sulfide formed
in the solvent. A more common form of corrosion is known as electro-
chemical oxidation. Characteristic of metallic materials, the process begins
with a reaction initiated by a fluid that removes electrons, thereby form-
ing positive material ions. In turn, chemical combination of these ions
with electrically negative ions in the fluid may take place. Rusting starts
with the stripping of three electrons from the iron element, forming the
ferric ion. The degree to which electrons are bound to the atoms in
metals varies, and so also does their tendency to form compounds in the
presence of nonmetals having incomplete outer electron shells. Gold
and platinum are relatively inactive and, in mining, are often found in
the pure form; iron and aluminum, for example, as active metals, are
continually oxidized and must be purified (reduced) chemically before
metallurgical processing.
105
Material Behavior of the Orthodontic Appliance
Potentiometer
H2
TM ±
1-1k
TM
Electrolyte
repeated, changing only the test metal. With all potential-difference val-
ues recorded, a ranking such as that given in Table 3-2 is obtained with
hydrogen as the reference ion.
Consider a cell such as that shown in Figure 3-25 with iron as the
electrode on the left and water as the solution. From Table 3-2, iron has a
higher electrode potential than tin and, upon ionizing, electrons re-
moved from the iron flow through the connector to the hydrogen elec-
trode. The hydrogen gas is also ionized and water molecules are decom-
posed into hydrogen and hydroxyl (OH) ions. The electrons coming
from the iron unite with hydrogen ions and hydrogen gas is liberated.
The ranking to follow is in the order of most anodic, at the top of the list, to most
cathodic at the bottom of the list.
Magnesium
Aluminum, active
Titanium
Cesium
Vanadium
Zinc
Aluminum, passivated
Chromium
Iron
Stainless steel, active
Cadmium
Cobalt
Nickel, active
Lead-tin solder
Tin
Lead
nconel*, active
HYDROGEN
Brass
Copper
Bronze
Monelt
Nickel, passivated
lnconel*, passivated
Stainless steel, passivated
Silver
Palladium
Mercury
Platinum
Gold
Electron flow
The ferric ions react with the water and oxygen therein to form ferric
hydroxide: rust. The rusting of iron will occur in such a galvanic cell, in
fact, whenever the iron is connected externally to an electrode having a
lower potential (occupying a lower position in Table 3-2) and the elec-
trodes are immersed in a solution (the electrolyte) wherein hydroxyl
ions become available with ionization. In general, the electrode supply-
ing the electrons is called the anode and the receiver of electrons is the
cathode. The anode experiences this galvanic corrosion and the location of
the corrosion products will depend upon the relative ease with which
the ions, forming those products, are able to diffuse through the electro-
lyte. In a galvanic cell containing iron and a less active metal, because
ferric ions are smaller than hydroxyl ions and because the product re-
quires three OH ions for every ferric ion, rust will usually be found at or
near the cathode.
The formation of a galvanic cell with the physical contact of an ortho-
dontic-appliance member and an amalgam restoration, in the presence
of saliva as the electrolyte, results in momentary ionization and electron
flow and the dental "galvanic shock." This is an example of a composition
cell established between two dissimilar metals. A tin roof, placed on a
108
Bloengineering Analysis of Orthodontic Mechanics
trabiity of the scale film by either the gas or the metal ions. An example
of dry oxidation is the passivation of stainless steel; the chromium oxide
film is very thin and highly impenetrable.
Dry corrosion of molecular materials also occurs; of particular inter-
est is the aging of elastomers. In this oxidation reaction the initial result is
an increase in cross-linking (secondary bonding), which causes harden-
ing, stiffening, and embrittlement. Heat, light, stress, and ozone con-
centration influence aging, which takes place because of the existence of
free-end molecular chains. Antioxidants may be incorporated during
polymerization to combine in a monofunctional manner with the chain
ends to provide some resistance to aging. The practitioner must be
aware of aging and its effects, particularly with regard to the time period
and location of storage of polymeric, orthodontic-appliance elements. In
a moist environment polymeric materials experience a combination of
solution and aging corrosion. "Elastics" that have been stored may con-
tain aging cracks that are catalysts for further and accelerated degrada-
tion following activation; intraoral placement of these elements tends to
quicken deterioration compared to extraoral application.
Another type of degradation occurring in the orthodontic setting in-
volves extraoral appliances, in particular the neck pads, head caps, and
other nonmetallic elements that come into contact with the skin and
hair. A form of wet corrosion occurs as skin and hair oils, and perspira-
tion attack these molecular materials over time. Although causing some
aging, of equal or perhaps more concern is the chemical reaction initi-
ated by the hydrocarbons that ultimately breaks down the material
structure into small molecules, thereby drastically reducing mechanical
strength. The progress of this deterioration is relatively slow, and mate-
rial discolorations indicate the start of the process. Frequent cleansings
of washable parts of the extraoral appliance, for example, retards this
form of corrosion.
The effects of temperature on a material are, to a great extent, mani-
fested through influences upon properties already discussed. The fun-
damental material response to change in temperature is on the level of
atomic activity which, in turn, affects volume. A typical unconstrained
solid will expand upon experiencing an increase in temperature; such a
material will contract as its temperature is lowered. (Some polymeric
materials, however, react differently with temperature changes due to
accompanying bonding alterations.) A structural member that is con-
strained against undergoing volumetric change will be subjected to in-
duced thermal stresses if its temperature is altered; these stresses are
superimposed upon those that exist due to mechanical loading.
The increased vibrational motions of atoms and molecules, accompa-
nying increased temperatures, generally affect mechanical behavior in
that ductility characteristics are enhanced but strength properties are
reduced. The rates of, or tendencies toward, creep and relaxation grow
as the temperature rises. The greater the atomic motions, the more eas-
ily materials may be ionized; hence, increased temperatures generally
raise the rates of corrosion and oxidation.
110
Bioengineering Analysis of Orthodonfic Mechanics
Selection of Materials
Suggested Readings
in property values) of the system. The final state of the mechanical sys-
tem is described in terms of the properties of the system following com-
pletion of the process. In summary, the analysis is, in general, toward
the solution of the following problem: Given the initial state of a me-
chanical system to be studied and the description of the interaction be-
tween the system and its surroundings during the defined process,
characterize the final state of the system.
Several processes associated with orthodontic treatment may be ana-
lyzed more directly through energy methods than by Newtonian me-
chanics. Included, and to be discussed in this chapter, are the processes
of activation and deactivation of the orthodontic appliance, the place-
ments of permanent bends and twists in an arch wire prior to intraoral
engagement, the various forms of heat treatment to which arch wire and
some auxiliaries may be subjected, and the actual process of manufac-
turing arch wire. Because each process to be analyzed generally involves
some displacement or motion of the system, and the interaction may
include the transfer of heat toward affecting the thermal as well as the
mechanical characteristics of the system, it is appropriate that the body
or group of bodies or system elements to be studied be termed a "ther-
modynamic system."
Displacement
As described in Chapter 1, the displacement of a particle is the change in
its position with respect to a reference framework. A straight-line, parti-
cle displacement is shown in Figure 4-1. The initial position of the parti-
cle is defined by the vector r1, drawn from point 0 to point P. The
particle then moves to point Q. Labeling the coordinate s along the dis-
placement path, the distance covered may be symbolized as where
the delta prefix represents "change in" the parameter. Because the
displacement is along a straight line in this example, the distance trav-
eled by the particle equals the magnitude of the displacement vector.
The displacement vector may be expressed more generally as the differ-
ence between the final and initial position vectors, r2 — r1.
The displacement of just one point or particle of the body cannot
indicate whether or not the orientation or angulation of the body was
concurrently changed. If the body is rigid and is moved, but without an
angular change, the displacement of the body is a translation and the
displacements of all particles of the body have identical vector character-
istics. Alternatively, if the orientation of the reference line in the rigid
115
Energy Analyses in Orthodontics
Q .—
r2
0 x
Mechanical Work
Displacements produced mechanically, whether or not the body experi-
ences deformation, are associated with forces or force systems. Both
active and responsive forces may cause displacements; on the other
hand, displacements can result in the creation of forces. Figure 4-2
116
Bioengineering Analysis of Orthodontic Mechanics
0 x
FIGURE 4-2. A concentrated force exerted upon, and during its displacement doing
work on, a particle.
shows a force exerted on the particle of Figure 4-1. As the particle under-
goes a displacement with the force acting on it, regardless of the rela-
tionship between the force and the displacement, the force is said to be
doing mechanical work on the particle if the force has a nonzero compo-
nent in the direction of the displacement. Although, in general, the
magnitude or direction of the force may change during the particle dis-
placement, if the vector characteristics of the force shown in Figure 4-2
are all constant, the work done by the force F on the particle as it moves
from point P to point Q is equal to F(cos Although computed
from two vectors, mechanical work is a scalar quantity. The component
of the force involved is that having the direction of the displacement
vector. If the force component and displacement vector have the same
sense, the angle 4 is less than 900 and the work is algebraically positive;
if the senses are opposite (q5 is between 90° and 180°), the work done is
negative. If the force is continually perpendicular to the displacement
vector, no work is done on the particle by the force.
The force of Figure 4-2 would properly be termed an external force if
exerted on an isolated particle or a particle on the outside surface of a
body; if the particle is internal to the body, the contact force would also
be internal. Internal forces, occurring in canceling pairs, do zero net
work on a rigid body; however, within a nonrigid body the net work of
a pair of equal and opposite internal forces may be nonzero because the
117
Energy Analyses in Orthodontics
Energy
Newton's Second Law for a particle of mass in under the action of a
single, constant force F suggests that this force produces a proportional
increase in the speed v of the particle with time t. For a one-dimensional
motion, the relationship may be written as
(4-1)
where Av and the displacement coordinate s have the same sense, iden-
tical to that of the force, as shown in Figure 4-3. The work done by F
during the displacement of the particle from point P to point Q may be
118
Bioengineering Analysis of Orthodontic Mechanics
P m F Q
0
v v+Av
As
At
Passive state 0
,
— Initial state 1
______x
Displaced state 2
Figure 4-4 shows the forces and displacements associated with the
work done by an external weight force (left) and that by the internal
forces in a spring (right). Because the amounts of work done are depend-
ent only on the initial and final configurations of the system, and with
the form of the law of kinetic energy, such path-independent work is
defined as energy change. Specifically, the work done by the weight
force is, in magnitude, set equal to the change in gravitational potential
energy, and the work done by the internal spring forces is, in absolute
value, set equal to the change in strain energy of the spring. Moreover, in
the examples of Figure 4-4, increases in energy levels of the bodies, in-
creased elevation of the center of gravity and increased deformation of
the spring, are seen to correspond algebraically to negative amounts of
work done on the bodies.
To this point in the discussion, two forms of external energy, kinetic
and gravitational potential, and one form of internal energy, strain en-
ergy, have been introduced. Energy is defined as the capacity of a body
or system to produce an effect; thus far that effect has been, exclusively,
mechanical work. Energy is a scalar quantity and generally is referenced
so as to be non-negative. Although kinetic energy has an apparently
natural reference (zero speed), gravitational potential energy has no
such convenient reference level. Although initially it might seem reason-
able to set strain energy equal to zero for the passive state of the spring,
this form of internal energy is added to the spring in the manufacturing
process when it is given its coiled shape. In actual process analyses, only
changes in energy levels are determined. Zero-energy references are
unnecessary, but for each individual process such references may be
chosen in a reasonable manner, for each energy form, if so desired.
120
Bioengineering Analysis of Orthodontic Mechanics
Stress
C
ci
area OABO: modulus of resilience
0
0 B Strain
FIGURE 4-5. A stress-strain diagram generated from the data of a standard tensile test.
121
Energy Analyses in Orthodontics
Load p
Couple
a!
area OMNO: resilience
0 N Angular Deformation
FIGURE 4-6. A load-deformation diagram plotted from the data of a bending test of a
cantilevered beam.
work per unit volume, and increases the strain energy per unit volume
an amount given by the triangular area under the stress-strain plot up to
the dashed line. This area is also the magnitude of the mechanical prop-
erty known as the modulus of resilience in tension ("modulus of" denoting
per-unit-volume). The amount of strain energy per unit volume that
may be added to the specimen before fracture occurs is equal to the
entire area under the stress-strain diagram, and is known as the modulus
of toughness in tension. Analogous areas under the diagram of Figure 4-6
give the resilience and toughness of the arch-wire specimen in bending.
Note that both the resilience and toughness magnitudes are depend-
ent upon the "stress history" of the specimen. In their initial states the
specimens contain unknown levels of internal energy; these levels are
dependent upon the mechanical and/or thermal processes that occurred
prior to the tests (including manufacturing operations). Just as a maxi-
mum load exists, which the specimen can sustain without fracture, the
specimen also possesses a finite capacity for strain energy, and fracture
will occur when this maximum level is exceeded.
with a temperature differential between them, heat will move from one
to the other. Amounts of heat transfer are determinable; heat transfer,
like mechanical work, is a scalar quantity, but it has sense, always mov-
ing from a region of higher temperature to one of lower temperature.
When heat flows to or from a system of finite size and capacity, the
temperature of the system changes; the temperature increases when
heat is transferred into the system and decreases when heat flows away
from the system. Three forms of heat transfer are distinguishable: (1)
conduction, by physical contact between system and surroundings; (2)
convection, the transporting of heat between system and surroundings
by a third medium, often a fluid; and (3) radiation, the emission and
absorption of rays traveling through space between system and sur-
roundings.
If the temperature is uniform within a system at a particular lime,
then temperature is a property of the system and is state-related. A
change in temperature of a body is reflected in the level of activity of the
elemental particles that make up the body, sometimes termed the "parti-
cle kinetic energy" of the body. Appropriate, then, is the introduction of
the concept of thermal energy, a form of internal energy dependent on the
temperature of the body or system. Like other forms of energy, thermal
energy is inherently a scalar, non-negative quantity. Its zero level might
be said to coincide with a system temperature of absolute zero, but
because only changes in thermal-energy levels occur in pro-
cess analyses, as with other forms of energy, a fixed reference level is
unnecessary.
Two types of internal energy now have been mentioned: strain and
thermal energies. Although individually they directly depend upon
apparently separate, more fundamental properties, deformation and
temperature, strain and thermal energies are not mutually exclusive. For
example, the results of the tension tests of two specimens to fracture,
initially identical in every characteristic except for a finite difference in
the temperatures of the test environments, will generally yield signifi-
cant differences in resilience and toughness. The lower the test-environ-
ment temperature, the more brittle the response of the specimen.
Hence, although the strain and thermal forms of energy may be differ-
entiated from each other, the more important consideration is their con-
tribution to the total internal energy of the system under discussion.
Existing experimental evidence suggests that the total internal energy of
a body may depend upon other parameters besides deformation and
temperature, but only significant changes in the strain and thermal
forms of internal energy occur in processes of orthodontic interest.
of energy says, in simple terms, that energy can neither be created nor
eliminated within the system. If, in a process, the total energy of the
system increases, energy has been transferred from the surroundings
into the system. If the total energy of the system decreases, an energy
transfer to the surroundings from the system has taken place. If no net
energy change of the system occurred during a process (but perhaps
levels of individual forms of energy have changed), the net energy trans-
fer to or from the system is zero.
Two forms of energy transfer have been defined: mechanical work of
the external forces exerted on the system and heat. Several types of
energy, possessed by or contained within the system have been de-
scribed: the two external forms of note are gravitational potential and
kinetic energy and the two significant forms of internal energy are strain
and thermal energy. In the general law to be stated, energy transfers are
positive when proceeding from the surroundings to the system; energy
changes of the system are positive when the final levels exceed the initial
levels. The work of the weight of the system equals the decrease in
gravitational potential energy; one or the other, but not both, is included
in the formulation. In orthodontic applications, changes in gravitational
potential energy as well as electric and magnetic energy contributions
rarely occur. With the foregoing definitions, terminology, assumptions,
and sign conventions, a form of the law of conservation of energy, suffi-
ciently general for orthodontic applications, may be narrated as follows:
The mechanical work of the external, contact forces on the system plus the
heat flow into the system minus the losses equals the net increase in the
strain and thermal energies of the system.
Available Energy
A process generally begins with the system in total (mechanical, ther-
mal, and chemical) equilibrium. The final state as well is usually an
equilibrium configuration. Any equilibrium state, however, may be con-
state (1)
System
WorkW
Losses L
Surroundings Heat H
state (1)
FIGURE 4-7. A schematic depicting an orthodontically related process and the work-
energy law that governs it.
125
Energy Analyses in Orthodontics
strained such that, if released from its constraints, without any catalyst
an energy transfer to the surroundings occurs as the system proceeds
toward a minimum-energy configuration. Orthodontic examples of
these constraints are the maintenance of an elastic in a stretched state
and an arch wire at an elevated temperature in a furnace. The available
energy of a system is that portion of the internal energy that is released
by removing all constraints and permitting the system to come to a com-
pletely passive equilibrium state. The total internal energy of a system
may be expressed as the sum of its available and unavailable ("locked
in") parts. The concept of available energy becomes more meaningful in
the study of orthodontic processes within the following sections of this
chapter.
Responsive
force
d,
"cut"
force
The process law indicates that, with negligible losses during activation,
640 g-mm of strain energy have been gained by the spring.
Figure 4-9 shows the loading or activation plot of the linear spring.
Because the elastic limit of the spring has not been exceeded, and if the
spring was formed from a hard-metal alloy such as stainless steel, no
losses of energy will occur over time as an activated configuration of the
spring is maintained. As a result, the unloading or deactivation plot will
trace the loading curve, indicating that all of the added strain energy of
activation is available energy. A second process may now be analyzed in
which the spring is an energy source in the surroundings and under
study is the system on which the spring will do work (e.g., a tooth). The
work capacity of the spring in this second process, during which the
spring is deactivated to some extent, equals the 640 g-mm of strain en-
ergy added to it in the activation process.
127
Energy Analyses in Orthodontics
200
(0
E
0
LI-
-o
0)
a-
a
120
80
40
0 2 4 6 8 10
FIGURE 4-9. The force-deformation plot for the linear spring of Figure 4-8.
0
0 as 1.0
1
FIGURE 4-10. The activation ot an elastic module and the associated torce-elongation
diagram.
and is also the strain energy added to the elastic in the short-term activa-
tion process that stretches it, in this example, 1 in.
Although springs and activated arch wires may be expected to deac-
tivate partially, if not totally, during between-appointments periods, the
activated elastic module often maintains much of its initial stretch for a
substantial length of time. Because of the relatively weak, secondary
bonding within certain amorphous materials, when maintained in a
stretched configuration many of these materials lose tension over
time. The force-versus-time plot for the example polymeric element
under constant strain conditions is illustrated in Figure. 4-11. The phe-
nomenon exhibited, defined in Chapter 3, is "relaxation"—loss of force
with time and without deactivation. An energy-analysis schematic of
this process is provided in Figure 4-12.
Like the spring, the activation of the elastic module provides it with
available energy to do work on another system; however, although the
activating process should not take the material of the module beyond its
elastic limit, the amount of available energy may decrease with time due
129
Energy Analyses in Orthodontics
24
U,
0
C
=
0
16
a)
0
0
LL
0
0 6 12 18 24 30 36
Time (hours)
20 oz
- £0+lin.
Initial state
/
I
I
4
I
Losses
to + 1 in.
I —I 15 oz
Subsequent state
(e1, F2)
0.5 to
e (inches)
13. The unloading diagram for the elastio module of Figure 4-10.
Ge
P
Ce C,
t: left
r: right
energy transfer to the tooth would be less than the 1.5 oz-mm by the
amount of work done by the responsive forces in displacing the sup-
ports. (Similarly, in actual situations, the spring or elastic module could
deactivate with both ends of the element undergoing movement.)
If the tooth is somewhat farther out of alignment than was suggested
in the foregoing discussion, the activation process could result in local-
ized inelastic behavior of the segment. Point 1 on the loading curve in
Figure 4-16 is the termination of the previous elastic activation; point 2
represents the final state of the present activation process. Once again
using straight-line aids, dashed in the figure, the work done in activat-
ing the segment is quantified as the sum of three parts making up the
total area under the plot:
The 4.0 oz-mm of work equals the strain energy input to the wire and,
although no substantial losses as defined are expected if the wire mate-
rial is relatively ductile (and the deformation at fracture is substantially
in excess of 3 mm), the inelastic activation of the wire limits the energy
available to do work. The deactivation process from point 2, depicting
maximum movement of the tooth and assuming no work done at the
supports of the wire segment, is shown as the solid line in Figure 4-17.
133
Energy Analyses in Orthodontics
3
(I)
Q)
0
C
0
0.
ci)
0
0
U-
2 (1.5,2)
0
0 1 2 3
Deflection 8 (millimeters)
FIGURE 4-15. An elastic activation plot for the wire segment of Figure 4-14.
/ (2.5,3)
e/
1 2 3
Deflection (millimeters)
4-16. Loading of the wire segment of Figure 4-14 such that the elastic limit has
'ceeded.
is been "locked in" the wire at the activation site. This unavailable
T differs conceptually and actually from the losses sustained by the
due to relaxation; although both phenomena result, in effect, in a
of potentially available energy to do work, energy was trans-
other than through external work, from the elastic, but not from
re, between the end of the activation process and the conclusion
ctivation. (Relaxation of metals generally occurs only when they
135
Energy Analyses in Orthodontics
3
a)
/
C)
(2.5, 2.8)
0
a-
a)
U
0
/
/
U-
/
2
/
1.1 oz-mm /
/\
/
/
0 1 2 3
Deflection (millimeters)
FIGURE 4-17. The deactivation of, and the available and unavailable energies for, the
wire segment activated beyond its elastic limit.
have been strained almost to their fracture point or when they are main-
tained under load at substantially elevated temperatures.)
Relaxation and inelastic action have been noted in this section as
counterproductive toward maximizing the available energy of the activa-
tion process. Friction is a third phenomenon that "detours" a portion of
the strain energy available to a deactivation process. Recalling the linear
spring analyzed earlier in this section, now consider a canine as the
system with the linear spring activated against it at the initiation of a
process. A free-body diagram of the tooth during the process is shown
136
Bioengineering Analysis of Orthodontic Mechanics
F'
Holding couple C
d m
Cpenodontrun
FIGuRE 4-18. A buccal-view, free-body diagram of a canine during its retraction into a
first-promo/ar extraction site.
by the couples which further lessens the desired energy transfer from
the tooth to the periodontium. In this example, typical of processes in
the presence of unwanted friction, considering the arch wire as the sys-
tem under study for the moment, the energy transferred into the wire by
the work of the frictional force is initially reflected in an increase in the
thermal form of internal energy. If the arch wire is stationary (the fric-
tional force having done work during the displacement of the bracket
with respect to the wire), with the momentary, localized increase in wire
temperature, all of that energy increment will be transferred immedi-
ately into the surroundings with an accompanying return of the wire to
the ambient temperature. Hence, in such instances, in a very real sense,
energy transfer in the form of the work of friction is a loss.
Initial state
Work W
Heat H
Losses L
> En1
Enf En,
a)
0
0
U-
0 Deformation
FIGURE 4-20. The force-deformation diagram for an example arch wire, activated in
bending tollowing permanent-bend placement.
143
Energy Analyses in Orthodontics
a)
C)
L2
0 HT Deforniatton
FIGURE 4-21. The force-deformation diagram for an arch wire, activated in bending
subsequent to permanent-bend placement and a stress-relief heat treatment
represent the loading and unloading of the wire during the placement of
the tip-back and toe-in bends; note the permanent set and the new posi-
tions of the elastic limit following bend placements. Curve 3, coincident
with part of curve 2, illustrates an elastic activation process as the wire is
engaged in the brackets and buccal tubes. The triangular area under
curve 3 represents the available strain energy of activation of the wire at
the molar, revised through bend placements (strain hardening) from its
as-received value. Curve 4 (dashed) is the remaining portion of the plot
to fracture and the cross-hatched area represents the internal energy per
unit volume that may be added to the as-activated level before fracture
will occur. Mastication, which causes superposition of loading incre-
ments upon the activated state, would make the dot in the figure move
along curve 4 and, perhaps, take the wire material at the critical section
beyond the "new" elastic limit. The cyclic loading and unloading pat-
tern of mastication may result in fatigue of the wire (defined in Chap-
ter 3), which will effectively reduce the toughness, even when the elastic
limit is not exceeded.
As in Figure 4-20, curves 1 and 2 of Figure 4-21 indicate the place-
ment of permanent bends in the wire at the molars. To free at least a
portion of the "locked in" (residual) stresses at the critical cross-sections,
144
Bioengineering Analysis of Orthodontic Mechanics
Synopsis
These first four chapters contain the concepts of mechanics and materi-
als science needed by the clinician to embark on an intensive, but not
exceedingly complex, study of the orthodontic appliance in the manner
of a structural bioengineer. To complement the use of Newtonian me-
chanics in appliance analysis and design, in this chapter the approach of
work and energy has been discussed toward examining the mechanical
and thermodynamic behavior of the appliance elements over a finite
time interval. The concepts of mechanical work, heat transfer, external
and internal energies, and system with its surroundings were intro-
duced, followed by the statements of the law of kinetic energy and the
principle of conservation of energy. Examples of orthodontic processes
discussed were the activation and deactivation of a coiled spring, an
elastic module, and an arch-wire segment. Strain hardening and heat
treatments have been considered with emphasis on their applications to
orthodontics.
Prior to the pursuit of direct analyses of orthodontic-appliance mem-
bers and assemblies, an examination of the kinematics and kinetics of
tooth movement is undertaken in the upcoming chapter. Also appropri-
ate is a discussion of the interface of the physiology and the mechanics,
and the response of the periodontium and the dentofacial complex at
large to the application of force. These and related topics are the subject
of Chapter 5 and, with the tools of analytical mechanics, complete the
basis from which a bioengineering study of orthodontic therapy and
appliances may be approached.
145
Energy Analyses in Orthodontics
Suggested Readings
ligatures) activated against them. Adjacent teeth within the same arch
may push against one another through direct crown contact; they also
may "pull" on each other, interconnected through the transseptal-fiber
system. Finally, teeth in the opposing arches may exert force upon one
another through occlusal surface contact. The individual tooth is highly
resistant to localized deformation and is positioned in a flexible support-
ing structure.
The application of crown force displaces the tooth as a whole. The
support response to short-term forces, such as those of mastication, is
essentially elastic. Tooth displacements arising from forces existing over
extended periods of time—orthodontic forces, for example—must b97'
analyzed in two parts: the initial displacement associated with the in*
mediate response of the nonrigid alveolar process and the
displacement occurring with the biologic remodeling of the tissues.
The deformation of the periodontal ligament, accompanying initial
tooth displacement, produces a responsive force system against the
root. This system is the action-reaction counterpart of that delivered by
the root to the ligament, and arises due to the resistance to deformation
inherent in the ligament and the bone behind it. Because the stiffness of
the ligament itself is relatively low, the deformation of it occurs through-
out the entire contact area between ligament and root; hence, the me-
chanical response to tooth displacement is a force system that is distrib-
uted over virtually the entire root-surface area. Initially, that response
may reflect highly varying intensity from one location to another over
the root-ligament interface; if the applied force remains for a period of
time, remodeling of the alveolar process will alter that intensity pattern
toward a more uniform distribution. The ligament is less than 0.5 mm in
thickness everywhere, its weight and inertia are negligible, and the alve-
olar bone-ligament and root-ligament interface areas are virtually equal.
Accordingly, the force distributions transmitted from root to ligament
and from ligament to bone are nearly identical in all characteristics. Al-
though mature bone is much stiffer than the periodontal ligament,
forces against the bone can result in slight deformations, particularly
from pressure against the facial or lingual alveolar crestal regions. Upon
reaching the alveolar bone, ligament force against it resulting from
crown loading travels into and through the cortical plate and into the
bone proper. This force does not disappear; instead, it is distributed
farther throughout the bone volume, decreasing in intensity with dis-
tance inward from the bone-ligament interface as the effective area of
distribution grows.
Several reasonable idealizations are proposed at the outset in this
bioengineering analysis. The tooth is assumed to be a rigid body; it is
displaced, but not deformed, under the action of crown loading and the
accompanying response from the periodontium. The weight of the tooth
is small compared to the contact forces that may be exerted on it; the
weight of each tooth, as well as that of the periodontal ligament, may be
neglected. Furthermore, even in the short period of initial displacement
following creation of crown force, the inertias of all components of the
148
Bioengineering Analysis of Orthodontic Mechanics
Under the action of an applied force system the single tooth experiences
a whole-body displacement due to the nonrigid nature of its supporting
structure. To adequately describe such a displacement, a reference frame
is established with respect to the initial position and normal orientation
of the aligned tooth. This framework includes three mutually perpendic-
ular axes. One axis is coincident with the long axis of the aligned tooth,
the second is directed faciolingually and passes through the center of the
proper bracket location, and the third is oriented mesiodistally. The cen-
ter of the framework, the point common to all three axes, is located
approximately at the center of the crown and is labeled point CC. This
reference system, described previously in Chapter 1, is shown within a
typical tooth in Figure 5-1. Another useful reference point is the center
of resistance of the tooth; the long axis passes through it and the point is
designated the cre. Four additional reference points will be introduced
subsequently; however, because the tooth is a rigid body, the displace-
ments of these four points and the cre may be readily obtained from the
absolute displacement of the long axis, a line perpendicular to the long
axis through CC, and point CC itself. (Recall the two-dimensional dis-
placement example in Chapter 1 and the associated Figure 1-5.)
149
Response of Dentition and Periodontium to Force
a a
e f m d
FIGuRE 5-1. A localized reference frame fixed within the tooth and having its origin at
the crown-center point CC.
crc
cro
FIGURE 5-2. Several transverse rotations viewed from a facial perspective and, in each
sketch, showing the location of the center of rotation, cro.
151
Response of Dentition and Periodontiurn to Force
Ffe
Fmd
FIGURE 5-3. Transverse crown forces applied faciolingually (left) and mesiodistally
(right) through the bracket. (When the line of action does not pierce the long axis, the
transverse force must be accompanied by an occlusal-plane couple of appropriate
magnitude if long-axis rotation is to be prevented.)
LI C'Fd F
(C = Fd)
FIGURE 5-4. The crown loading in bodily movement: the force and couple at point CC
(left); the force moved to the cre with the compensating couple introduced (center); and
the force system at the ore reduced to the single-force resultant (right).
154
Bioengineering Analysis of Orthodontic Mechanics
shape and the manner of support of the body, must be obtained for the
tooth by varying, in an experimental format, the couple-force ratio and,
for each value, determining the displacement pattern of points on the
root surface. Such studies have been carried out using both theoretical
modeling (Nikolai, 1974) and laboratory experimentation (Burstone et
al., 1982); the cre has been located close to midway between cementoen-
amel junction and root apex, making d approximately equal to one-half
the total tooth length (if the bracket is positioned at midcrown, occluso-
gingivally).
Although a substantial simplification, discussion of the distributed
responsive force system resulting from transverse crown loading within
a two-dimensional model does encompass the essence of that response
and, in particular, clearly differentiates among the individual forms of
associated, orthodontic displacements. Neglecting the inertia of the
tooth, the resultant of the periodontal-ligament response to deformation
by the root, referenced to the cre, must be equal and opposite to the
equivalent crown loading at the point. For bodily movement that re-
sponse is a single force F' as shown on the left in Figure 5-5, identical in
all characteristics to the driving force F in Figure 5-4 except sense. Be-
cause the tooth experiences no change in angulation in this displace-
ment, F' may be expressed as the sum of a tensile component F exerted
on the trailing surface (in the plane view appearing as a curve) and a
compressive component against the leading surface as shown in the
center sketch of Figure 5-5. If the two halves of the total root surface as
divided were identical reflections of one another, and the stiffnesses of
the ligament were equal in tension and compression, the two compo-
nents would be equal and, herein, are modeled as such. (The slight
angulations of the root surfaces and the deviations of some fiber direc-
tions from the normal with respect to the long axis are reasonably ne-
glected in the modeling.)
A sketch of the in-plane distributed force of the ligament upon the
root is shown on the right in Figure 5-5. Although in bodily movement
the displacements of all tooth points are identical, the tensile and com-
pressive distributions are shown nonuniform to properly recognize the
F'
FIGURE 5-5. The plane view of the responsive force of the ligament against the root
during bodily movement: the resultant force at the cre (left); the tensile and compressive
components (center); and the modeled tensile and compressive distributed forces
(right).
155
Response of Dentition and Periodontium to Force
tapering of the root. Accordingly, the intensities are highest at the apex
where the root circumference is smallest and lowest where the root
circumference is maximum at the cementoenamel junction. The differ-
ence in tensile stiffnesses of intra-alveolar and extra-alveolar fiber bun-
dles is ignored as modeled here, based on the relatively small portion
of the total root area in which the latter fibers are embedded. (The two-
dimensional modeling of the stress distribution, and use of the projected
root areas, are tantamount to replacing the approximately round or oval
root cross-section of the single-rooted tooth by a square or rectangular
cross-section. Shown in Figure 5-6 are the as-modeled and typical, ana-
tomically correct, root "slices" and the distributed force systems exerted
on each periphery.) From the discussion of stress in Chapter 3, the maxi-
mum ligament tensile and compressive intensities, as suggested in the
model, are dependent on the magnitude of the driving force and the
surface area and anatomy of the root.
The transverse displacement known as simple tipping derives its name
from the simple active force system—a single point force P with line of
action perpendicular to the long axis and piercing point CC, which pro-
duces an alteration in long-axis angulation. The active force may have
faciolingual and/or mesiodistal components; one component is shown
on the left in Figure 5-7. The couple-force ratio for this loading is zero; no
applied crown couple exists in a plane containing the long axis. The
transferral of the active force to the cre, however, requires the addition of
a couple equal in magnitude to the product of P and d (where, again,
d is the long-axis distance from the bracket to the cre). The active force
system referenced to the center of resistance is shown in the center
sketch of Figure 5-7; the two components indicate that the potential
displacement is a translation of the cre in the direction and sense of P
and a rotation or tipping of the long axis with sense corresponding to
that of C1,. A typical displaced configuration with respect to an initially-
inclined long axis is shown on the right in Figure 5-7. The intersection of
the two long-axis positions is the center of rotation for the simple-tip-
ping displacement, slightly apical of the cre. Note that simple tipping
includes displacements of both point CC and the root apex (apices).
The resultant of the periodontal-ligament response to simple-tipping
tension tension
// compression
FIGURE 5-6. 0cc/usa! views of root cross-sections and distributed force systems
exerted thereon: the anatomically correct (left) and as-modeled (right) root slices for a
single-rooted tooth.
156
Bioengineering Analysis of Orthodontic Mechanics
/
/
I
/
P /
= Pd
crc
FIGURE 5-7. A plane view of the simple-tipping displacement: the active crown force at
point CC (left); the equivalent loading referred to the cre (center); and a typical
displacement showing the crc location (right).
action, referred to the cre, is equal and opposite to the action referred
there (Fig. 5-7, center), and is shown on the left in Figure 5-8. Equivalent
to this resultant of P' and is the set of four forces shown in the middle
sketch of Figure 5-8; the pair located more apically are individually
smaller in magnitude than those positioned closer to the cementoenamel
junction. Each of these four forces is the resultant of a quadrant of the
total distributed ligament response sketched on the right in Figure 5-8;
each quadrant is not exactly triangular due to the tapering of the root.
Both compression and tension exist on either "side" of the root. Pro-
ceeding occiusally from the apex, the stress (intensity) levels in the
model decrease from relative maximum values at the apex, go to zero
and change signs at approximately the cro level, and then increase to-
ward relative maximum values at the cementoenamel junction. The ab-
solute maximum stresses occur at the root apex, due to the minimum
root circumference there. Throughout this section in the modeling of the
P,
c,
tension compression
FIGURE 5-8. The responsive force system against the root during simple tipping: the
resultant referred to the cre (left); an equivalent set of two tensile and two compressive
forces (center); and the modeled distributed force system in four parts (right).
157
Response of Den tition and Periodontium to Force
C0 cro
FIGURE 5-9. A plane view of pure, transverse rotation: the couple loading at point CC
(left); the couple moved to the cre (center); and the displacement format showing the
coincidence of the cro and the cre (right).
158
Bioengineering Analysis of Orthodontic Mechanics
- tension compression
FIGURE 5-10. The response to transverse couple loading: the resultant at the cre (left);
an equivalent set of four forces (center); and the modeled distributed force system of
the ligament against the root (right).
motive action of the applied force system is the couple; the role of the
force is prevention of crown displacement which occurs when the cou-
ple alone is exerted on the crown (Fig. 5-9, right). The force H and the
couple Ch are shown on the left in Figure 5-11 at the crown center point
CC. In the center sketch of Figure 5-11 the displacement format is illus-
trated with the cro at bracket level; note the direction of cre movement
and the sense of the change in long-axis angulation. Correspondingly,
shown on the right in Figure 5-11 are the force and couple referred to the
cre, which are needed to produce the displacement. The magnitude of
this couple is C,, — Hd, where the product Hd arises from the movement
of the force H from point CC to the cre. Accordingly, the couple-force
ratio necessary to produce this displacement is greater than d that re-
quired for bodily movement.
Ch
H
C,, - Hd
FIGURE 5-11. A plane view of root movement: the components of the active force
system referred to point CC (left); the displacement and cro location (center); and the
equivalent loading at the cre (right).
159
Response of Dentition and Periodontium to Force
H'
compression tension
FIGURE 5-12. The periodontal response during root movement; the resultant located at
the cre (left); an equivalent system of two forces (center); and the modeled tensile and
compressive distributions of force (right).
160
Bioengineering Analysis of Orthodontic Mechanics
Cd - Cq crc
FIGURE 5-13. A plane view of crown movement: the displacement and the crc location
(left); the applied force and couple referenced to the cre (center); and the crown force
system at point CC (right).
the periodontal ligament against the root as modeled will divide into a
compressive distribution on the half-root surface corresponding to the
sense of the active force Q and tension on the remaining surface area.
The resulting implication is in combining Q and Cq into a single force;
that force must be located between the cre and the cementoenamel junc-
tion. It then follows that the active crown force system referenced to
point CC consists of a force and a couple as shown on the right in Figure
5-13, the magnitude of the couple is less than the product Qd as indi-
cated, and the couple-force ratio is less than d. Figure 5-14 depicts the
resultant components Q' and Cq' of the periodontal-ligament response
referred to the cre on the left (components equal and opposite to those of
C'q cre
tension compression
FIGURE 5-14. The ligament response during crown movement: the components of the
resultant of the response referenced to the cre (left); an equivalent, single-force
resultant divided into tensile and compressive parts (center); and the modeled
distributed response against the root (right).
161
Response of Dentition and Periodontium to Force
the active force system in the center in Figure 5-13), the resultant liga-
ment response as a single force divided into compressive and tensile
portions, and Qj, in the center, and the compressive and tensile
distributed responses on the right. Crown movement is the only trans-
verse orthodontic displacement for which the maximum intensities of
responsive force occur at the cementoenamel junction.
To summarize, all transverse orthodontic tooth movements as de-
fined are produced by a combination of a force approximately perpen-
dicular to the long axis (parallel to the occiusal plane) and a couple in a
plane containing the long axis. Looking into that plane, when both com-
ponents have nonzero magnitudes, the sense of the moment of the force
with respect to the cre is opposite to that of the couple. The couple-force
ratio, which controls the position of the cro, is given simply as a ratio of
magnitudes and equals the occlusogingival distance from point CC to
the location of an equivalent, single-force load. (Although the center of
resistance is a fixed point in a tooth—its location is independent of the
crown loading—the center of rotation is highly dependent on the charac-
teristics of the crown force system.) In the model used in this section,
the cro is always located on the long axis or its extension; in reality this
may be somewhat (but not substantially) in error in root movement pro-
duced by a third-order couple and a sufficiently stiff holding-force po-
tential that will place the axis of rotation coincident, or nearly so, with
the arch wire and, thus, the cro within the bracket slot as viewed
mesially or distally. In the analyses of these movements, when neces-
sary the loading may be decomposed into components contained in
faciolingual and mesiodistal planes through the long axis; often the
transverse action is totally in one or the other of these planes. In the
faciolingual plane, adjacent teeth exerting pushing forces through
crown contact can control the cro location; in the absence of a stiff palatal
bar, no such strong control can exist exclusive of ordinary orthodontic
mechanics in the mesiodistal plane.
Shown in Figure 5-15 is a plot, theoretically derived, of occlusogingi-
val center-of-rotation location versus couple-force ratio for the labiolin-
gual, transverse displacements of an average-size, maxillary central inci-
sor (Nikolai, 1974). The partitioning of the plot into two curves results
from the couple-force ratio becoming infinitely large as the bodily-move-
ment displacement is approached. Notable are the substantial effects on
cro location as the ratio nears d from above or below. Given in Table 5-1
are results associated with five mesiodistal displacements of a typical
canine. The root length and overall long-axis length of the tooth were
17 mm and 22 mm, respectively. The analysis was theoretical assum-
ing linear relationships between intensities and displacements of root-
ligament interface points, equal ligament stiffnesses in tension and
compression, and accounting for root taper. Notable are the substan-
tial differences in extremum (maximum, minimum) interface force in-
tensities among the four tooth displacements generated with the same
magnitude of transverse force.
162
Bioengineering Analysis of Orthodontic Mechanics
to 0.9
1.2
0.8
to 0.45
I ——
to 0.45
Couple-force
—0.4
ratio (cm)
—0.8
—1.2
to 0.9
—1.6
FIGURE 5-15. Lab/olin qua! displacements of a typical, maxillary, central incisor: a plot of
cro location along the long axis and its extension versus the ratio of couple to
transverse force as the loading components at point CC.
TABLE 5-1. Couple-force ratios, center-of-rotation locations, and maximum stress values tar five
transverse canine displacements
Maximum stresses
Mesiodistal Couple-force Center of Gingival Root
Displacement force ratio rotation margin apex
format (g) (mm) (mm/mm)* (g/cm2)
The location ot the center of rotafion is given from the root apex and as a fraction of the root length.
The model canine has a projected area (mesiodistal perspective) of 0.9 cm2, a root length of 17 mm, and a length of
22 mm.
fModitied from Nikolai, R.J.: On optimum orthodontic force theory as applied to canine retraction. Am. J. Orthod., 68:290—
302, 1975.)
Fe
FIGURE 5-16. An applied crown force with the combined potential for extrusion and
lingual crown tipping: at the facial surface (left); an equivalent system at point CC
(center); and the equivalent system at the cre (right).
and, with it, the potential to also tip the tooth; the crown would move
lingually and the root apex (apices) labially with the cro in the position
indicated in Figure 5-9. Accordingly, the occlusally directed crown force
must be augmented if the tipping potential is to be countered. (As men-
tioned earlier, the eccentricity of the typical appliance is discussed gen-
erally in Chapter 6.)
In response to a purely extrusive potential, the periodontal ligament
exerts a distributed force system having a resultant directed apically and
positioned along the long axis. The distributed response arises almost
exclusively from reorientation and stretching of the ligament fibers al-
though, depending on actual anatomy, there may be some compressive
resistance over a small area near the cementoenamel junction. The intra-
alveolar fibers will provide the majority of the total resistance because of
their numbers and higher tensile stiffnesses compared to the supra alve-
olar fibers; otherwise, the distribution is apparently nearly uniform both
circumferentially and longitudinally, and is modeled as such, for the
single-rooted tooth. Other than to note the increased root-surface area
inherent in the multirooted tooth, no substantial difference in extrusion
analysis is necessary for multirooted versus single-rooted teeth. Of par-
ticular note, however, is the relatively weak periodontal resistance to
extrusive displacements with little, if any, ligament reinforcement from
bone compared to other tooth movements; control in this regard must be
provided in the decay characteristic of the activating force, perhaps
through the arch wire, and by occlusion.
Intrusion and extrusion are similar orthodontic displacements in that
both activating loads are, ideally, axial forces, both pure movements are
translational, and both resistances to displacement are associated with
stretched ligament fibers. Differences between the movements include
the sense of the load and of displacement potential and the creation of
165
Response of Dentition and Periodontium to Force
C = F,e
fiber
tension
apical
compression
FIGURE 5-17. The force system associated with pure intrusion: the active and
responsive resultants (left); and the active force referred to the ore together with the
responsive distribution of tension and pressure (right).
166
Bioengineering Analysis of Orthodontic Mechanics
I,
(cN
/
FIGURE 5-19. An occiusal view of an applied first-order couple to generate long-axis
rotation (left), and the initial (dashed) and displaced (solid) configurations together with
cr0 location (right).
F0
//
• cro
/
I'
FIGURE 5-20. A rolling displacement in 0cc/usa! view: the applied force at the facial
surface (left); the equivalent force system at point CC (center); and the displaced
configuration and cr0 location (right).
ble and, as a result, the fiber tensions are less than those in neighboring,
intra-alveolar fibers. A schematic of the load and the distributed perio-
dontal response is given in Figure 5-21; on the right is a qualitative plot
of fiber stress against longitudinal position along the root surface. In the
model, the single-rooted tooth is assumed conical in shape; therefore, at
a specific occiusogingival level the fiber stresses do not vary in magni-
tude circumferentially. In reality, the variability in root-surface contour
0
cc
0
0
-J
Fiber
Fiber Stress
Co
FIGURE 5-21. Pure, long-axis rotation: a transverse view of the crown loading and the
periodontal response (left); and the variation in fiber stress with longitudinal distance
from the gingiva! margin to the root apex for a single-rooted tooth (right).
169
Response of Dentition and Periodontium to Force
tension
compression
tension
compression
tension compression
FIGURE 5-22. Responsive periodontal distribution against the roots of a maxillary first
molar undergoing long-axis rotation: apical view (left) and transverse view (right).
also results in some localized compression of the ligament, but the per-
centage of the root surface experiencing pressure is relatively small.
Of all the distinct orthodontic displacements, the multirooted tooth
undergoing long-axis rotation presents the most substantial difference
in response, compared to the single-rooted tooth. Apical of the bifurca-
tion location, an assumption of axial symmetry is totally incorrect. The
"long axis" of each root deviates from the long axis of the tooth as a
whole with, generally, substantial distances between the long axis and
the apices. With the cro on the long axis of the tooth, in this displace-
ment the individual roots experience bodily movement in a curvilinear
fashion, with pressures against the leading surfaces and fiber tensions
exerted on the trailing surfaces catalyzing the bone remodeling neces-
sary to achieve the movement. Apical and mesial views of the distrib-
uted periodontal responses to long-axis rotation of a maxillary first
molar are depicted in Figure 5-22.
into the maxilla and those of the lower arch into the mandible. The
periodontal ligament completely surrounds the tooth root from cement-
oenamel junction to apex (apices). The ligament is composed of collage-
nous fibers in bundles, blood vessels, nerves, and cells embedded in an
amorphous, viscous matrix (often termed "ground substance"). The lig-
ament is a composite material capable of sustaining and transmitting
tensile loading primarily through the fibers; pressure is transmitted
principally by the matrix material. The ligament passively exhibits near-
uniform thickness of approximately 0.3 mm and low stiffness, at least an
order of magnitude less than that of calcified bone. The primary function
of the ligament is to cushion the bone beneath it from the action of
impulsive, masticatory loading of the dental units.
The alveolar bone, also, is a heterogeneous material. Although the
underlying portions of the bone are somewhat spongy, the layer adja-
cent to the periodontal ligament is dense and exhibits rather high sur-
face hardness. This layer, the cortical plate (lamina dura), and the ce-
mentum anchor the radial fibers that run into and through the ligament.
The alveolar bone is relatively stiff as a whole, although some deflection
apparently occurs in the thin, crestal regions under the action of rela-
tively high forces applied to the tooth crowns. Forces exerted on the
dentofacial complex may be designated as orthodontic if their intent is the
movement of teeth through remodeling of the alveolar process; during
such remodeling, no significant alteration of basal bone occurs. On the
other hand, forces may be exerted with the intention of displacing basal
bone without producing relative displacements of teeth within the alve-
olus; such forces are rightfully termed orthopedic.
The internal force system in the periodontium, arising from the ap-
plication of a crown force, possesses an involved format, made so by the
geometric and mechanical as well as the biologic complexities of the
responding tissues. The problem, however, can be simplified somewhat
through modeling, with a reasonable analysis of the distribution in the
alveolus of this internal force pattern including three individual consid-
erations. First, because the periodontal ligament is thin compared to
bone dimensions, the distributed force system carried to it by the tooth
root is insignificantly altered while transmitted through it. Specifically,
the tension-pressure system at the ligament and cortical-plate interface
may be considered identical to that between the root and ligament.
Admittedly, a small reduction in intensities exists due to the slightly
larger ligament surface area adjacent to the plate compared to the area
against the root, but the difference is reasonably ignored.
Second, the distribution of normal stress into alveolar bone, in re-
sponse to loading at the plate surface by the ligament, may be envi-
sioned through the aid of Figure 5-23. Shown on the left is a flat surface
(in edge view) of a solid subjected to a compressive force and represen-
tations of resulting pressures at various distances from the point of ap-
plication of the load. In a homogeneous material, such pressures have
been shown to decrease in magnitude directly with the radial distance
from the location of the load. (Changing the sense of the load, an ap-
171
Response of Dentition and Periodontium to Force
Compressive
force
Pc
PA
PB Pa
p: compressive
stress (pressure)
_— Crestal fibers
Horizontal fibers
Periodontal
ligament
Oblique fibers
— Apical fibers
FIGURE 5-24. The groups of intra-alveolar fiber bundles between root and cortical plate
as seen in a transverse view of a single-rooted tooth.
175
Response of Dentition and Periodontium to Force
pressure, reduce or prevent cellular activity, and even force the displace-
ment of the ligament matrix material to regions of lower stress. Sus-
tained high pressure is accompanied by potential for regressive biologic
alterations of the ligament (hyalinization, necrosis) and prevents remod-
eling of the alveolar bone at the cortical plate-ligament interface. Accord-
ingly, not only to lessen the pain associated with tissue deformation, but
also to guard against the possibility of ligament pathology associated
with sustained high pressures, the magnitudes of the force-system com-
ponents transmitted by appliances to tooth crowns must be limited.
The fibrous attachment of the periodontal ligament to the cortical
plate enables the transmission of tensile as well as compressive distrib-
uted loading into the alveolar bone. A number of cells, in addition to the
aforementioned fibroblasts, exist in the periodontal space and contribute
to the remodeling process in the absence of excessive pressure. In re-
gions of the bone-ligament interface where continuing fiber tension is
present, the fibroblastic activity is accompanied by that of the osteoblasts.
These cells play a role in the formation of osteoid, which develops along
the outer surface of the cortical plate, adhering to both the surface and
the stretched fibers emerging from the plate. In time this new material
mineralizes to form bundle bone and eventually calcifies. Each small but
distinct movement of the tooth root causes an incremental change in
interface stress magnitudes and in osteoblastic action; as a result, the
new bone appears in layers (lamellae). The overall effect on osteoblastic
and fibroblastic activity, attributable to the initial magnitude of the fiber
tension, is not well understood. Notable, however, is the apparent fact
that removal of the fiber tension has little effect on the continuation of
bone maturation, once the osteoid has been laid down. Moreover, a
reversal of the interface loading to create compression of the ligament
against bone does not result in the immediate removal of osteoid; this
new tissue exhibits an inherent resistance, significantly more so than
mature bone, to such remodeling.
Although sustained crown loading results in fiber remodeling and
bone apposition in periodontal regions where the radial component (di-
rected out from the long axis) of induced stress is tensile, where the
radial stress component is compressive, another form of biologic action
occurs. If transverse movement of teeth is to take place, resulting from
the application of orthodontic force, alveolar bone must be removed to
accommodate the leading root surfaces while new bone is formed in the
vacated space(s). The bone-resorption process is stimulated by yet an-
other cell form, and the location(s) of the initiation of the process and the
time required to complete it are apparently dependent upon the stress
pattern within the periodontium which, in turn, depends upon the form
and magnitude of the applied crown force system. Osteoclasts in the
periodontium seemingly are activated, beyond their normal levels, by
moderate amounts of stress in certain configurations to break down the
protein matrix of bone. When the bone resorption occurs at the bone
surface adjacent to the periodontal ligament, the process is termed direct
or frontal resorption. Where the bone-ligament interface stresses are
176
Bioeng!neering Analysis of Orthodontic Mechanics
high, the process begins at some depth within the alveolar bone; this
internal bone remodeling is known as undermining or rear resorption.
(Recall that the radial and circumferential normal stresses decrease with
distance from a normal surface loading; see Fig. 5-23).
Two hypotheses are offered in regard to the mechanical catalyst asso-
ciated with the remodeling of alveolar bone. On the one hand, there is a
strong tendency to relate the remodeling format to the radial stress—
bone apposition to tension or the tensile stress component normal to the
bone-ligament interface and resorption to the radial compressive stress
or pressure. Alternatively, transverse remodeling of long bones is said
to be keyed to the sense of the longitudinal stress—apposition by pres-
sure and resorption by tension. Once again recall the discussion of Fig-
ure 5-23, particularly the fact that, at a point within the bone, the normal
stresses at right angles are opposite in sense to one another. If the anal-
ogy is drawn between the longitudinal and transverse directions associ-
ated with the long bone and the circumferential and radial directions,
respectively, within the alveolar bone, the so-called "piezoelectric ef-
fect" theory espoused by the orthopedist does not inherently conflict
with the pressure theory of the orthodontist.
Much remains to be learned and understood regarding the biologic
response of the periodontium to mechanical stress. Moreover, the na-
hire of the orthodontic appliance and of therapy adds to the complexity
of the matter. The effect of biologic remodeling "in isolation" would
undoubtedly be a modification of the initially varying stress pattern to-
ward a uniform distribution throughout the ligament and bone, as well
as a reduction in the average pressure within the periodontium. Al-
though the crown loading is lessened in overall magnitude as incremen-
tal displacements due to remodeling occur, it generally continues to
exist and maintains a nonuniform pattern of stress against and within
the alveolar bone. This matter is further complicated when several com-
ponents are included in the crown force system and each is dependent
for its magnitude on individual stiffnesses of appliance elements; the
couple-force ratio, for example, may change as the overall displacement
progresses. Finally, the clinician may interrupt the ongoing process and
start another by first unloading, then modifying, and subsequently reac-
tivating the appliance.
In concluding this section, a comment on the resistance of cementum
to resorption and the activity of cementoblasts is appropriate. These cells
potentially sustain and repair the hard outer surface of the root. Both the
cortical plate and the cementum are subjected essentially to the same
pressures created through the application of crown force; however, a
physiologic difference between the seemingly similar tissues is reflected
in a greater resistance to resorption inherent in the cementum. The
cementoblast resides in the periodontal space and its routine activity is
undoubtedly affected by sustained high pressure. Other factors have a
role, but apparently the combination of conditions that sometimes result
in root resorption during orthodontic treatment is not now well under-
stood.
177
Response of Dentition and Periodontium to Force
The force system applied to the tooth crown, toward the creation of a
displacement, originates in the straining of elements of an appliance in
the attachment of it to the dentition. The crown force system may con-
sist of one or several components; they are individually concentrated
forces or couples, each having a direction, sense, and an initial magni-
tude dependent on the manner of appliance-to-crown contact, the
amount of activation deformation, and the localized stiffness of the asso-
ciated appliance element. The components of the applied force system
generally lessen in magnitude as time proceeds from the instant of acti-
vation, and the significant portions of the force-versus-time pattern for
the fixed appliance are (1) the initial magnitude, (2) the rapid decrease in
magnitude associated with the deformation of the periodontal ligament,
(3) the long-term decay resulting from remodeling of the alveolus (to be
examined subsequently in more detail), and (4) any reactivation by the
practitioner to begin a new cycle. Notable also is the possible creation of
additions to the crown force system resulting from tooth displacement
caused by the principal activation. For example, an arch wire may be
initially passive within a bracket, but mesiodistal crown tipping can
eliminate the original second-order, wire-to-bracket clearance and grad-
ually result in activation of a counter-tipping couple. In such a situation,
although the original crown force system is decaying with time, a por-
tion of the load is inactive initially, then grows from zero to some maxi-
mum magnitude dependent in a complex manner upon several parame-
ters, and also, subsequently, decays in the absence of interference with
the original activation.
The intensity of internal force, or stress, at a particular instant and at
a specific point within the periodontium, is directly related to the charac-
teristics of the crown force system at that instant and the specific perio-
dontal location. The change in stress at a point with time follows the
same temporal pattern as that of the crown load. The maximum stresses
exist in the periodontal ligament and against root and the cortical plate
at alveolar-crest or root-apex locations, depending upon crown loading,
as discussed previously. Ideally, any tooth movement should be accom-
plished in a direct and reasonably rapid fashion while minimizing pa-
tient discomfort. Largely because of the differences in biologic responses
to stimuli found in virtually any sample of man, however, there cur-
rently exists no wide acceptance of one "best" force-time pattern to ac-
complish even the simplest single-tooth displacements. Nevertheless,
the practitioner must be cognizant of several basic guidelines, whichever
treatment philosophy is followed:
1. Continuous interruption of the blood supply to the periodontal liga-
ment must be limited in time.
2. The amount of time under load, required to resorb sufficient alveolar
178
Bioengineering Analysis of Orthodontic Mechanics
the applied force drops off further with tooth movement. Again, this
force is termed intermittent because the combination of moderate activa-
lion and high appliance stiffness results initially in ligament necrosis,
but ultimately in pressure reduction to low levels long before the next
appointment to ensure the resumption of blood circulation within the
soft tissue.
A second type of acceptable orthodontic force is that typically ap-
plied by an extraoral or removable appliance. The interrupted force has a
characteristic magnitude-lime pattern created by the patient who peri-
odically unloads the appliance, thereby totally relieving all force for a
period of time. A typical interrupted, orthodontic force follows a 24-
hour cyclic pattern with the appliance in place and active for, perhaps,
10 to 14 hours a day. The force may be heavy and decay little; hence the
inactive period each day must be sufficient to keep the periodontal liga-
ment healthy over the total period of use of the appliance.
Continuous orthodontic forces do not, by their definition, decay to
zero during the between-appointments period. Exerted by rather highly
flexible appliance elements, activations must be to relatively low force
levels so as to occlude no more than a small percentage of the vessels
within the periodontal ligament (and not substantially interfere with
nutritional activity). Bone remodeling in pressure zones is expected to
occur primarily as direct resorption of the cortical-plate surface. Because
the continuous-force cycle includes no "rest period," little interference
with normal biologic functioning within the soft tissues can be tolerated.
Figure 5-25 provides a qualitative comparison between the magnitude-
time patterns of acceptable light and continuous, and relatively heavy,
but intermittent, orthodontic forces.
To produce the total desired displacement by a particular appliance
configuration or set of mechanics often requires several months. A new
activation-deactivation cycle begins each time the clinician reactivates
the appliance, and this reactivation may occur four or more times in
the overall process, for example, in distally driving canines into first-
premolar extraction sites. If the teeth to be moved are receptive to ortho-
dontic force, a reactivation is necessary only when the appliance has
exhausted all or most of the mechanical-work capability provided by a
prior activation or reactivation. In the absence of some appliance failure,
the total displacement is accomplished incrementally, and an examina-
tion of one activation-deactivation cycle provides the substance of the
entire tooth-movement process, even though perhaps only one-fourth
or less of that total displacement is depicted.
Figure 5-26 shows two time-versus-displacement plots for one acti-
vation-deactivation cycle and a between-appointments period of 3
weeks. The displacements are simple-tipping of canine teeth on oppo-
site sides of the same arch. The solid plot represents an initial force
magnitude of 60 g; the dashed plot was obtained following activation to
150 g. Each crown displacement takes place in 3 stages. Stage 1 is the
almost immediate movement reflecting the deformation of the periodon-
tal ligament by the tooth root; little difference in this first portion of the
overall displacement is noted for the 2 teeth as, apparently, 60 g was
180
Bioengineering Analysis of Orthodontic Mechanics
is
0
0
u
soft-tissue deformation
undermining resorption
Time
sufficient to completely compress the ligament at the root apex and alve-
olar-crest levels. During stage 2 the remodeling of fibers and bone be-
gins and further displacement is virtually nonexistent. The length of this
stage may vary from several days to several weeks or longer, depending
on the level of pressure against the cortical plate. From the figure, stage
2 for the tooth initially receiving 60 g of load was completed in about 4
days; for the canine subjected to 150 g this second stage extended to
nearly 2 weeks. As bone is resorbed in the pressure zones and the effect
of resorption reaches the bone-ligament interface where complete soft-
tissue compression had occurred upon loading, additional tooth move-
ment signals the beginning of stage 3. When direct resorption takes
place, stage 3 displacement is more gradual than when substantial un-
dermining resorption is necessary before any further tooth movement
can occur. This is reflected in Figure 5-26 in that, after stage 3 began for
the tooth receiving 150% more initial force, the displacement progressed
at a more rapid rate such that, when the patient appeared on day 22, the
practitioner measured nearly the same accumulated canine crown dis-
placement on both sides of the arch (Gianelly and Goldman, 1971).
The overall results depicted in Figure 5-26 are indicative of the prefer-
ence of some clinicians for heavy-force mechanics and others for light-
force appliances and techniques. Conceivably, however, had a third,
similar canine been subjected to an initial force of several hundred
grams, stage 2 might not have been completed in 21 days; hence, no rest
period for the ligament would have occurred between appointments, a
)flSO of Dentition and Periodontium to Force
/
/
/
/
/ Stage 3
/
/
/
—U
/
——
Stage 2
Stage 1
5 10 15 20
Time (days)
TABLE 5-2. Root-surface areas in centimeters squared for average normal permanent
teeth
Maxillary Mandibular
arch Tooth arch
ber of teeth directly affected by the applied force system and the size of
the roots of those teeth. Table 5-2 provides the root surface areas of
individual teeth of average size. Note that these areas vary from the
smallest to the largest by a factor of 3.3. Given the value of an applied
force and the tooth or segment to receive that force, the average stress in
the periodontal ligament may be obtained by dividing the force magni-
tude by the affected root-surface area. Using this approach, then, nearly
twice the force magnitude to displace a mandibular central incisor
should be applied to move a maxillary canine. Again, however, the key
parameter is specifically compressive stress and three, additional, impor-
tant factors must be considered in this analysis: (1) the direction of the
applied load, (2) the couple-force ratio (or type of displacement desired),
and (3) the load-time pattern.
Refining the procedure of selecting an initial orthodontic loading
magnitude to emphasize pressure and direction of load as criteria sug-
gests replacing the overall root-surface area with projected areas. Table 5-3
gives these projected root-surface areas from three perspectives: occlu-
TABLE 5-3. Projected root-surface areas in centimeters squared for average normal
permanent teeth presented from three perspectives
hand, the interrupted force that is cycled daily may have a magnitude
larger than that of the corresponding intermittent force due to (1) the
increased frequency of rest periods and (2) the generally longer accumu-
lated lime of total absence of the interrupted force between appoint-
ments. A reasonable procedure is to make the magnitude of interrupted,
orthodontic force the product of the corresponding, intermittent force
and the ratio of 24 to the number of hours the interrupted force is active
during the day.
Implicit in the considerations of responsive forces arising from the
application of crown loading is the existence at any specific time of the
quasi-static state defined in Chapter 2. Hence, the resultant of the dis-
tributed force system exerted on the root of a tooth under orthodontic
load is identical, for practical purposes of analysis, in all characteristics
except sense to the resultant of the force system applied by the appliance
to the crown. The appliance as well as the dentition exhibit this quasi-
static state. The reaction against the appliance accompanying the action
of the appliance is transmitted to the anchorage location(s). Focusing on
the appliance momentarily, the force system exerted by the anchorage is
equal in magnitude but opposite in sense to that exerted by the crown(s)
at the displacement site(s). In general, "anchorage" refers to stability,
and in orthodontics the anchorage supports the appliance, receiving the
responsive force system transmitted through the appliance to it. Al-
though in orthodontic therapy the entire force system developed by the
appliance is sometimes intended to produce displacements, more often
a portion of the appliance is attached to anchorage which, by definition,
is to be displaced very little or not at all. The rationale for the use of the
extraoral appliance is the location of anchorage external to the oral cav-
ity, against the back of the neck or the cranium. Intraoral anchorage is
often necessary or desirable, and the knowledge of the influences of the
various force parameters on orthodontic displacement have led to the
differential force concept.
The actual meaning of differential force, not unrelated to the
hypothesis of a physiologically proper force, is best explained by an
example. Consider the distal movement of a mandibular canine into the
space created by the extraction of the formerly adjacent first premolar.
Using intraoral mechanics exclusively, the distal driving force is created
by extending a helical-coiled spring or an elastic module between the
canine and the first molar. The forces against the canine and molar,
holding the activating appliance member in a stretched configuration,
are equal in magnitude (from a quasi-static analysis of that member) and
tend to move both teeth. The force against the molar, however, may be
distributed also to the second molar (if "tied" to the first molar) or the
second premolar (through crown contact). If the anchorage includes all
three posterior teeth mentioned, from the projected areas given in Table
5-3, the anchorage area is approximately 250% larger than that of the
canine. Accordingly, although the forces at the anchorage and displace-
ment sites are equal in magnitude, the average periodontal-ligament
stress is 3.5 times greater at the canine. The size of the active force (upon
188
Bioengineering Analysis of Orfhodontic Mechanics
189
Response of Dentition and Periodontium to Force
a)
Ca
a)
E
a)
0
/ / \
/I' \ Excessive
\ force
Threshold
force
\
As-Activated Force Magnitude
/ —
N
-
Fan
Resultant
HG: Headgear
Ill: Class Ill
00: Occlusion
II: Class II
FIGURE 5-28. Tipping the maxilla to open the bite anteriorly (left) and to close an open
bite primarily through posterior vertical action (right).
191
Response of Dentition and Periodontium to Force
0
o Solid: Appliance activated
Dashed: Appliance disengaged
I I
I
I
I I
I
I I I
I I I I
I I
I
I
I I
I
I I
I I
I
L
0 24 48 72
Time (hours)
Synopsis
References
Burstone, C.J., Pryputniewicz, R.J., Bullock, C., and Hubert, M.: Centers of
rotation of the human maxillary central incisor. J. Dent. Res., 61 IADR Ab-
stract 1095, 1982.
193
Response of Dentition and Periodontium to Force
Burstone, C.J., Pryputniewicz, R.J., and Weeks, R.: Center of resistance of the
human mandibular molar. J. Dent. Res., 60 IADR Abstract 822, 1981.
Gianelly, A.A., and Goldman, H.M.: Biologic Basis of Orthodontics. Philadel-
phia, Lea & Febiger, 1971, Chapter 4.
Nikolai, R.J.: On optimum orthodontic force theory as applied to canine retrac-
lion. Am. J. Orthod., 68:290—302, 1975.
Nikolai, Periodontal ligament reaction and displacement of a maxillary cen-
tral incisor subjected to transverse crown loading. J. Biomech., 7:93—99, 1974.
Readings
1. Given the design or actual structure or machine and the failure crite-
ria, to be obtained is the maximum allowable loading or input force
system.
2. Given the design, the loading or input, and the possible modes of
failure, computations are made to determine whether or not a failure
might occur in the actual structure or machine.
The analysis procedure follows a well-defined series of steps, regardless
of the format. First, a force analysis is undertaken, for the structure or
machine as a whole and for each member of the assembly, to obtain in
terms of the loading or input the components of the force system exerted
on the entire assembly and on each member at the connections. New-
ton's laws (Chap. 2) and the relationships governing continuity of dis-
placements may be used to carry out this first step. Second, the failure
criteria are established (fracture, excessive inelastic behavior, formation
or extension of a crack, or deformation beyond established bounds) and
196
Bioengineering Analysis of Orthodontic Mechanics
quantified for each member and for the structure as a whole. Each maxi-
mum permissible stress or deformation is modified in value by a "factor
of safety" to account for inadequacies in the theory or model used in the
analysis. Third, "critical" cross-sections and locations of maximum
stress therein are pinpointed within each member of the structure or
machine. Fourth and finally, the stresses and deformations at the critical
locations are obtained in terms of the force system exerted, and are
compared to the failure criteria as quantified to establish the structural
integrity, or lack of it, of the assembly.
A structural analysis of an existing structure or machine would be
undertaken when a change in the loading or input force system is con-
templated. Such an analysis would also be carried out as a primary facet
in the preparation of a new design. The overriding design objective is
always the creation of an assembly that is capable of sustaining, without
failure, the force system to be induced in it. Design constraints with
regard to space, materials, and perhaps aesthetics may also require satis-
faction. Several alternative designs may meet the principal design crite-
ria, and one may have to be selected through secondary considerations
or judgmental factors. Often, after choosing one design from among
those considered, further modification of it occurs that will not result in
infringement on the failure criteria; excess material may be removed
from regions of low stress, for example. In short, the preceding com-
ments are intended to suggest that design and analysis are closely re-
lated.
bracket to its pad or to the band, or in the bond of the pad or band to the
crown enamel. The latter is more common.
Attachment of the bracket assembly to the crown may be through
cementation of the metal (stainless steel) band that encircles the crown
or by bonding of the bracket pad to the facial or lingual surface. The
merits or disadvantages of one scheme versus the other may be argued
from several standpoints; however, of interest here is the structural
comparison. The force system transferred from bracket to crown must
travel through the cement or adhesive and the strength of the attach-
ment depends on the size and shape of the attachment area, the charac-
teristics of the force system transferred through it, and the inherent unit
strength of the cement or adhesive itself (internally, between it and the
band or pad, and its attachment to the enamel). The cement or adhesive
may be stressed in many directions because of the various force-system
components that may be present—individually and in combinations. In
addition, tensile and sheat strengths differ for a specific product and
between products. A detailed comparison would, therefore, be lengthy
and inappropriate here; however, two general comments are pertinent.
First, the bonding area of the band is at least double that of the typical
bracket pad; hence, the inherent strengths of the bonding adhesives
must be substantially greater than those of band cements. Second, the
more nearly uniform the stress distribution within the adhesive, the
stronger the bond; accordingly, failures of bonds of pads to enamel sur-
faces are more likely under loadings that tend to produce "peeling"
(from first- or third-order couples or from occlusogingival or mesiodistal
forces that have a moment arm with respect to the adhesive) or rotation
(from second-order couples) than when the force system is direct ten-
sion, shear, or compression.
The bracket-band and bracket-pad assemblies are compared pictori-
ally in Figure 6-1 as to stress generation within the bond resulting from
the application of a facially directed force. Although the uniform stress
distribution is desirable, the average intensity is less within the band
cement because of the greater area of attachment. Note also that a failure
within the band cement will not result in complete disruption of the
force-transmission path for the particular loading shown. Figure 6-2 il-
lustrates several other simple force systems against the bonded bracket-
pad assembly and the resulting stress distributions within the adhesive.
F,
stress
tensile stress
stress
FIGURE 6-1. Applied and responsive force systems exerted on bracket-pad (left) and
bracket-band (right) assemblies.
199
Introduction to Structural Analysis of the Orthodontic Appliance
Fa
F, tension
compressive compression
shear
stress
Arch wire
/
I P
Button
= P(e)
FIGURE 6-3. An elastic extended between a button and the arch wire to generate a
moment about the long axis of the tooth (occiusal views).
200
Bioengineering Analysis of Orthodontic Mechanics
0
( • I
cc
) C1=Q(e)
FIGURE 6-4. Occlusal views of a distal driving force exerted on the canine bracket (left)
and the equivalent force system referred to point CC (right).
pushing, and both facial and lingual surfaces are contacted by elements
of the appliance.
Accessibility contributes heavily to the rationale for placing the or-
thodontic bracket on the facial surface. Often resulting, however, is the
eccentric transfer of at least a portion of the appliance force system, as
noted in Chapter 5. Because the center of resistance is unreachable di-
rectly, the next most favorable reference point is on the long axis of the
tooth and occiusoapically at bracket level (point CC in the local reference
frame introduced in Chap. 5). Although through the bracket, labiolin-
gual force and any couple may be effectively applied at point CC, mesio-
distal and occiusogingival forces may not. These two components of
force, commonly existing in the activated appliance, because their lines
of action are in excess of one-half of the faciolingual crown width from
point CC, embody sizable rotational potentials often undesired.
Figure 6-4 (similar to Figure 2-17) presents occlusal views of a distal
driving force delivered to the canine bracket and the equivalent force
system at point CC. The couple (right) embodies the rotational tendency
of the force Q applied to the bracket; if the rotation is unwanted, an
equal but opposite (in sense) first-order couple must be generated
within the arch-wire-to-bracket force system or by means of some other
appliance-to-crown contact (through an eyelet- or button-to-arch-wire
ligation, for example). On the other hand, distolingual rotation of the
canine can be accomplished by using the distal driving force and a
mesially directed force applied through point CC, the latter created
through crown contact with the adjacent premolar; this force system is
presented in Figure 6-5. An occlusogingival force at the bracket tends to
d m
FIGURE 6-5. Occlusal view of a pair of forces acting on the canine crown as a couple
capable of producing distolingual rotation.
201
Introduction to Structural Analysis of the Orthodontic Appliance
extrude and tip the crown lingually or intrude and produce facial crown
Upping, depending on the sense of the force. Countering an unwanted
rotational potential is often attempted through placement of an active,
third-order twist in an engaged, rectangular wire. Figure 6-6 illustrates
the problem in attempting pure extrusion and the ideal elimination of
the accompanying Upping potential. (Alternatively, if lingual crown Up-
ping without extrusion is desired, it may be obtained through the sole
application of a third-order torque having the appropriate sense or with
a lingually directed force applied through point CC. The slight difference
in the two displacements, in terms of the locations of the centers of
rotation, was discussed in Chapter 5.)
The force system carried to the orthodontic bracket from the appli-
ance activation site(s) is transmitted primarily by the arch wire. The
bracket is designed principally to accommodate the arch wire and the
ligation completes the engaged confinement of that wire. Figure 6-7 (left)
presents a view of the ordinary edgewise bracket from a mesial or distal
perspective. The faciolingual and occlusogingival dimensions of the
bracket slot admit a range of cross-sectional sizes of round and rectangu-
lar wire. The "wings" occlusal and gingival of the slot provide support
F0
F0
C3 = Fje)
FIGURE 6-6. Extrusive displacements: with tipping, achieved with a force located oft of
the long axis (left) and with a force and couple having their resultant along the long
axis of the incisor (right).
202
Bioengineering Analysis of Orthodontic Mechanics
/Pad
Base
FIGURE 6-7. The typical edgewise bracket: mesiodistal view (left) and facial view (right).
for the ligature tie or elastic "0-ring" which, when in place, closes the
slot. (Pins, clasps, cams, and "locks" provide resistance to arch-wire
disengagement within other types of bracket assemblies.) The faciolin-
gual dimension from the lingual surface of the slot to the lingual extent
of the bracket itself is as small as strength and stiffness demands will
allow to minimize the distance from arch wire to the long axis (although
this "concept" is exchanged in straight-wire-therapy appliances for off-
sets built into the brackets). Figure 6-7 (right) illustrates a facial view of
the typical bracket. Edgewise brackets are classified by occiusogingival
slot dimension, by mesiodistal width, and by the absence or presence of
a vertical slot ("single" versus "twin"). Irrespective of slot size, the four
common bracket designations are: narrow-single, wide-single, narrow-
twin, and wide-twin (in order of increasing mesiodistal bracket width).
Bracket materials must be strong, stiff, and, true of all intraoral appli-
ance elements, chemically enert in the oral environment.
The so-called "universal" bracket design enables the transfer from
the arch wire of all six possible components of the force system carried
by the wire to it. The occlusogingival and faciolingual components of
concentrated force are transferred by direct contact of wire and slot or
ligation as viewed from the mesial or distal. Note that the facially di-
rected force from the wire pushes against the ligation, which may be less
stiff and have less strength than the bracket slot itself. Ordinarily, the
arch wire may be able to slide mesiodistally through the bracket slot,
depending on the wire-to-slot clearance and the type and tightness of
ligation. The transfer of the mesiodistal force component generally does
not rely upon friction; instead, it depends more positively on a stop
affixed to the arch wire or a ioop placed in the wire. The stop or loop
may make mesiodistal contact with a bracket, creating an action-reaction
pair of "push" forces, or force may be transferred between the loop and
the bracket by a simple auxiliary element capable of carrying tension (a
fled length of ligature wire, for example). Typical transfers of the three
force components between arch wire and bracket are illustrated in Fig-
ure 6-8.
The capability of the arch wire to effectively transfer first- and sec-
ond-order couples through the bracket and into the tooth crown is re-
lated directly to the mesiodistal bracket width. Each couple consists of a
pair of forces generated through wire-to-bracket contact at the mesial
203
Introduction to Structural Analysis of the Orthodontic Appliance
FIGURE 6-8. Transfers of concentrated force components from arch wire to bracket:
occiusogingival (left), faciolingual and lingually directed (center), and mesiodistal (right).
and distal extents of the bracket. As illustrated in Figure 6-9, and re-
called from discussions in Chapter 2, the couple magnitude depends on
force size and the shortest distance between the lines of action of the
forces. Accordingly, the potential couple size increases with the mesio-
distal bracket width. The clearance between arch wire and slot is also a
factor, which is discussed further in Chapter 7. In the generation of a
first-order couple, one of the forces arises from contact between wire
and ligation; hence, if the ligation has low stiffness, the capacity to trans-
fer this couple through the connection of arch wire to bracket is substan-
tially impaired. Accordingly, several alternative means of applying a
first-order couple or moment to the crown have been developed and
three are examined in Chapter 10.
A third-order couple may be transferred by a straight, round wire to
the bracket only by friction, but two more positive mechanisms are avail-
able to apply the third-order couple to the tooth crown. A rectangular
arch wire, having a diagonal cross-sectional dimension greater than the
occiusogingival width of the bracket slot, may transfer this couple
through two-edge contact within the slot. (The bracket slot must be stiff
enough not to "open" under this loading to the extent that the wire may
spin within it.) The distance between the two forces forming the couple,
then, is smaller than the diagonal dimension of the wire cross-section.
Wing Ligation
FIGURE 6-9. Bending couples transferred from arch wire to bracket-ligation system:
first-order couple (left), and second-order couple (right).
204
Bioengineering Analysis of Orthodontic Mechanics
P
II
I
Facial
surface
Torquing I I
loop I I
I I
I I
FIGURE 6-10. Transfers of third-order couples from arch wire to crown: by a rectangular
wire to the bracket (left) and by a ligated looped round wire (right).
205
Introduction to Structural Analysis of the Orthodontic Appliance
s(uperior)
F, Ft
Arch wire—
i(riferior)
L
FIGURE 6-1 1. Components of the force system in the arch wire transferred across the
midsagittal plane in the presence of symmetry: occkisal view (left) and coronal view
(right). Either sense of each component can exist.
"cut" through all portions of the appliance that span the midsagittal
plane. In many instances only the arch wire must be "cut," and the
symmetry demands that, of the six force-system components that could,
in general, be transmitted across the plane, only the three shown in the
sketches of Figure 6-11 may possibly be nonzero. Any analysis model
should take advantage of midsagittal-plane symmetry when the geome-
try and force system permit it.
Various phases of orthodontic therapy often treat groups of teeth as
if each group is an individual entity, either in the application of force to
produce wanted displacement (in the retraction of an anterior segment,
for instance) or in arranging anchorage (in intraoral, canine-retraction
mechanics, for example). In portions of orthodontic treatment, the adja-
cent central and lateral incisors may be considered as a single unit, and
so also may the second premolar, the first molar, and possibly the first
premolar (if not extracted) and the second molar (if fully erupted and
aligned). Such segmentation can substantially simplify analyses, partic-
ularly in the presence of midsagittal-plane symmetry.
Two distinct curvatures generally exist in the dental arch—that of the
anterior portion as observed from an occlusal perspective and the anter-
oposterior curvature as seen in a buccal view, the latter often termed the
"curve of Spee." In the analyses of many orthodontic procedures, the
effects of the curvature of the anterior segment may be suppressed with-
out significantly violating the overall structural integrity of the appli-
ance; such suppression serygs to simplify the geometric aspects of the
problem. With the exception of analyses of anteroposterior leveling me-
chanics, the effects of the curve of Spee often may also be neglected.
Furthermore, localized first- or second-order bends, although their ef-
207
Introduction to Structural Analysis of the Orthodontic Appliance
p
-1--I a
FIGURE 6-12. 0cc/usa! and bucca/ views of the continuous arch-wire model.
is formulated and found acceptable, the next steps are to check for the
presence or absence of midsagittal-plane symmetry and to determine
the number of necessary plane views together with the specific views to
be employed.
The entire appliance assembly, in general, is a combination of the
intraoral appliances contacting the individual (maxillary and mandibu-
lar) dental arches, any interarch attachments, and, if used, the extraoral
appliance. Each of the existing subassemblies, considering prior model-
ing, is separated from the others and the dentition, and is isolated; using
the necessary plane views, the force system exerted on each subassem-
bly is sketched. Included are all components arising from appliance-
crown contacts, intraoral forces associated with interarch interconnec-
lions, and force systems created through the activation of "headgear."
The directions of concentrated forces and dimensions or distances that
may be needed as moment arms are also shown in these sketches. Next,
the transmission of force through the appliance members is qualitatively
traced from the location(s) of principal activation(s) to (1) the sites of
wanted displacements and (2), if existing, the appliance-crown connec-
lions and any other contact locations intended to experience little or no
movement during the between-appointments period. If no anchorage
exists, the activation sites and the force system against the appliance will
be divided (halved) on either side of a plane of symmetry; in the major-
ity of such instances the activation is bilateral with symmetry with re-
spect to the midsagittal plane. The transmission of force is then followed
from the activation locations on either side of the plane to the plane of
symmetry itself, where action-reaction matching of the force-system
components is carried out. The total number of force and couple compo-
nents, exerted on the complete appliance assembly, may now be deter-
mined. From discussions in Chapter 2, in each plane view a total of
three, scalar, force- and moment-balance relationships are available
from Newton's laws and the concept of the quasi-static state of the appli-
ance. The number of force and couple components to be quantified will
exceed the number of quasi-static, balance equations by the number of
needed "load" versus deformation relationships associated with the ac-
tivation of the appliance.
The complete analysis will likely require a disassembly of the appli-
ances "on paper," separating the auxiliaries from the arch wires, and an
examination of each appliance member in a manner similar to that previ-
ously described for the principal appliance subassemblies. This detailing
will "expose" the force systems that exist at the sites of interconnections
between appliance members, and these systems are interrelated in pairs
through Newton's law of action and reaction. Each member of the appli-
ance assembly may be placed in one of two categories: (1) those mem-
bers that are physically deformed from their passive states to achieve the
activation of the assembly as a whole; and (2) those members in which
force systems arise in response to the activation. For the members in the
first category, if the entire force system external to and within the appli-
ance assembly is to be quantified, the amounts of activating displace-
210
Bioengineering Analysis of Orthodontic Mechanics
Passive
spacer
fl (representation)
F4 F4 F3 F3
(F3=F4)
FIGURE 6-13. The spacer unloaded and activated in direct compression (center) and
the adjacent teeth subjected to spacer action (facial views).
a,
0
0 Deformation
FC
FIGURE 6-14. Helical tension and compression springs (left and center); typical load-
deformation diagram for the linear spring (right).
0 a,
FIGURE 6-15. A helical compression spring making lateral contact with the arch wire
about which it is wound, midway between the spring ends.
215
Introduction to Structural Analysis of the Orthodontic Appliance
arch wire, as activated and making lateral contact with the wire midway
between the ends of the spring. A force balance indicates that the end
forces have vertical components that must sum to the force of the arch
wire against the spring coils. The lateral forces arise if the spring tends to
buckle laterally or if the section of arch wire, over which the spring is
wound, is curved. (An available spring assembly of interest is activated
by a pulling force against its "jacket" and an axial wire transferring force
from an end coil; the axial wire passes through the spring body. This
element exhibits favorable characteristics of both standard tension and
compression springs; it is loaded in tension, but activation actually com-
presses the spring. Accordingly, the assembly incorporates the closed-
coil "guard" against exceeding the elastic limit and the axial wire and
jacket prevent buckling.)
To activate a pulling force in a specific direction within the orthodon-
tic appliance, or to transmit a tensile force from one site to another, an
elastic may be used in place of the tension spring. The popularity of the
elastic, generally descriptive of the array of bands, 0-rings, modules,
chains, and threads of rubber or rubberlike polymeric materials, is asso-
ciated with its favorable characteristics of high flexibility, small cross-
sectional dimensions, and low cost. Free-body diagrams of the elastic
band (or ring or the looped and tied thread) and the module, loaded in
direct tension, are shown in Figure 6-16. A typical load-deformation
plot, similar to a portion of Figure 3-11, is also presented. An undesira-
ble feature of the elastic, associated with many polymeric materials, is
the tendency toward relaxation. Defined in Chapter 4, the result of re-
P Q
a)
0
Elastic
module
Elastic
band
0
Elongation
P
FIGURE 6-16. An elastic band or looped thread (left) and an elastic module or chain
(center) subjected to two-point tension, and an example load-deformation diagram
(right).
216
Bioengineering Analysis of Orthodontic Mechanics
a)
C
0
U-
I
loading
relaxation
0 Elongation
C))
C')
C)
C')
C)
0)
C Strain-hardened wire
Annealed wire
0 Tensile Strain
FIGURE 6-18. Tensile stress-strain diagrams tor annealed and resilient stainless-steel
wires having identical cross-sections.
Note that the tying process inelastically deforms the wire, adding to the
strain energy stored locally in the wire; each twist reduces the ductility
and the effective deformation to fracture. If the number of twists are
excessive and this cold-working process itself does not cause fracture, a
small additional load superimposed upon the activated ligation, in over-
all appliance activation or later from mastication, for example, might
cause the ligature to rupture. The longitudinal flexibility of the ligature
tie is practically nonexistent, despite its small cross-section; the elastic
modulus of its material, generally stainless steel, is high and the rela-
tively low stiffness site is that of the twist-tie.
In summary, ligature wire should be expected to carry responsive
force; it will not perform as an activating element like the elastic module
or the coiled spring. In its intended use (to close the bracket slot) and to
generate secondary activation (holding force), this wire serves well as
long as the localized embrittlement at the twist-tie is not so extensive
that fracture occurs with the superposition of masticatory force upon
appliance activation.
The rubber-band elastic may be stretched between two points, creat-
ing the action-response force pair shown in Figure 6-16, or it may be
activated in three- or four-point tension. In the "up-and-down elastic"
application (between the maxillary and mandibular arches) the element
may be looped around three or perhaps four brackets or spurs (affixed to
arch wire). Unless constrained locally at several points, the activated
218
Bioengineering Analysis of Orthodontic Mechanics
elastic will assume a configuration with the longitudinal strain the same
throughout its stretched length. If the load-deformation behavior of an
elastic band has been or can be obtained in two-point tension, an analy-
sis of the three- or four-point, equalized-tension problem can be accom-
plished. First, the magnitude of the tensile force existing throughout the
band is obtained from its effective elongation, which is one-half the dif-
ference between the passive and activated circumferential lengths, and
the load-deformation plot. Second, with the force magnitude the same
on either side of the bracket or spur (because the strains are the same),
as is shown in Figure 6-19, the direction of the delivered force (to the
bracket) bisects the angle formed by the elastic-band segments. The
magnitude of the delivered force is obtained from a force-balance on
/ I
— — — - I. — — -
P
elastic-band
segment
0 = 2(P cos 0)
P
the segment free-body diagram shown, with the equation given in the
figure.
Although elastics are always activated in direct tension and helical
springs are generally loaded uniaxially, the arch-wire segment spanning
several brackets may be subjected to one loading pattern or several pat-
terns concurrently. The most common arch-wire activation is in bend-
ing, and when activated in this manner, the wire behaves structurally as
a beam. Detailed discussions of arch-wire bending are contained in
Chapter 7, but some general comments are appropriate here. First, a
distinction is drawn between occlusogingival and faciolingual bending,
simply in terms of the direction of activation and the plane containing
the external force system. Second, the anchorage may be totally mesial
or distal of the activation site, or it may be divided between locations
mesial and distal to the activated section of the wire. For example, a
symmetric arch might use the posterior segments for anchorage in me-
chanics designed to intrude or extrude the incisors; the model of such an
arch is shown in buccal view on the left in Figure 6-20 and resembles the
cantilevered beam of Figure 2-29. A lingually malposed second premolar
might be tipped into alignment by a facially directed force, activated by
tying the adjacent arch-wire section into the premolar bracket. In this
example, the anchorage is split between the dental units mesial and
distal to the premolar, and an occlusal-view, free-body diagram of the
arch-wire segment, showing the concentrated faciolingual forces, ap-
pears on the right in Figure 6-20. Third, innumerable load-deformation
plots exist for a single arch wire in bending. Although each plot is ap-
proximately a straight line for metallic beams, if the deformations are not
large and the elastic limit is not exceeded, the slope (stiffness) is depend-
ent not only on the material and the size and shape of the cross-section,
but also upon the characteristics of the loading, including its position
with respect to the anchorage and, for rectangular cross-sections, the
direction of the loading with respect to the cross-sectional geometry.
When activating an arch wire to produce a crown force, the displace-
ment must be measurable so that the wire "works" during the between-
appointments period with the force induced having a physiologically
proper magnitude. Although such activations may readily be obtained
through displacements perpendicular (normal, transverse) to the long
I I
I
/ \
I
/
cp buccal occlusal
pp view view
FIGURE 6-20. Buccal and occiusal views of arch wires activated in bending by
transverse forces: the wire as a cantilevered beam (left) and with divided anchorage
(right).
220
Bioengineering Analysis of Orthodontic Mechanics
dimension of the wire, no matter how small the cross-sectional area the
longitudinal (mesiodistal) wire stiffness is much too great. Two proce-
dures are used to effectively reduce the mesiodistal stiffness of the arch
wire: (1) More flexible elements are incorporated, nearly always bilater-
ally, in series with the arch wire, generally stretched between the ends
of the wire and posterior anchorage. An example of this arrangement is
shown in the buccal view on the left in Figure 6-21. Often this is done in
anterior-retraction mechanics incorporating stops, springs, and, per-
haps, ligature wire or elastic thread. (2) A loop is bent into the arch wire
such as shown in the facial view on the right in Figure 6-21. The more
wire incorporated in the loop, the lower the resulting mesiodistal stiff-
ness. Because they are formed through inelastic bending procedures,
and most often activated in bending, loops are examined in some detail
in Chapter 7. Among other uses, loops are used in space-closing proce-
dures and to "unravel" crowded incisors.
Couples, as well as concentrated forces, may be transmitted between
arch wire and bracket or buccal tube. Two of the three couples or couple
components load the arch wire in bending; the third is associated with
activation in torsion. To produce an active, second-order bending cou-
ple, in the passive configuration an angular malalignment must exist, as
viewed from a facial perspective, between bracket slot or buccal tube
and the section of arch wire to be engaged. Accordingly, clinicians place
second-order bends in the wire or use preangulated brackets and tubes.
The mesiodistal bracket width can greatly influence the magnitude of
the second-order couple. Besides defining the distance between two
contact forces (generated between wire and diagonally opposed edges of
the bracket slot or buccal tube) forming the couple, for a given arch wire
increased width (1) reduces any second-order, angular clearance be-
tween wire and bracket slot or buccal tube, (2) decreases the adjacent
interbracket distances, and (3) tends to increase the as-activated, con-
tact-force magnitudes. In short, the wider the bracket or tube, the
greater the potential, second-order bending stiffness.
Many characteristics of the first-order couple are similar to those of
its second-order counterpart. Located in an occlusal plane, the first-
Hooks
Coiled
Buccal tube
Arch wire
FIGURE 6-21. Methods of increasing the longitudinal flexibility of the arch wire: a spring
stretched between hooks affixed to the wire and a terminal-molar buccal tube (left) and
a loop bent into the arch wire (right).
221
Introduction to Structural Analysis of the Orthodontic Appliance
Cd
Cm
P C,
C)
0
IJ_
ci
0
C)
Stiffness
(g-mm/deg)
Stiffness
(g/mm)
0 0
Deflection (mm) Rotation (deg)
FIGURE 6-23. Arch-wire load-deformation diagrams in bending; the active force system
is a transverse force (left) and a couple (right).
9
Cload
C., C action
Cleft
1P
Ce
DC6
FIGURE 6-25. Buccal views of a terminal molar subjected to tip-back-bend action in the
absence of net occlusogingival force (left), and a free-body diagram of one-half of the
arch-wire model showing fhe responsive, contact force system exerted by the dental
units (right).
Newton's law of action and reaction yields the couple at the first-molar
site. Because the half-arch is quasi-static, like the dentition, the entire
force system acting on it must be balanced in this view. In the absence of
substantial second-order bends mesial to the tip-back and, then, assum-
ing second-order clearance between premolar and canine brackets and
the wire, together with third-order clearance in the anterior section (or
round wire engaged and containing no torquing spurs), the response to
the couple loading must be in the form of occlusogingival forces mesial
to the activation site. The pair of equal, parallel vertical forces shown
form another couple, opposite in sense to the couple against the lip-back
bend; the product of one of the forces and the distance between the pair
of forces must equal the magnitude of the tip-back-bend couple in order
to yield a balanced force system exerted on the half arch wire.
The specific locations of the vertical responsive forces depend on the
bending stiffness and the passive geometry of the arch wire relative to
the bracket placements and their orientations, but most likely both will
act within the middle segment—perhaps against the second premolar
and canine. The net effect of the response tends to rotate the line of
middle-segment brackets clockwise, as viewed in Figure 6-25. If the arch
wire has high bending stiffness, the response to the couple loading may
travel to the incisal segment with a tendency there toward intrusion.
The sketch on the left in Figure 6-26 shows the combined effect of the
lip-back bend and an occlusogingival malalignment of buccal tube and
wire, the latter creating a tendency for extrusion. The action-reaction
counterparts of the force and couple against the molar are shown against
the posterior end of the half arch wire on the right in the figure. Again,
assuming ample second-order clearance throughout the middle segment
and no third-order activity in the incisal region, the response mesial to
the molar is again in the form of occlusogingival force. In fact, the total
force system exerted on the half arch wire by the engaged dentition may
be balanced, with the given action at the terminal molar, by a single,
resultant gingivally directed force as shown. The location of this balanc-
ing force is probably at the first-premolar site if the wire exhibits moder-
226
Bioengineering Analysis of Orthodontic Mechanics
P6
C6
0 (= P6)
ate bending stiffness, but all three teeth in the middle segment are likely
subjected to intrusive action. If the wire is very flexible, the second pre-
molar will receive the greatest portion of the distributed, intrusive po-
tential.
The third variation is the most common, found in mechanics de-
signed to establish posterior anchorage; the action against the terminal
molars is a combination of distal crown tipping and intrusion. Shown on
the left in Figure 6-27 is the right-side molar subjected to the counter-
clockwise couple and the gingivally directed force, The action-reaction
counterparts act against the posterior extent of the half arch wire on the
right in the figure. For a third time, assume that the response mesial to
the terminal molar is void of couples. Note that, although the addition of
one responsive, occlusogingival force could provide, in the free-body
diagram of the half arch wire, a vertical force balance, a moment balance
would be impossible. Accordingly, two vertical forces of mutually op-
posing senses are necessary to enable both force and moment balances.
Moreover, because the intermediate vertical force must have a magni-
tude equal to the sum of the other two forces and a sizable counterclock-
wise moment is necessary for the overall moment balance, the more
C6
-)
mesial of the two parts of the vertical, responsive, force system is likely
located in the incisal region as shown. Hence, the intermediate, vertical
force is exerted on the middle segment.
For each of the three active force systems against the terminal mo-
lars, three of the four steps in the previously outlined analysis procedure
have been discussed. Figures 6-25 through 6-27 show the desired (or
obtained) actions at the activation site, the terminal molar (step 1), and
the action-reaction transition to the appliance (the arch wire—with sym-
metry, the half arch) and the subsequent balancing of the force system
on the wire (step 2). The effects of the response elsewhere in the dental
arch, gained from a second action-reaction transition, were then noted;
the three variations in response in the order considered are pictured
from left to right in Figure 6-28 (step 3). The displacements that occur in
these mechanics are to be restricted to the terminal molar. Undesired
side effects, then, are movements within the middle and incisal seg-
ments produced by the responsive force systems. The ideal may not be
realized, however, inasmuch as the molar demands a sizable active force
system commensurate with its root-surface area, and this area is larger
than that of any of the teeth mesial to the molar.
Beyond keeping the active force system against the molar as small as
reasonably possible, considering the smaller root-surface areas of teeth
receiving responsive force, little further discussion of step 4 is reasona-
ble here. The distribution of responsive force is associated with the
structural behavior of the appliance, and in this instance knowledge of
arch-wire bending (flexure) is required—the topic of Chapter 7. It is
notably necessary, in particular when the tip-back couple is accompa-
nied by the intrusive force (see Fig. 6-27), to unitize the middle segment
rather than permit an individual tooth to take a majority of the vertical
response. Of concern, in addition, must be the intrusive responsive
force against the incisal segment seen in the third variation (Fig. 6-27
and Fig. 6-28, right). The potential for intrusive displacement is not only
strong because of the relatively small root-surface area of the half incisal
segment, but the line of action misses the center of resistance by some
distance if these teeth have typical angulations and, as a result, the
tendency for flaring is also present. One suggestion, assuming the intru-
sion and flaring are unwanted, is to place up-and-down elastics to trans-
fer a portion of the gingivally directed force to the maxillary arch. Alter-
natively, the patient could wear, for a portion of each day, an
FmId
F1
t I
FIGURE 6-28. The transfers of responsive force systems to the dentition resulting from
the terminal-molar activations of Figures 6-25 (left), 6-26 (center), and 6-27 (right).
228
Bioengineering Analysis of Orthodontic Mechanics
Synopsis
The objective of this chapter was to provide the reader with a founda-
tion, based in part on the concepts and procedures of structural analysis,
for the understanding of the topics of arch-wire bending and torsion,
extraoral-appliance force systems, and a variety of orthodontic treat-
ment mechanics, discussed from a bioengineering standpoint in the
final four chapters of this text. The uniqueness of the orthodontic appli-
ance, neither a structure nor a machine by their engineering definitions,
has been noted. The sequence of procedures in a general structural anal-
ysis was outlined, the entire process was seen as divisible into two main
portions (related to the external and internal force systems associated
with individual appliance members), and a four-step approach to the
analysis of the orthodontic appliance was introduced.
The complexity of the appliance was noted as to its geometry, mate-
rial characteristics, and the force systems transmitted between appliance
and dentition. When evaluating the continuous arch wire or an appli-
ance as a whole, the primary actions and responses may be examined in
a less complicated environment through reasonable modeling proce-
dures; preparation of an arch-wire model has been undertaken with the
importance of validity evaluation emphasized. Substantial attention was
given to the connection sites of appliance to dentition, in particular to
the orthodontic bracket and its characteristics with influences on both
the properties of the transmitted force system and the structural behav-
ior of the arch wire.
The orthodontic appliance was discussed as a quasi-static and inde-
terminate structure, and in this light the force-deformation characteris-
tics of a number of the more basic auxiliary elements were examined.
Mention was also made of the various formats and components of arch-
wire activation, the many stiffnesses that may enter into an analysis,
and the associated anchorage configurations; however, it is only an
overview with the two chapters to follow devoted to these considera-
232
Bioengineering Analysis of Orthodontic Mechanics
Suggested Readings
The orthodontic arch wire, more than any other form of structural mem-
ber, resembles a beam. The beam is characterized by its geometry, its
loading, and its response to the force systems exerted upon it. The longi-
tudinal dimension of this structural member is large in comparison with
its cross-sectional measurements; the interbracket distance, a character-
istic length for the arch-wire segment, is ordinarily at least ten times the
typical cross-sectional dimension. Beam loading, as well as its respon-
sive force system, generally consists of concentrated and distributed
forces directed perpendicular to the longitudinal dimension; couples
may be included in the force system. The applied forces and responses
may exist in more than one plane; the force system exerted on an arch-
wire beam may be directed occlusogingivally and/or faciolingually. The
activation of a beam is reflected in characteristic displacements with re-
spect to a passive configuration. The primary reference for beam defor-
mations is the passive, longitudinal beam axis that pierces the centers of
all of the beam cross-sections. Also associated with beam deformations
are the right cross-sections which, in the passive state, by definition, are
everywhere perpendicular to the beam axis. The two forms of beam
deformation of principal importance are the transverse deflection, the dis-
placement of a beam-axis point perpendicular to the passive orientation
of the axis at the point, and the cross-sectional rotation, not a twisting but
rather a tipping, angular displacement of the right cross-section.
In keeping with the model established in Chapter 6, the typical arch-
wire segment, to be activated in bending, is envisioned as passively flat
and straight. Depending on the plane(s) in which the bending occurs,
facial or occlusal views of the arch-wire beam are used in analysis. Most
often, the bending force systems are exerted by ligated brackets and
buccal tubes, although forces may be transmitted to the arch wire
through hooks or loops—by elastics stretched against them, for exam-
ple. When an auxiliary force acts on a wire in a direction oblique to it,
that force is decomposed into longitudinal and transverse components;
only the transverse component contributes directly to bending action.
Occlusogingival and faciolingual bracket and buccal-tube force systems
233
234
Bioengineering Analysis of Orthodontic Mechanics
(but not mesiodistal forces from, for example, stops, ties to anchorage,
or friction) are associated with the arch-wire bending problem. First- and
second-order couples, originating from angulations and two-point con-
tacts between wire and bracket or buccal tube, also enter into the bend-
ing analysis. The arch-wire segment, activated in bending through en-
gagement in brackets and buccal tubes, may test the analyst to
distinguish between the "load" and the responsive portion of the force
system; moreover, the arch-wire beam problem is generally quasi-stati-
cally indeterminate, necessitating the use of force-deformation relation-
ships in the solution in addition to force and moment balances. The
responsive force system, exerted by the "support(s)" of the arch-wire
beam, is the action-reaction counterpart of the force system against the
anchorage. Clearances between bracket or tube and wire often play a
role in the bending problem. Occlusogingival, dimensional differences
may be important to the determination of a transverse deflection.
Changes in shape from the passive beam (arch) configuration are gener-
ally consequences of bending activation; depending on the amount of
second-order clearance, for example, a faciolingual-plane couple may or
may not be developed at a support location as part of the bending force
system.
The many facets of the arch-wire bending problem already men-
tioned suggest a complex analysis procedure. Reasonable simpli-
fications, however, beginning with the straight-segmented, passive,
arch-wire model, enable a manageable examination of the significant
contributions to the analysis. A first bending example appears to be an
inversion of the lever of Figure 2-27. The member of Figure 7-1, how-
ever, is subjected to a transverse load located between two anchorage
sites. Characterizing the beam by its longitudinal axis, it is shown in the
5)
0
I- 2L 0
U-
Midspan,
transverse
stiffness
Midspan Deflection
sketch in the upper left in the figure, passively as a dashed, straight line
and having a solid, curvilinear shape following activation. Such an arch-
wire beam might be maintained in its deformed configuration by the
relative occiusogingival positions of three brackets. Assuming that the
initial position of the intermediate bracket represents a malalignment to
be corrected, the brackets at either end of the wire beam are affixed to
teeth that are not to be displaced; the anchorage might be termed "di-
vided" or "split." To make this first example straightforward, distances
between adjacent brackets are equal and sufficient second-order clear-
ances are assumed to exist such that no couples arise with activation.
The free-body diagram of the activated beam, shown in Figure 7-1
(lower left), is identical to that for a lever having the fulcrum at its mid-
point. Force and moment balances indicate that the support forces Qi
and QT are equal in magnitude and each is half that of the force P. but
none of the three can be quantified by a quasi-static analysis alone. To
approach the solution from this point, the configuration of the active
state, with respect to the passive beam-axis shape, must be examined.
Consider the wire as first engaged in only the support brackets, with
activation then achieved by depressing the midsection of the wire to
reach the slot of the intermediate bracket. The greater the vertical mala-
lignment, the larger the value of P upon full engagement. From fore-
going discussions of material behavior (Chap. 3), the expectation is a
linear force-deflection relationship for the metallic wire as shown on the
right in Figure 7-1. The slope of the plot is a bending stiffness, the quan-
tity needed to complete the solution; the product of this stiffness and the
activating deflection yields the magnitude of P.
With the foregoing as an introduction, this chapter develops with a
discussion in the following four sections of the geometric and mechani-
cal parameters involved in elastic beam analyses. Next, direct applica-
tion to activation and deactivation of arch wires in bending is under-
taken. Subsequently considered is the inelastic bending of metallic
beams toward an understanding of the influence of the placement of
permanent bends in an arch wire which is then to be activated. The
chapter closes with a structural analysis of orthodontic wire loops—their
characteristics and the influences of loop geometry and wire properties
upon activation and deactivation in bending.
ment to follow, the origin of the frame coincides with the geometric
center of the reference cross-section of the passive beam. The longitudi-
nal coordinate x is measured along the undeformed (straight) beam axis.
The y and z axes, completing the framework, are coincident with per-
pendicular axes of symmetry within the reference, right cross-section of
the beam before loading. Although the force systems associated with the
activation of arch-wire beam may be located in either the x-z or y-z plane
or in both, when the force system is three-dimensional in character,
separate "in-plane" analyses may be undertaken and the results subse-
quently superimposed. Accordingly, a plane of bending is defined as that
plane containing both the undeformed and the deformed longitudinal
axes of a beam, as well as the external load and responsive force system.
Arch-wire bending may be reasonably analyzed in parts, individually in
the faciolingual and occlusogingival planes as necessary, followed if de-
sired by superposition of the results. In discussions to follow the x-z
plane is the plane of bending and an angle 6 is introduced as a cross-sec-
tional, rotational coordinate.
As many as five displacement parameters may be associated with
in-plane bending. They are described here in their usual order of impor-
tance. First is the linear displacement of a beam-axis point perpendicular
to the passive beam axis, quantified by a z-coordinate measurement.
Second is the rotation of a cross-section, symbolically indicated by the
angle 6. These are the principal displacement parameters and both may
be expressed mathematically as functions of the longitudinal coordinate
x. Shown in the upper sketch of Figure 7-2 is a cantilevered beam sub-
jected to a concentrated load at its free end; in a separate sketch, the
undeformed (dashed) and deformed configurations of the beam axis are
depicted. A reasonable location for the origin of the x-z frame is the
center of the fixed-end cross-section, and indicated in the figure are the
transverse-deflection and cross-sectional-rotation parameters for an ar-
bitrary value of the longitudinal coordinate and for the "free" end of the
beam. The collection of transverse displacements of all beam-axis points
yields the deformed beam axis. Because, for all values of x associated
with the activated beam, continuity demands that the longitudinal axis
and rotated right cross-section be perpendicular to one another, 6 repre-
sents the slope of the beam axis, generally varying from one cross-sec-
tion to another.
A third displacement parameter designates the longitudinal shorten-
ing of the beam. With axial (longitudinal) force systems excluded in the
bending analysis, the curvilinear length of the beam axis is unchanged
by activation, but the x-coordinate distance between the ends of the
loaded beam is less than the length. Nearly always in the elastic bending
of engaged, activated arch wires, this form of displacement may be ne-
glected in its influence on other beam parameters, as is implied in the
symbols z(L) and 6(L) in the example of Figure 7-2. (In leveling proce-
dures within orthodontic treatment, however, because of high mesiodis-
tal wire stiffness and, often, the real presence of longitudinal loading,
this shortening can have a sizable influence on displacement potential,
237
Behavior of Orthodontic Wire in Bending
0(x)
z(L)
Neutral surface
five sense taken toward the stretched fibers. An in-plane bending activa-
tion results in all fibers having the same u-coordinate value experiencing
equal bending strains and, considering only circular and rectangular
cross-sections, the group of fibers undergoing no longitudinal strain co-
incides with the cross-sectional axis of symmetry perpendicular to the
plane of loading. In Figure 7-3 the apparent beam-axis fiber is actually an
edge view of the collection of unstrained fibers known as the neutral
surface of the beam. Because the cross-sections of arch-wire beams ordi-
narily do not warp upon activation of the member, the fiber-strain pat-
tern is associated solely with cross-sectional rotational deformation and
the strain values are, therefore, proportional to the u-coordinate loca-
tions of the fibers.
The overall beam shape in plane bending is represented by the cur-
vature of the beam axis, within and coincident with the edge view of the
neutral surface. In general, each point on the bending axis is associated
with a beam cross-section and has its own center and radius of curva-
ture. If all bending-axis points in a beam segment possess the same
center and radius of curvature, that segment is said to be experiencing
"pure bending," terminology that will be further explained in a subse-
quent section of this chapter. Figure 7-4 shows a very short segment of a
beam with a typical, relative rotation of one neighboring cross-section
with respect to another. The portion of beam axis within the segment
takes on, approximately, the shape of a circular arc with activation, and
the center of curvature of that arc is point C. The associated radius of
curvature is r and its inverse will be symbolized in this chapter by k. The
beam-axis segment is of curvilinear length 3x, where 5 generally indi-
cates "small amount of' or "small change in" the variable that follows it.
The angle 4 denotes the relative cross-sectional rotation. Because & is a
very short arc length and approaches in magnitude, and because the
longitudinal (bending) strain is the deformation per unit length of a
fiber having a passive length 8x, the relationship
or (7-1)
5x = =
GH=
Also,
GH
= 4
So,
= k(8x)
= e0(ôx)
U
FIGURE 7-4. The geometry from which may be derived, for an activated beam, the
relationship between the intensity of bending strains on a specific cross-section and the
beam-axis curvature there.
241
Behavior of Orthodontic Wire in Bending
(en)max
Neutral
axis
(So)rnax
the fiber strains are proportional to their distances from the neutral sur-
faces and, for beams with circular or rectangular cross-sections, the max-
imum tensile and compressive strains are equal in magnitude.
A typical fiber-strain pattern is shown on the left in Figure 7-5 with,
for cross-sections of interest here, the neutral surface (seen in edge view)
midway between the pictured longitudinal boundaries of the beam. The
corresponding bending-stress pattern is obtained from the stress-strain
law for the beam material and the established strains. Because arch-
wire-beam materials are reasonably homogeneous, the stress-strain rela-
tionship for any one fiber is that for the material as a whole. Since such
materials are metaffic, they behave within their elastic limits according to
Hooke's law. The theoretical development and results to follow reflect
equal material stiffnesses in tension and compression, a reasonable as-
sumption (verified by experimental research) well beyond the elastic
limit for beam material of interest. Shown on the right in Figure 7-5,
then, is the elastic, fiber- (bending-) stress distribution associated with
the adjacent strain pattern. At any specific point of the cross-section, for
totally elastic material behavior, the ratio of stress to strain equals
Young's modulus for the beam material. Increasing the beam loading to
produce inelastic action will not destroy the antisymmetry seen in the
figure, but it will change the relationship between the bending (fiber)
stress s,. and u from the linear pattern shown to a nonlinear pattern,
corresponding to the general plot of stress versus strain for a typical,
ductile, crystalline material (see Fig. 3-17, right).
P
2
FIGURE 7-6. A free-body diagram of the left quarter segment of the beam of Figure 7-1,
exposing components of the resultant of the internal force system at a specific cross-
section and permitting the determination ot their characteristics.
243
Behavior of Orthodontic Wire in Bending
support response and the shear component in the example are not col-
linear, a moment balance cannot exist without the presence of a couple
M at the "cut" site. (The symbol M is used because the couple is known
as the bending "moment" to the structural analyst.) The magnitudes
and correct senses of V and M from quasi-static analysis are given in the
figure for the example, simply-supported, split-anchorage beam. In ob-
taining these components a force analysis of the entire beam is necessary
prior to making the "cut" in order that V and M may be expressed in
terms of the load and longitudinal dimensions.
In the beam problems of interest here, an in-plane bending analysis
will involve external loadings consisting of concentrated forces and/or
couples located in the x-z plane. The internal components V and M will
be partially dependent on the load and will generally vary with the
longitudinal coordinate x from one cross-section to another along the
beam length. Using the example analysis as a guide, V may be seen to be
unchanged along a beam segment upon which no external force is ap-
plied while M, computed from force and distance, varies in a linear
fashion (increasing or decreasing with distance from the force to the
"cut" site). Proceeding from one cross-section to another longitudinally,
an encounter with an applied, concentrated force makes V "jump" to a
new value; M is also affected, but to a less dramatic extent. In the same
analysis procedure, encountering an applied, concentrated couple
makes the internal bending moment "jump," but the couple has no
effect on V.
In detailed beam analyses, plots of V and M versus the longitudinal
coordinate x are often sketched. Such diagrams, showing typical varia-
tional patterns of these resultant components of the internal force sys-
tem, are presented for the example problem below the free-body dia-
gram in Figure 7-7. The determination of the critical cross-section, the
location of the largest M value is important in beam analysis; the figure
provides that information for the example problem. Although not exhib-
ited in the example, a segment of finite length may exist in a beam in
which the bending couple M remains constant. Correspondingly, the
shear force V must be zero throughout the segment and the segment is
said to be in pure bending. Within the segment the deformed beam axis
has the shape of a circular arc and, therefore, every cross-section within
the segment has the same center and radius of curvature and, as men-
tioned previously, the same bending strain pattern.
The foregoing comments suggest the existence of relationships be-
tween the couple M and the bending stress and deformation patterns for
the general beam. Appropriate first, however, is a look at the influence
of the shear component V upon bending. Although V is related to M
(reflected in Figure 7-7 in that the slope of the M-diagram is everywhere
equal to the corresponding shear force), its direct effect on important
bending parameters is minimal. Experimental results have shown that
transverse deformations attributable to V are generally very small. The
component V is the resultant of the transverse shearing-stress pattern,
and the average and maximum shearing stresses are typically less than
244
Bioengineering Analysis of Orthodontic Mechanics
P P
2 2
P
2
L x
x
FIGURE 7-7. Shear and bending-moment diagrams below a free-body diagram of the
beam of Figure 7-1.
OP = (7-2)
F, =
F, M=
FIGURE 7-8. The internal bending couple as the resultant of the fiber-stress distribution.
246
Bioengineering Analysis of Orthodontic Mechanics
Neutral axis
=
3M = (SP)u
U
a "tiber"
r N Outline ot tensile
tiber-stress distribution
FIGURE 7-9. The contribution of the force in one beam fiber to the internal bending
couple M.
The moment arm for each fiber-line force 8P is the coordinate value u,
and the sum of the moments is M:
M = sum of [u(sn)6A1 (7-3)
64 and
and
c 6
c 32 h
d
where c = —
FIGURE 7-10. Second moments of area I arid section moduli I/c for circular and
rectangular cross-sections.
M= = (Sn)max1 (76)
= (Sn)erL (74)
The critical bending couple is, therefore, computed from mechanical and
geometric property values for the beam. The relationship between
and the loading parameters is obtained from a free-body analysis of one
of the two beam segments isolated by "cutting" the whole member at its
critical section. Finally, then, the elastic strength of a given beam sub-
jected to a particular loading configuration may be determined as maxi-
mum or limiting values of parameters associated with the active force
systems.
Beam Stiffnesses
or M=(EI)k (7-8)
FIGURE 7-11. An x-z-coordinate frame superimposed upon the passive (dashed) and
activated (solid) configurations of the longitudinal beam axis for the Figure 7-1 example.
250
Bloengineering Analysis of Orthodontic Mechanics
With the slope of the beam axis horizontal at midspan and the symme-
try, in effect the solution may be pursued from this point using only
one-half of the beam. The equation for the couple M is written from
free-body analyses of segments of the beam, or obtained from the M-dia-
gram, and substituted in Equation 7-8. The curvature k is then expressed
implicitly in terms of z and x as noted previously, and subsequent math-
ematical operations yield equations for 0 and z. In the example given,
the equation of interest is
PL3 P LEJ
or (7-9)
2L
At x =
P P (El
= 7.6k
L3
I I
3 3
FIGURE 7-12. The split-anchorage example beam with the applied, transverse force
moved to the one-third-span location: a free-body diagram of the entire beam and the
expression for the transverse stiffness at the load site (above, right).
At x = L:
P
x
4c'
P
252
Bioengineering Analysis of Orthodontic Mechanics
(Sn)eiL2
or (7-10)
3Ec
(Sn)eiL2 (eu)eiL2
or (7-11)
6Ec 6c
For the same reason that the stiffness was increased, the elastic range is
reduced when rotational beam deformation is constrained. In this exam-
ple, requiring the beam-axis curvature to be zero and exhibit horizontal
slope at its ends results in a 50% reduction in range.
Elastic range and strength are significant parameters in beam analy-
sis and design because they signify the onset of inelastic material behav-
ior. In the discussion of orthodontic bending, because the actual loading
is often induced by a transverse or rotational deformation, range is per-
haps the more important of the two. However, because arch-wire activa-
tion should normally not produce inelastic bending, the pertinent of the
two parameters (depending upon the loading) should be known or
quantified before engagement of the wire. Because of the interrelation-
ship among range, stiffness, and strength, with second- (or first-) order
clearance already seen as influencing the first two, it affects strength as
well. Just noted was the halving of in the example problem, as it
relates to the load on the beam, by eliminating that clearance at both
supports. Returning to Figure 7-7 and recalling Equation 7-7, making
no changes in the example problem other than eliminating clearances
at the supports results in a twofold increase in the critical value of the
load P (the elastic strength). Typically, alterations in bending param-
eters that raise (lower) beam stiffness will also raise (lower) the cor-
responding elastic strength and concurrently lower (raise) the elastic
range.
Thus far the discussion of bending behavior has concentrated on the
beam having split anchorage and subjected to a transverse, point load
applied between the supports. Two additional problems having ortho-
dontic application are the split-anchorage beam under in-plane, couple
loading and the cantilevered beam activated by either a transverse, con-
centrated load or a couple at its "free" end. As with the example prob-
lem, of interest are the anchorage responses, the locations of the critical
cross-sections and the associated, internal bending couples, the stiff-
nesses, ranges, and strengths, and appropriate comparisons among re-
sults. Shown in the upper sketch in Figure 7-14 is the free-body diagram
of a beam of span 2L activated by an external bending couple of magni-
tude M0. (The loading may either be an applied couple, or the couple
induced as a result of a clockwise, midspan, rotational deformation On.)
Rotational clearances are ample at the supports and the antisymmetry of
the deformed member helps in determining the responsive forces at the
ends of the beam. The internal bending couple is zero at each beam end,
increases linearly toward the middle cross-section, and at midspan it
"jumps" an amount equal to M0; the value of is M012. The stiffness
of interest is the ratio of the applied-induced couple to the cross-sec-
254
Bioengineering Analysis of Orthodontic Mechanics
M0
2L
M0
M0
x 2L
3M0
3M0
4L
M0 6E1 M0L
or 00= (7-12)
00 L (6E1)
(Sn)eiL (en)eiL
or (7-13)
3Ec 3c
Shown in the lower sketch in Figure 7-14 is the same beam except
that no cross-sectional, rotational clearance exists at either end support,
and as a result the anchorage response includes a couple in addition to
the transverse force at each end of the beam. Computations of the values
of the responsive components require the use of indeterminate-beam-
analysis methods and the constraints of zero slope of the beam axis at its
ends. The relationship between couple and cross-sectional rotation at
midspan for this beam is
M0 8E1 M0L
or 00 (7-15)
= = 8E1
(en)eiL
or (7-16)
P
= PL
=M0
FIGURE 7-15. Free-body diagrams of beams cantilevered from their left ends. The
free-end loads are a transverse force exerted on the beam at left and an in-plane
couple on the beam at right.
_________
256
Bioengineering Analysis of Orthodontic Mechanics
varies with x in a linear manner from zero at the right end of the member
to the maximum, value of PL at the built-in, left-end support. On
the other hand, the same beam on the right is loaded by a concentrated
couple at its free end and, with no net potential in the load to translate
the member, the response at the support is just an opposing couple. The
internal bending couple is unchanged from one cross-section to another
along the beam length (pure bending throughout); hence, even if the
applied couple M0 loading one beam was equal in magnitude to the
product PL for the other beam, the differences in M-diagrams indicate
unlike responses of the two, perhaps otherwise identical, members to
their loadings.
For the beam on the left in Figure 7-15, the stiffness of interest is the
ratio of the load to the transverse deflection of the free end and the
relationship is
P 3E1 PL3
or (7-17)
Of
(7-18)
or (7-19)
3Ec
With Mcrit equal to PL at the built-in end of the cantilever, the elastic
strength of the beam is
P = (sn)ei4 (7-20)
(Unless the transverse position of the right end of the beam is main-
tained by some partial support that would exert a vertical force upward
and, by its presence, change the problem entirely, a transverse deflec-
tion downward is induced by the given loading.) The range for cross-
sectional rotations of the free end of this beam is
(Sn)eiL (en)eiL
or (7-23)
Ec C
= (Sn)e11 (7-24)
TABLE 7-1. Dependence of stiffness, range, and strength in bending upon material and
geometric properties of round and rectangular wires
Cross-section
tr L2
Range (Sn)ei(E1) d1 h
ro L
tr L
Strength (Sn)ei d3 b(h2)
ro 0
TABLE 7-2. Effect of material of a solid arch wire, activated in bending by a transverse
force, upon stiffness, range, and strength
A gold
alloy 0.52 0.97 0.54
Type 302
stainless
steel 1 1 1
Elgiloy
(Cr-Co
alloy) 0.98 1.13 1.11
Nitinol
(Ni-Ti
alloy) 0.17 4.2 0.70
Beta
titanium
(Ti-Mo
alloy) 0.33 1 .86 0.61
'Given figures are not actual values, but, in each column, are compared to a typical value for the stainless
steel.
TABLE 7-3. Influence of cross-sectional dimensions of the arch wire upon stiffness,
range, and strength in occiusogingiva! and faciolingual bending by a transverse force
*Given figures are not actual values, but, in each column, are compared to the value for the wire indicated
by the asterisk (*)
tog: Occiusogingival bending.
4f1: Faciolingual bending.
Elastic
core
N
(5n)max
FIGURE 7-16. Bending deformation and stress patterns associated with inelastic
bending: cross-sectional rotation and bending-stress pattern of the activated state (left)
and permanent rotation and remaining residual bending stresses following total
deactivation (right).
F F
FIGURE 7-17. A simple wire loop: passive (left) and activated by mesiodistal pulling
(right).
_____
265
Behavior of Orthodontic Wire in Bending
'Teardrop"
FIGURE 7-18. Orthodontic wire loops: 'teardrop," '7," "L, ' and "box," from left to
right.
a Activation a
FIGURE 7-19. The mesiodistal-pulling activation of a loop (left) and the associated
force-deformation pattern including the graphic definition of the pertinent stiffness
(right).
266
Bioengineering Analysis of Orthodontic Mechanics
the loop reflects the Hookean behavior of its material. Because the load-
ing of the ioop produces bending deformation, this stiffness is affected
by the wire material (through its modulus of elasticity E) and by the size
and shape of the cross-section (through the parameter I). The curvilin-
ear length of wire within the ioop is also highly influential: the more
wire present in the ioop, the lower the stiffness. Also impacting stiffness
are the number and severity of bend placements, the procedures in
forming the bends and the overall loop geometry, and the relationships
between direction and sense of activation and those of the bend place-
ments in fabrication. Strictly speaking, two mesiodistal stiffnesses must
be noted, inasmuch as mesiodistal activation may be pulling or pushing,
the latter depicted on the left in Figure 7-20; these stiffnesses are gener-
ally unequal due to the presence of residual-sfress patterns left by fabri-
cation of the loop. Unfortunately, the influences on stiffness are too
complex to permit an analytic determination; desired quantifications
must be obtained experimentally.
Although the foregoing discussion pertains to mesiodistal loop stiff-
nesses, noteworthy in addition is the potential, multifaceted nature of
loop activation and the possible involvement of as many stiffnesses as
there are modes of activation. As can be seen on the right in Figure 7-17,
upon mesiodistal pulling activation the permanent bends at the base of
the loop tend to remain generally as bent (because the internal bending
couples there from mesiodistal activation are small) and a second-order
phenomenon appears. If appropriate compensation is not provided in
loop formation, second-order couples arise in the presence of inade-
quate wire-bracket clearances. The magnitudes of these tipping couples
depend heavily on the passive angulations of the loop legs with respect
to one another, the associated stiffness, the amount of mesiodistal acti-
vation, and the second-order clearances. Although not inherent in the
typical loop, first-order angulation can be incorporated in the leg fabrica-
tion to enable the generation of first-order-couple action upon engage-
ment.
p P
C,
FIGURE 7-20. Loop activations other than by mesiodistal pulling: the opening of a
simple reverse-closing loop by mesiodistal pushing (left) and an occiusogingival
activation of a stepped "L' loop (right).
267
Behavior of Orthodontic Wire in Bending
F F
FIGURE 7-21. An opening loop containing he/ices: passive (left) and activated by
mesiodistal pulling (right).
Mcrut
FIGURE 7-22. A free-body diagram of one-ha/f of the loop of Figure 7-17 showing the
location of and an expression for the critical internal bending couple.
269
Behavior of Orthodontic Wire in Bending
TABLE 7-4. Typical values of stiffness and elastic range for stainless-steel wire loops
subjected to mesiodistal-pulling activation*
but also that the bend placement has locally embrittled the wire mate-
rial, substantially reducing ductility within the bend. Accordingly, care
should be taken both to limit the severity of bends within the body of the
loop and to activate the loop to a state somewhat below its predeter-
mined elastic range. Table 7-4 contains approximate magnitudes of stiff-
ness and range associated with mesiodistal-pulling activation for several
common loops, but it is important to remember that both properties may
be influenced rather significantly by fabrication procedures and, there-
fore, variations in obtained property values for seemingly identical loops
prepared by different practitioners should be expected.
Synopsis
References
Suggested Readings
American Dental Association Specificaton No. 32 for orthodontic wires not con-
taining precious metals. J. Am. Dent. Assoc., 95:1169—1171, 1977.
Andreasen, G.F., and Barrett, RD.: An evaluation of cobalt-substituted nitinol
wire in orthodontics. Am. J. Orthod., 63:462—470, 1973.
Andreasen, G.F., and Hilleman, T.B.: An evaluation of 55 cobalt substituted
nitinol wire for use in orthodontics. J. Am. Dent. Assoc., 82:1373—1375, 1971.
Andreasen, G.F., and Morrow, R.E.: Laboratory and clinical analysis of nitinol
wire. Am. J. Orthod., 73:142—151, 1978.
Brantley, W.A.: Comments on stiffness measurements for orthodontic wires. J.
Dent. Res., 55:705, 1976.
Brantley, W.A., Augat, W.S., Myers, C.L., and Winders, R.V.: Bending defor-
mation studies of orthodontic wires. J. Dent. Res., 57:609—615, 1978.
Brantley, W.A., and Myers, C.L.: Measurement of bending deformation for
small diameter orthodontic wires. J. Dent. Res., 58:1696—1700, 1979.
211
Behavior of Orthodontic Wire in Bending
FIGURE 8-1. Side view (left) and end view (right) of a straight, solid, circular shaft.
275
Delivery of Torque by the Orthodontic Appliance
and stresses (caused by shaft weight, for example) are assumed negligi-
ble (or such effects can be superimposed on the torsion analysis). The
line MN is on the outer surface and, in the passive state, is parallel to the
axis of circular symmetry of the member; point 0 is on the axis of geo-
metric symmetry. The end cross-section is a right cross-section; the
angle MNO is a right (900) angle.
Figure 8-2 depicts the deformation of the shaft, externally visable,
following the application of torsional loading to its "free" end. The re-
sultant of the load is a couple T, which represents torque and distin-
guishes this force system from an applied bending couple. Because the
shaft is not rigid and only its fixed end is restrained from movement, a
rotational deformation is distributed along the length of the member as
characterized externally by (1) the distorted shape of the generator (la-
beled MN' as activated); (2) the unaltered, straight-line configuration of
the shaft axis; and (3) the rotation of the reference, free-end radius to the
as-activated position ON'. The radii remaining straight lines and the
shaft axis undeformed by the loading are a combined result of the char-
acteristics of the load and the symmetry of the member; as the magni-
tude of the applied couple is increased, indefinitely until fracture begins,
the pattern of deformation remains that shown in the figure. The
amount of "twist" of the free end (with respect to the fixed end) of the
shaft, the angle NON' in Figure 8-2, is, however, directly related to the
magnitude of the couple loading. The evidence of longitudinal shear
resulting from torsional activation is obtained by imagining the unwrap-
ping of the outer surface, "skin," of the deformed shaft. The flattened
skin is rectangular, having dimensions L by the shaft circumference, and
is pictured in Figure 8-3. Corresponding to the change in inclination of
the generator, any small area of the skin that is passively rectangular
deforms into the shape of a parallelogram, as shown, upon activation of
M
Torsional
couple
FIGURE 8-2. The shaft of Figure 8-1 subjected to a torsional couple applied at its free"
end.
276
Bioengineering Analysis of Orthodontic Mechanics
Shaft circum-
fererice
L —
FIGURE 8-3. The outer surface of the shaft of Figure 8-2; the shaft "skin" has been
unwrapped and flattened into a plane, but not otherwise further deformed.
the shaft; the demise of the right angles of the rectangle is the indication
of shearing strain.
In the example under discussion the load is the torque input at the
right end of the shaft; the torque is transmitted the length of the member
and into the left-end support. A free-body diagram of the entire shaft is
shown on the left in Figure 8-4; only the single couple loads the member
and a moment balance for the static shaft yields a resultant, responsive
couple of the same magnitude T at the fixed end. An analysis of any
Responsive
torque
=T Internal
torque
=T
Applied I T
I
torque
I T
I— e
FIGURE 8-4. Free-body diagrams of the shaft of Figure 8-2; the entire shaft of length L
(left) and a portion of the shaft of arbitrary length t (right) measured from the free end.
277
Delivery of Torque by the Orthodontic Appliance
portion of the shaft, such as that shown on the right in Figure 8-4,
indicates that the resultant of the internal force system on every right
section is a torsional couple equal to T. Further indication that the inter-
nal torque is the same on all right cross-sections between the shaft ends
is the constant slope of the deformed generator MN' in Figure 8-3. (The
internal bending couple in a beam changes from one right cross-section
to another, when the loading includes transverse forces, due to the
moment-arm changes; the shaft, however, is directly analogous to the
beam in pure bending.) The deformed generator has an apparent curvi-
linear shape as viewed in Figure 8-2, but, in the general torsion problem,
it is made up of a series of straight lines in the "plane skin" view with
sites of slope changes corresponding to locations of external torsional
couples.
In between torque input-output locations, relative rotational dis-
placements of cross-sections exist; the amount of relative twist is directly
proportional to the longitudinal distance between cross-sections. In the
example shaft, the absolute rotation of the left-end cross-section is zero
as constrained; the relative rotations are simply additive along the shaft
length (because no intermediate external couples are present) and sum
to the rotation of the free-end cross-section. This free-end displacement,
indicated by the angle NON' in Figure 8-2, is the twist produced by the
input couple T; it is symbolized by the Greek letter 4 (phi) and is analo-
gous to the bending-deformation angle 0. Note that torsional loading of
the straight, circular shaft warps no cross-section of the member.
The character of unit deformation (strain) on the surface of the shaft
is determined by comparing the active and passive configurations of a
skin element. Consider a small rectangle, with its sides parallel and per-
pendicular to the shaft axis, as the passive element. Torsional loading
displaces the element circumferentially and distorts it with negligible
changes in the side lengths. As deformed, the element takes the shape
of a parallelogram, indicative of the presence of shearing strain. The
passive and activated elements are shown in Figure 8-3 and, in an en-
larged view, in Figure 8-5. As noted in Figure 8-5, the angular distortion
of the element (the angle between the passive and active configurations
of the generator at a specific, cross-sectional location) is the localized,
surface shearing strain. Shearing strain was initially defined in Chapter
3; Figures 8-5 and 3-14 are similar, although exhibiting rotational and
straight (linear) shear, respectively. For a shaft experiencing only tor-
sional loading, all deformed generators are similar, indicating axial sym-
metry in the surface shearing-strain pattern. For the example problem
under study, the surface shearing strains are everywhere equal and are
by the magnitude (in radians) of the angle NMN' in Figures 8-3
and 8-5.
For any shaft cross-section, the axial symmetry results in internal
shearing strains varying only with the radial coordinate. The circumfer-
ential shearing strains for any specific radial coordinate r are all equal
and the maximum shearing strains exist at the shaft surface (where
278
Bioengineering Analysis of Orthodontic Mechanics
I I
I I
shearing
strain (es)max
FIGURE 8-5. Small element of the outer surface of a straight, circular shaft shown
enlarged (from Figure 8-3) and exaggerated in passive (dashed) and activated (solid)
positions and shapes.
r = R). Because torsional loading does not deform the shaft axis, where
r = 0 no shearing strains exist. Moreover, for the circular shaft, since
radii from the shaft axis remain straight with activation (ON becomes
ON' in Figure 8-2), no radial shearing strains exist and the magnitude of
circumferential shearing strain at a point is directly proportional to the
coordinate r.
Shearing strains at a point generally vary with the passive orientation
(edge directions) of the rectangular element there. Shearing strains are
always accompanied by shearing stresses. Shearing stresses of equal
magnitude exist at a point at right angles to one another in pairs, and the
stresses of interest in the arch-wire torsion problem are longitudinal and
circumferential; note the element orientation in Figure 8-5. For a crystal-
line material, paired shearing stress and strain are proportional to one
another up to the elastic limit in shear. A stress-strain diagram in shear
for a ductile, metallic material is depicted in Figure 8-6; this is a repeti-
tion of one plot in Figure 3-19. The material stiffness in shear, also
known as the modulus of rigidity, is the slope of the linear portion of the
curve and is usually symbolized by G. The stiffness G and the modulus
of elasticity in tension or compression are interrelated; for metals and
alloys G is typically about O.4E. Also for ductile metallics, the elastic-
limit stress in shear is approximately one-half of its counterpart in ten-
sion.
279
Delivery of Torque by the Orthodontic Appliance
(1)
0)
0,
a)
U)
0)
C
0)
ci)
U)
Elastic limit
in shear
Shearing Strain
FIGURE 8-6. Characteristic plot of stress versus strain in shear for a metallic material.
parallel
to the
shaft
axis
*
ss
/* a
FIGURE 8-8. An end view into an internal cross-section of the shaft of Figure 8-2
showing circumferential shearing stresses on two elemental areas.
T sum of (8-1)
(Ss)max
Resultant
torque
T= (5s)max
[sum of (r2&A)] (8-3)
(8-4)
T= T= (ss)m;xITR3
or (8-5)
283
Delivery of Torque by the Orthodontic Appliance
ci,
-C)
C)
a
a
Tei)
Torsional
stiffness
FIGURE 8-10. Plot of activating couple versus free-end twist angle for the shaft of Figure
8-2.
284
Bioengineering Analysis of Orthodontic Mechanics
The formula sought, the ratio of torque to twist, obtained through elimi-
nation of shearing stress and strain from the equations noted, is
TirR4GJG
2L L
(-)
88
Torsional stiffness is seen to depend directly upon the shaft radius and
the modulus of rigidity of the material and inversely upon a characteris-
tic length. Again, note the similarity between this formula and its coun-
terpart in the bending developments of the previous chapter.
The coordinates of the elastic-limit point of the plot in Figure 8-10 are
critical twist angle and the critical torque. In general, the critical cross-
section of an activated shaft is that where the internal torque is a maxi-
mum and, typically, a critical shaft segment exists. In the example shaft
of Figure 8-2 all cross-sections are critical and the critical segment is the
entire shaft. If a continuous arch wire is delivering third-order action
(torque) to the incisors, the critical "shaft" segments are generally be-
tween the canines and the lateral incisors. Under critical conditions, the
maximum shearing strains in the shaft are the elastic-limit values for the
shaft material. The critical twist as described, then, is the elastic range
for the shaft and, from Equations 8-6 and 8-7, its formula may be
derived:
— (es)eiL — (55)eiL
(89)
1? — RG
— (ss)eil (5s)eIITR3
Tcrit (8-10)
— R — 2
In the example problem, because the entire shaft is the critical segment
and the internal torque is everywhere equal to the applied couple at the
free end of the shaft, the value obtained from Equation 8-10 is the elastic
strength of the shaft in torsion.
285
Delivery of Torque by the Orthodontic Appliance
1. The axial symmetry, not only in geometry but also in loading and
structural response, leads to the least complex formulas for torsional
stiffness, range, and strength.
2. This theory provides a basis from which to generate corresponding
relationships for the shaft having a rectangular cross-section.
3. Third-order force systems cannot be directly transmitted between
round wire and bracket, but can be delivered from round wire to
crown by means of torquing spurs and, therefore, circular-shaft the-
ory has application to specific orthodontic appliances.
T f3bc3G
= Tcrit abc2(Ss)ei
aL(es)ei aL(ss)ei
— /3cG
The coefficients alpha (a) and beta (/3) have values that are dependent on
the ratio of b to c; the relationships are presented graphically in Figure
8-11 and representative coefficient magnitudes are given in Table 8-L-
Both coefficients are seen to increase monotonically, and, as the b-to-c
ratio becomes large, they individually approach as an asymptote the
value of one-third. A cursory examination of Equations 8-11 suggests
that square (b = c) shafts are stronger and exhibit higher torsional stiff-
ness than "ribbon" shafts (b >>c) having the same cross-sectional area.
The cross-sectional stiffness parameter, analogous to I for the circular
shaft, is seen to be proportional to b(c3). In general, the smaller of the
two cross-sectional dimensions, c, seems to be the more influential, but
the contribution of the b-to-c ratio also has some impact. The material-
and length-parameter influences are assumed, by the chosen forms of
the empirical expressions, to be the same as for the circular shaft; the
determination that these parameters do not impact the values of a or /3,
for a specific ratio of b to c, ensures the validity of that assumption. Also
note that the individual influences of the two cross-sectional dimensions
depend upon the plane of bending when the member is subjected to
transverse (flexural) loading; in torsion, the only load "direction" is lon-
gitudinal and, therefore, the cross-sectional dimensions of the shaft af-
fect a specific dependent parameter (e.g., elastic range) in a singular
manner.
/3
0.33
0.30
0.20
13
lic
b
0.10
0
0 1.0 2.0 3.0 6.0
Ratio of b to c
FIGURE 8-11. Plots of the coefficients and /3 as functions of the ratio of cross-
sectional dimensions of the rectangular shaft.
287
Delivery of Torque by the Orthodontic Appliance
TABLE 8-1. Coefficient values for specific ratios of cross-sectional dimensions for the
rectangular shaft
b/c a f3
Resultant
torque
Strains are seen to be zero at the center of the cross-section and at each
of the four corners; the corners remain right angles when the shaft is
loaded. The shearing strains change in magnitude nonlinearly from the
center (axis) point outward; the patterns are antisymmetric along any
line passing through the center point and the cross-section boundary.
Shown in the figure are the strain patterns along the axes of symmetry in
the plane of the cross-section and a diagonal through a corner. The
maximum values of shearing strain on the cross-section occur at the
outer-surface points that are along one axis of symmetry; these are the
closest surface points to the shaft axis.
T=T1+T2
Responsive
torque
( Applied
—
1torque T Responsive
torque
T1
€1 €2
FIGURE 8-13. A straight shaft restrained against rotation at both ends and subjected to
torsional loading at an intermediate cross-section.
F6
C6
F3
F3 = F5 + F6
FIGURE 8-14. Free-body diagrams of the buccal view of an arch-wire model subjected
to anterior, torsional loading. Posterior-segment response shown in its resultant form
(left) and as distributed among dental units (right).
291
Deliver,' of Torque by the Orthodontic Appliance
system exerted on it: a third-order couple against the half anterior seg-
ment and an equal, but opposite, second-order couple from the posterior
segment. On the right in Figure 8-14, the posterior response is shown in
some detail, including occlusogingival forces, which must obey an oc-
clusogingival force balance, and diminishing second-order responses
from individual dental units within the posterior segment. The distribu-
tion of torque within the anterior segment is considered subsequently.
Another example of third-order mechanics exhibiting midsagittal-
plane symmetry is that of bilateral torquing of the terminal molars or the
buccal segments. Figure 8-15 illustrates transverse views of two acti-
vated appliances from a posterior perspective. On the left is the arch-
wire model, sketched as if the anterior teeth are not engaged. The bilat-
eral torsional activation results in bending deformation of the anterior
portion of the arch, exaggerated in the absence of anchorage response
there. On the right is shown a transpalatal bar engaging the molars,
contacting the lingual crown surfaces. If the bar is very stiff, under bilat-
eral torque no response of consequence will exist between it and the
palatal vault. In both sketches the moment balance is inherent in the
activation; the couples on the left and right sides of the arch are equal in
magnitude, but opposite in sense to one another.
As noted in Chapter 7, when the responsive force system in bending
is distributed over several individual dental units, that distribution is
nonuniform with the tooth or teeth nearest to the activation site provid-
ing the largest portion(s) of the response. The same is true in torsion.
For example, if the first molar on the left side is torqued, the second
premolar and, if present, the second molar are the principal anchorage
units. If the buccal segment on the left side is alone subject to third-order
activation, and a continuous wire engages all three segments, the re-
sponse is distributed principally in the anterior segment, and the inten-
sity of the distribution decreases with curvilinear distance along the wire
from the activation site. The free-body diagram of the model arch wire
from a posterior perspective is shown in Figure 8-16. Torque in the buc-
FIGURE 8-15. Bilateral torsional activation of the buccal segments posteriorly viewed;
reactions against an arch wire (left) and a transpalatal bar (right).
292
Bloengineering Analysis of Orthodontic Mechanics
F1 F1,
c2(
FIGURE 8-16. Free-body diagram from a posterior perspective of a continuous arch wire
subjected to unilateral torquing associated with activation of the left buccal segment.
FIGURE 8-17. Unilateral, right-side couple loading of a transpalatal bar and the
response as viewed from the posterior: clockwise activation (left) and counterclockwise
activation (right).
293
Delivery of Torque by the Orthodontic Appliance
cp
segment support Ta
FIGURE 8-18. Buccal-view diagrams of the arch wire and anterior teeth with third-order,
anterior activation. Vertical displacement potential associated with the torquing action
(left) and a free-body diagram (center) together with crown loading (right).
294
Bloengineering Analysis of Orthodontic Mechanics
Fpe
Tar
Ta.
Tar
FIGURE 8-19. Occlusal-view diagrams of the arch wire associated with anterior,
torsional loading: the posterior, buccal-displacement potential (left) and the free-body
diagram assuming no initial, transverse, arch constriction (right).
tems resulting from third-order loading on both sides of the arch are
carried mesiafly by the arch wire toward the midline. A free-body dia-
gram of the wire, viewed from the posterior, is illustrated on the left in
Figure 8-20. The canines in this example are assumed to be within the
posterior segments. Occiusogingival, responsive force systems are ex-
erted by the incisal pairs and, to balance the system, forces must also be
induced in the buccal segments. The force system exerted against one
maxillary incisal pair is shown on the right in Figure 8-20. Note that
changing the senses of the posterior-segment torques reverses the pat-
tern of the bending potential in the anterior section of the wire and the
senses of the secondary responses.
Tpr
Anchorage
L Applied
torque
Equal
permanent
twists
Unequal
permanent
twists
perm
i-I
.+
T7 T45
FIGURE 8-23. The partitioning of anchorage in the example of the torqued first molar
with equal (left) and unequal (right) permanent pretwists.
30° of
incisal torque
FIGURE 8-24. A buccal view of a rectangular arch wire held at midarch with pliers,
indicating that 30° of torque has been placed.
Third-order clearance =
Angle VWX — Angle VWY
FIGURE 8-25. Third-order clearance between rectangular wire and edgewise bracket:
schematic with geometry (left) and an example quantification (right).
301
Deliveiy of Torque by the Orthodontic Appliance
TABLE 8-2. Third-order clearances between rectangular arch wires and bracket slots
the third-order activation, the slot will "open" slightly as the wire at-
tempts to deactivate, torsionally, within it. Although stainless-steel
brackets apparently exhibit adequate "slot stiffnesses," vendors have
had to reinforce the slots of some plastic brackets and they continue to
seek reduced slot flexibility through improved designs and materials.
Many clinicians conveniently refer to "torque," quantitatively, in
terms of the size of the permanent-twist placement(s) in degrees.
Pretorqued brackets are sized, in part, according to the third-order an-
gulations of their slots with respect to a faciolingual reference. Just as the
units of orthodontic force are, properly, grams or ounces, however, ac-
tual torque is determined in gram-millimeters or ounce-inches, for ex-
ample. To quantify torque correctly as a couple, the combination of shaft
stiffness and twist activation are necessary. Earlier in this chapter pri-
mary influences were seen to be the cross-sectional dimensions of a
solid, rectangular wire (shaft) in determining structural parameters in
torsion. Table 8-3 presents relative theoretical values of elastic stiffness,
range, and strength in torsion, per unit shaft length and a common
material, for four rectangular wires: typical working- and stabilizing-
wire sizes associated with the .018- and the .022-in, bracket systems. The
torsional stiffness of the largest wire is seen to be nearly five times that
of the smallest wire in the table. Also noteworthy is the inverse relation-
ship between size and range. (Nominal dimensions, Equations 8-11, and
Figure 8-11 were used in the preparation of Table 8-3.) Additional influ-
ences on all three dependent, structural parameters are the wire mate-
rial, longitudinal dimension, and the physical character of the wire
shaft. Pertinent to physical character, rectangular wire is now marketed
*Given figures not actual values, but, in each column, compared to value for wire adiacent to asterisk (*)
302
Bioengineering Analysis of Orthodontic Mechanics
The nominal bracket-wire clearance for the arch of Figure 8-26 is approx-
imately 3°; the horizontal-axis intercept (dotted extension of the linear
portion of the plot) is slightly greater than 3°, reflecting the flexibiities of
the bracket-slot and ligation.
If the elastic range is sufficiently great to disallow inelastic behavior
during activation, and not minimizing the importance of bracket-wire
clearance, the dominant, indispensable parameter to convert the activat-
ing twist into torque induced is the third-order stiffness. Shaft theory,
examined earlier in this chapter, indicates that, in addition to material,
stiffness of a solid, rectangular arch wire depends on cross-sectional size
and longitudinal dimension. In the bilateral delivery of torque to the
incisal segment, "longitudinal dimension" refers, in essence, to the
amount of wire between the canine and the lateral incisor. Table 8-4
presents third-order stiffnesses obtained through bench experimenta-
tion (Wagner, 1981) for 16 maxillary incisal-segment torquing arches.
The material was moderately resilient stainless steel, and the occlusal-
view arch form coincided with the Bonwill-Hawley diagram. Particularly
notable are the decreases in stiffness related to the localized, inelastic
wire deformation: the permanent-twist placements and the "V" bends.
The values in Table 8-4 should be looked upon as indicating trends be-
cause of differences in arch lengths among patients; further reductions
Torque by the Orthodontic Appliance
217
10 20 30 40
view) are not to change during the displacement, the initial torque mag-
nitude will remain constant (assuming no relaxation of the wire). Ac-
cordingly, the driving force should also experience no decrease in size
with time and segment movement. In reality, this is an impossible set of
mandates to the appliance and, therefore, some compromise must be
accepted and undertaken in actual therapy. Alternatively, the torque is
the principal activation in root movement. The accompanying faciolin-
gual force is primarily responsive; as a secondary activation it arises
against the tendency of the torque to move the crowns as well as the
roots. The objective is to produce a displacement characterized by a
center of rotation located occlusoapically near the bracket level; the liga-
tion and anchorage must be sufficiently strong and stiff to permit rapid
development of a holding force and adequate to prevent sizable dis-
placements of crown points while the torque deactivates with the
wanted movements of the roots.
The discussions of transverse, orthodontic displacements in Chapter
5 revealed that the couple-to-force ratios for bodily and root movement
are quantitatively similar. Using the physiologically proper force theory
proposed in Chapter 5, for average-sized, maxillary, incisal segments
the total intermittent torque requirement is between 3000 and 3500
g-mm at activation. The accompanying faciolingual force is 200 to 300 g
and is split between the two sides of the arch. All four rectangular wires
of Table 8-4 can generate in excess of 3500 g-mm of torque within their
elastic ranges. For a chosen rectangular arch-wire size and configura-
tion, together with bracket selection to enable determination of clear-
ance, substitution of the torque requirement and the working stiffness
into Equation 8-12 enables estimation of the appropriate amount of twist
activation.
The combination of arch curvature and anterior torsional activation
produces several secondary effects that were mentioned previously. Of
these effects, perhaps the one of most interest and concern pertains to
control of the vertical position of the segment while faciolingual bodily
or root movement is progressing between appointments. Any changes
in the level of third-order activation in the anterior segment is accompa-
nied by a tendency for occlusogingival movement of the anterior section
of the wire. Consider, for example, the anterior portion of the wire at
305
Delivery of Torque by the Orthodontic Appliance
306
Bloengineering Analysis of Orthodontic Mechanics
FIGURE 8-27. Facial views of torquing spurs: a single, narrow spur engaging an
individual crown (left) and a T-loop contacting a pair of teeth (right).
affixed to an arch wire or an integral part of the wire. The spurs may be
attached to or part of a continuous arch wire or incorporated in an auxil-
iary (as in the Stage III appliance of pure Begg therapy). A single spur
may contact an individual crown as shown on the left in Figure 8-27,
engaged between the wings of a siamese or in a Begg bracket, or one
spur may act on several teeth as suggested by the T-loop on the right in
Figure 8-27.
The typical lingual root torque generated by a torquing spur is de-
picted in the series of sketches in Figure 8-28. On the left, the spur is
shown passively; it is often fabricated to lie near to or in the arch-form
plane. In a view from the mesial or distal perspective, the center sketch
shows the spur (dashed) following activation, an incisor with a bracket
on the facial surface, and the forces exerted by the spur tip and by the
arch wire on the bracket. On the right, the lingual holding- or driving-
force component, generally present and exerted by the arch wire, has
been added. A vertical (occlusogingival) force component may also
exist, as described previously. The labially and lingually directed forces
Passive
spur
I
Lingual LingUal-
force root
Arch wire
torque
FIGURE 8-28. Sagittal views of a torquir,g spur and its effects: typical passive
angulation (left), tip and in-bracket force pair acting on the crown (center), and with the
holding or driving force from the arch wire added (right).
307
Delivery of Torque by the Orthodontic Appliance
Moment
arm for
torquing
spur
Moment
arm for
rectangular
wire
FIGURE 8-29. Sagittal views of maxillary incisors loaded by rectangular-wire torque (left)
and spur torque (right) showing differences in force directions and inherent moment
arms.
308
Bioengineering Analysis of Orthodontic Mechanics
Stage III of Begg therapy. Figure 8-30 shows a passive Begg torquing
auxiliary in an occlusal view. Spurs, approximately 3 mm in height, are
bent into the wire; one spur contacts each incisor facial surface with the
auxiliary also engaging the canines. The auxiliary is usually formed in
.012-, .014-, or .016-in, wire and is typically employed in conjunction
with a .020-in, main arch wire. One purpose of the main arch wire is to
help to counter the extrusive potential associated with the activation of
the auxiliary. Third-order stiffnesses of Begg torquing auxiliaries are
substantially less than those of the edgewise wires; correspondingly, the
activations of the spurs are greater with the passive spur configurations
generally in or near to the arch-form plane. Torsional- and vertical-stiff-
ness data for Stage III appliances are presented in Table 8-5 (Leaver and
TABLE 8-5. Torsional and vertical incisal-segment stiffnesses for six Begg, Stage lii
maxillary-arch appliancest
Auxiliary*
Torsional Vertical
Wire size Spur angle stiffness stiffness
(inches) (degrees) (g-mm/deg) (g-mm)
.012 0 33 41
.014 0 40 39
.016 0 51 70
.012 45 31 45
.014 45 42 46
.016 45 61 65
Nikolai, 1978); the passive angle of the spurs with the arch-form plane
has, apparently, little influence on either stiffness.
Figure 8-31 illustrates a torquing arch incorporating spurs; however,
this design is quite different from the Begg auxiliary. First, it is a contin-
uous, maxillary arch wire engaging all teeth through the terminal mo-
lars. Second, spurs will contact only the central incisors; the torque is
transferred bilaterally along the wire from posterior anchorage directly
to the central incisors, with third-order action then apparently carried to
the lateral incisors by the transseptal-fiber system within the alveolus.
The passive geometry of the arch reflects the attempt to negate un-
wanted secondary effects; a curve of Spee is placed to counter the poten-
tial for extrusion that accompanies third-order activation and the poste-
rior sections are curved toward the lingual to offset the tendency for
torsional activation to enlarge the posterior arch width. The appliance
may be formed in highly resilient stainless-steel wire with the passive
configuration of the spurs in the arch-form plane. The spur height is a
clinical variable with its upper bound determined by the distance from
bracket line to gingival margin and, for heights of 5 to 6 mm, the typical
torsional stiffness of the arch fabricated in .016-in, stainless steel wire is
approximately 45 g-mm/deg (Mellion and Nikolai, 1982). Comparing
this value to the Begg counterpart in Table 8-5, the difference is princi-
pally due to the greater "shaft" length (canine to central incisor) in the
arch under discussion. Note that the torquing spur itself is, in effect, a
cantilever beam; the greater height reduces the bending stiffness of the
spur, but it also enlarges the moment arm of the torsional couple. Be-
FIGURE 8-31. An occiusal view of the passive configuration of a hybrid, torquing arch
wire.
310
Bioengineering Analysis of Orthodontic Mechanics
cause the overall activation of the anterior section of the arch is primarily
twisting, with only a small contribution from spur bending, for other-
wise identical, round-wire torquing arches, the actual torque generated
(in g-mm, for instance) is virtually proportional to the height of the
spurs.
To summarize, regardless of the type of anterior-segment torquing
appliance used, the key load parameter is the third-order couple to be
transferred from the wire to the tooth crown. This couple is determined
principally by a third-order stiffness and the amount of rotational activa-
tion. Rectangular-wire stiffnesses are relatively high and the amounts of
third-order activation should be correspondingly small; torsional stiff-
nesses of spur-incorporated round wires are less, thus creating the need
for greater angular activations.
Prior to twist activation of an arch wire the clinician may alter its config-
uration, through bending and/or torsional deformation, taking the wire
beyond its elastic limit to achieve a desired, pre-engagement shape.
Such a process changes the external geometry of the wire and induces
residual stresses; consequently, mechanical and structural parameters
are affected. Substantial ductility is required of the wire so that the
working of it, which strains the material beyond its elastic limit, will not
cause immediate—or, while the appliance remains activated, progres-
sive—fracture.
Inelastic twisting is examined first in this section. Recall that third-
order loading of a straight shaft produces a circumferential strain pattern
on a cross-section characterized by zero magnitude at its geometric cen-
ter (through which the longitudinal shaft axis passes) with, generally,
the strain increasing with radial distance from the center. On a circular
cross-section, the circumferential strain at a point is directly proportional
to the radial coordinate of the point. On the rectangular cross-section,
these strains vary radially in a nonlinear manner. The maximum strains
occur, then, at points on the external boundary of the cross-section. For
circular shafts with their axisymmetric circumferential strain patterns, all
points on the outer perimeter of the cross-section are subjected to maxi-
mum values. The largest circumferential strains on the rectangular
cross-section occur at the two outer-surface points nearest the center
(and are on one of the axes of symmetry). The patterns of shearing
strains on the two cross-sections of interest are maintained, with in-
creasing load, throughout the elastic range and well into the inelastic
region of material behavior. Below the elastic limit, stress and strain are
proportional; the patterns of both circumferential stress and strain are
shown in Figure 8-9 for the circular shaft and in Figure 8-12 for the
rectangular shaft.
The formula for elastic range of a shaft indicates direct dependence of
311
Delivery of Torque by the Orthodontic Appliance
0)
0)
0)
C) C)
:3
(I)
(5
a)
-c
(I)
Shear Strain e0
Angle of Twist 0
(stress reversal)
FIGURE 8-33. The load (left), unload (center), and net residual (right), circumferential,
shearing-stress patterns for a metallic shaft strained beyond its elastic limit.
the net residual-stress pattern shown on the right in Figure 8-33. The
difference between the load and unload third-order deformations is the
permanent twist (Fig. 8-32, left). Upon overall unloading, elements near
the shaft axis do not completely lose the stress induced with loading. At
a specific radial coordinate beyond the elastic core, the loading stress
and unloading stress-change exactly cancel one another, and near the
outer surface of the shaft the elements experience a stress-reversal upon
unloading. For the circular shaft this residual-stress pattern is the same
along all radial-coordinate lines, commensurate with the axial symme-
try. In the rectangular shaft the patterns are similar to that on the right in
Figure 8-33, but they are more nonlinear and relative maximum values
vary with radial-coordinate direction. Some changes in pattern occur as
the diagonals of the rectangular cross-section are approached; however,
the stress magnitudes are not critical in these regions.
If the wire material can adequately take a permanent twist without
failure, the subsequent concern is the superimposition of an elastic acti-
vation. From a practical standpoint, considerations are restricted to rec-
tangular wires. (Round wires that easily fit into brackets will spin within
them under torsional activation, with or without placement of perma-
nent twists; torquing spurs incorporated in round wire to enable transfer
of third-order actions are bent into the wire.) Two points of practical note
are to be made. First, the activating (elastic) twist to gain bracket engage-
ment and create the torque is undertaken in a sense opposite to that of the
preceding, permanent-set twist. Thus, the largest shearing stresses of
the activation itself, occurring near and at the outer surface of the wire,
will be, at the sites of permanent-twist placement, superimposed on the
largest residual stresses having the same sense. Accordingly, the maxi-
mum net shearing stresses will be at points on the outer surface of the
cross-section and will be greater than if no permanent twists had been
placed. Distant from the outer surface the activating and residual
stresses are of opposite senses and will tend to cancel one another. In
short, placements of permanent twists followed by opposite-sense,
third-order activation results in concentrations of sizable shearing
stresses at outer-surface locations of the shaft. Localized inelastic action
313
Deliveiy of Torque by the Orthodontic Appliance
may even occur, which will tend to reduce the concentration of stresses
and distribute them inwardly. A wire material with substantial ductility
is, therefore, absolutely necessary to avoid approach of the fracture
point with activation. Second, bench-experimentation has shown that
permanent-twist placements tend to lower the third-order stiffness of
the arch wire (Table 8-4). The greater the amount of the permanent set,
the larger the decrease in the stiffness. For a given magnitude of twist
placement, the percentage reduction in stiffness seems to be essentially
independent of cross-sectional size.
In appliances incorporating torquing spurs, third-order elastic action
is superimposed upon a residual-stress pattern remaining from the for-
mation of those spurs. The analysis is complicated from several stand-
points, and only a superficial examination is warranted here. Whether
formed directly in the arch wire or prepared separately, the spurs are
bent into an initially straight segment of wire. Localized bends are
placed to form the spur tip and where the spur joins the arch form. If the
spur is formed directly in the arch wire, the three bends are located in a
common plane; if the spur is attached to the wire, the attachment is
partially accomplished through inelastic bending that wraps the legs of
the spur around the arch wire, and this bending is in a plane that is
perpendicular to that of the spur-tip preparation. The activation of the
torquing arch of Figure 8-31, for example, is in two parts: the wire seg-
ments between the central incisors and the canines experience the bulk
of the elastic deformation as they are loaded in torsion while the spurs
experience a small amount of bending deformation. Each spur, behav-
ing much like a cantilevered beam, undergoes its maximum bending
strains at the junctions with the arch form and experiences virtually zero
strain of activation at the tip (apex). Whatever bending activation does
occur at the junctions is in a plane at right angles to that of the perma-
nent bends. Torsional couples are transformed into bending couples at
these junctions and, although the stress analysis is extremely difficult
there, it is likely that these are critical locations (of maximum total
stress). If the spurs are formed separately, then wound around the main
arch wire, the bending activation is directly superimposed upon the
residual-stress patterns left by the winding. From the discussion of ine-
lastic bending in Chapter 7, it is preferable to orient the windings such
that the activation of the spurs tends to further wind, rather than par-
tially unwind, the bent wire at the junction. The maximum net bending
stress will be less with the former procedure.
As noted earlier, third-order activation in the anterior portion of the
arch wire produces second-order response in the posterior regions due
to the curvature of the arch form. In edgewise, anterior-retraction me-
chanics, the clinician may place loops just mesial to the lead teeth of the
posterior segments. These loops, incorporated in the arch wire, are
formed by inelastic bending in the faciolingual plane. Potential wire fail-
ure associated with the superimposition of the activating and residual
bending-stress patterns within the loops need not be of great concern if
the wire material is ductile, but the influence of these loops on stiff-
314
Bioengineering Analysis of Orthodontic Mechanics
0
Q
Ce
Passive, buccal view Occiusal view
FIGURE 8-34. A half-box loop shown passively in a faciolirigual view (left), and as
activated and subjected to its typical force system from an occiusal perspective (right).
315
Delivery of Torque by the Orthodontic Appliance
Qv
I
V
v QV4I
ioop, and this is the critical section of the ioop (where the internal bend-
ing and twisting moments are concurrently maximum). The right leg of
the loop, then, is also subjected to combined bending and twisting.
(With additional components from activation at the occiusal end of the
left vertical leg, the analysis becomes more complex. The numerous vari-
ations will not be examined here, but in most instances the critical sec-
tion wifi be located at the bend diagonally opposite to the activation
site.)
Of the various structural properties of the loop, interest centers on
the faciolingual stiffness since this characteristic, together with the acti-
vating displacement, yields the initial crown load. Generally, this stiff-
ness is dependent on wire material, cross-sectional size and shape, and
curvilinear length (the amount of wire in the loop). From the foregoing
bending and torsional analyses, the mesiodistal wire dimension and the
occlusogingival lengths of the vertical legs will be the most influential
geometric parameters. All other properties held constant, the greater the
separation between activation and anchorage sites, the greater the
length of the horizontal section and the larger the overall flexibility of
the loop. Should the action of the loop include an occlusogingival load-
ing component, the midsection length in particular will influence the
occlusogingival stiffness.
The uprighting spring is an auxiliary designed to exert a second-
order couple on a tooth crown, adding to an appliance the capability of
controlling root-tip position (long-axis angulation) in the faciolingual
plane. The spring is formed, usually in round wire, by placing several
permanent bends to obtain the desired shape. One leg of the spring
engages the bracket slot (which may be either horizontal or vertical) at
the activation site and the other leg is generally hooked over the main
arch wire. The passive (dashed) and active (solid) configurations of the
spring are shown in Figure 8-36. As indicated, a helix is often incorpo-
rated in the spring at its apex, both to lessen stiffness and to increase
elastic range.
Shown on the left in Figure 8-37 is the free-body diagram in a
faciolingual plane of an activated spring. The second-order couple is the
action-reaction counterpart of the desired component of the force sys-
tem, but the pair of forces—one at the bracket and the other exerted on
the hook by the contacting arch wire—arises in response to balance the
system. The analysis parallels that for the half-box loop with C1 absent
except for differences in activation planes and in transposition of active
and responsive force components. For the spring, the size of the couple
is determined by the associated stiffness and the magnitude of the dis-
placement necessary to engage the hook with the main arch wire. The
action-reaction counterparts exerted by the legs of the spring on the
tooth and the arch wire are illustrated on the right in Figure 8-37. Note
that the arch wire, through its own bending stiffness in the faciolingual
plane, can sustain at least a portion of the usually unwanted responsive
force that tends to extrude the tooth. The force exerted by the leg
hooked over the arch wire is divided and transmitted by the wire to the
317
Delivery of Torque by the Orthodontic Appliance
Activated
—__ Passive
—
-7
FIGURE 8-37. Free-body diagram of the uprighting spring (left) and the force system
exerted by the spring (right).
318
Bioengineering Analysis of Orthodontic Mechanics
=(
- b)
I P(t-b)
P
FIGURE 8-38. Free-body diagrams of two portions of the uprighting spring exposing an
internal bending couple adjacent to the helix.
Synopsis
This and the previous chapter have dealt with the force-system and
structural analyses of the orthodontic arch wire, subjected through clini-
cal activation to bending and torsional loadings. Engineering theory,
experimental research, and clinical observations have been integrated
toward presentation of the current development of the subject matter
and the means to undertake evaluations of existing intraoral appliances
319
Delivery of Torque by the Orthodontic Appliance
References
Begg, P.R., and Kesling, P.C.: Begg Orthodontic Theory and Technique. 3rd Ed.
Philadelphia, W.B. Saunders, 1977, Chapters 6 and 11.
Leaver, S.R., and Nikolai, R.J.: Mechanical analysis of the Begg torquing auxil-
iary. Aust. Orthod. J., 5:133—141, 1978.
Mellion, N.P., and Nikolai, R.J.: Torquing maxillary incisors with a continuous,
round-wire appliance. J. Dent. Res. (Special Ed.), Abst. 1107, March, 1982.
Wagner, J.A.: Mechanical Analysis of Anterior Torque in Rectangular Orthodon-
tic Wire. Master's thesis, Saint Louis University, 1981.
320
Bioengineering Analysis of Orthodontic Mechanics
Suggested Readings
Andreasen, G.F.: Selection of the square and rectangular wires in clinical prac-
lice. Angle Orthod., 42:81—84, 1972.
Arbuckle, G.R., and Sondhi, A.: Canine root movement: an evaluation of root
springs. Am. J. Orthod., 77:626—635, 1977.
Blodgett, G.B., and Andreasen, CF.: Comparison of two methods of applying
lingual root torque to maxillary incisors. Angle Orthod., 38:216—224, 1968.
Boman, V.R.: A radiographic study of response to torquing spring action. Angle
Orthod., 32:54—58, 1962.
Burstone, C.J.: The biomechanics of tooth movement. In Vistas in Orthodontics.
Edited by B.S. Kraus and R.A. Riedel. Philadelphia, Lea & Febiger, 1962,
Chapter 5.
Gianelly, A.A.: Bodily retraction of maxillary incisors with round wires. Am. J.
Orthod., 66:1—8, 1974.
Holdaway, R.A.: Changes in relationship of points A and B. Am. J. Orthod.,
42:176—193, 1956.
Hurd, J.J., and Nikolai, R.J.: Maxillary control in Class II, Division 1 Begg treat-
ment. Am, J. Orthod., 72:641—652, 1977.
Jarabak, J.R., and Fizzell, J.A.: Technique and Treatment with Light-wire Edge-
wise Appliances. 2nd Ed. St. Louis, C.V. Mosby, 1972, Chapters 2, 3.
Kusy, R.P.: Comparison of nickel-titanium and beta titanium wire sizes to con-
ventional orthodontic wire materials. Am J. Orthod., 79:625—629, 1981.
Kusy, R.P.: On the use of nomograms to determine the elastic property ratios of
orthodontic arch wires. Am. J. Orthod., 83:374—381, 1983.
Kusy, R.P., and Greenberg, A.R.: Effects of composition and cross-section on
the elastic properties of orthodontic wires. Angle Orthod,. 51 :325—342, 1981.
Kusy, R.P., and Greenberg, A.R.: Comparison of elastic properties of nickel-tita-
nium and beta titanium arch wires. Am, J. Orthod., 82:199—205, 1982.
Mitchell, D.L., and Kinder, J.D.: A comparison of two torquing techniques on
the maxillary central incisors. Am. 1. Orthod., 63:407—413, 1973.
Neuger, R.L.: The measurement and analysis of moments applied by a light-
wire torquing auxiliary and how these moments change magnitude with re-
spect to various changes in configuration and application. Am. J. Orthod.,
53:492—513, 1967.
Newman, G.V.: A biomechanical analysis of the Begg light arch wire technique.
Am. J. Orthod., 49:721—739, 1963.
Popov, E.P.: Introduction to Mechanics of Solids. Englewood Cliffs, NJ, Pren-
tice-Hall, 1968, Chapter 5.
321
Delivery of Torque by the Orthodontic Appliance
tion of the active force. This force may be generated against a neck pad
or head cap. Clinicians often refer to headgear as cervical-, straight-, or
high-pull, indicating the buccal-view angulation and line-of-action posi-
tion of the active force. The appliance having posterior anchorage and
the active force on one or both sides divided into two separate, mechani-
cal actions is termed a "dual-force" headgear. Those appliances that
generate anteriorly directed active force are becoming known as "re-
verse-pull" mechanisms. Headgear may also be categorized according to
the intraoral locations of active-force delivery: the maxillary and/or man-
dibular arch, the first or terminal molars, the canines, or the incisal or
anterior segment(s). The chin-cap assembly might be placed in a sepa-
rate category because it delivers active force to an extraoral location: the
chin. Although it is often employed to produce orthopedic action or
restraint, because of similarities to other types of headgear (in terms of
anchorage and activating elements) the chin-cap assembly is included in
the discussions to follow.
The development of this chapter proceeds with the mechanical eval-
uation of headgear, generally subdivided according to the location of
active-force delivery as seen from an occlusal or buccal view. Discus-
sions are primarily focused on the relationships among active force sys-
tems, alone or in concert with intraoral mechanics, and the correspond-
ing, potential, orthodontic and/or orthopedic displacements. There is
little attention to structural considerations of the extraoral appliance it-
self, beyond that which follows in the introductory section of this chap-
ter. The analysis problem is three-dimensional; the individual, active
forces generally have three nonzero components with respect to a sagit-
tal-coronal-transverse reference framework. The spatial problem is ex-
amined first in an occlusal view in which anteroposterior and faciolin-
gual aspects may be considered, and then from a buccal view where
vertical and occlusogingival aspects, together with the anteroposterior
contributions, may be analyzed. All of the needed geometric parameters
will be assumed known or the facility to take required anatomic and
other measurements is available. The characteristics of the activating
force system (from traction band[s], elastics, or springs) are also as-
sumed given or measurable. Sought in the analyses are descriptions of
potential displacements that are desired or, if the clinical objective is to
negate unwanted but likely movements arising from intraoral mechan-
ics, the degree to which the objective can be met.
Before beginning the individual analyses, several overall, pertinent
considerations should be kept in mind. First, the analysis of the force
system must be undertaken with the extraoral appliance in its activated
configuration. Strictly speaking, this is always the rule with any struc-
ture; however, often the difference between passive and activated for-
mats are small enough to produce negligible variance in the directions or
moment arms of forces. These differences are generally not substantially
influential, for example, in the bending or torsional analyses of arch
wires. The point is well made here, however, because the deformations
associated with the activations of face bows and J-hooks may be sizable.
324
Bioengineering Analysis of Orthodontic Mechanics
In fact, with the face bow in particular, several adjustments in the sagit-
tal and transverse planes made "at the chair" are undertaken in anticipa-
tion of the deformations to accompany activation. Second, with the ex-
ception of some mixed-dentition treatment, the headgear rarely acts in
the absence of intraoral-appliance interaction. When present, the arch
wire is nearly always interconnected with the delivering element of
extraoral force. Hence, the tracing of the transmission of force is always
necessary, even though originating extraorally, throughout whatever
intraoral appliance is engaged, whether activated independently or not.
Third, a substantial portion of the prediction of displacement or dis-
placement restraint originates from a buccal-view analysis. In effect, a
complete division of the entire dentofacial complex and appliance(s) is
made at the midsagittal plane, and the analysis is carried out on the right
half separately. With complete symmetry with respect to the midsagittal
plane, the force system transmitted from one side to the other (e.g.,
through the center of a face bow) has no mechanical influence in the
buccal view. With an asymmetric situation associated with appliance
geometry and/or loading, however, such is not the case and appropriate
notations are made when applicable. Fourth, the size of the force to be
generated in the activating element and transferred to a bow or J-hook
end is determined by the factors discussed in Chapter 5 and an estima-
tion of the amount of generated, active force to be, in effect, lost in
transit to the intraoral site of force application. This force drop is small
with face-bow transmission, but friction and, perhaps, a portion of the
force not delivered in the desired direction may result in sizable losses in
or diversions of force carried by J-hooks. Also noteworthy is the pattern
of active force versus time: continuous when the headgear is in place
and activated, but overall often a cyclic, interrupted function, as illus-
trated in Figure 5-29. Often when used in permanent-dentition treat-
ment, the extraoral appliance is worn for just 10 to 14 hr each day. This
interrupted force pattern must influence the choice of magnitude of the
extraoral traction when the headgear complements intraoral mechanics;
the sizes of intraoral and extraoral force must be selected to account for
their interaction.
Fifth, details of structural analysis are suppressed in this chapter.
The emphasis here is not with designs of face bows or head caps or
potential structural failures. In short, the components of the extraoral
appliance must be capable of generating, carrying, and transmitting
forces without excessive deformation, fracture, or loss of stability. Be-
cause face-bow and J-hook materials are ductile, exceeding an elastic
limit, whether to place a permanent bend or upon activation, generally
should not be of concern. The practitioner must remember, however,
that elastics and traction bands relax (the former more quickly than the
latter) and, therefore, must be replaced periodically. Routinely, activa-
tion should be accompanied by the actual movements of forces gener-
ated in and by the traction bands, elastics, and springs, and activating
elements should not be chosen solely by the distances over which they
must be elongated.
325
Extraoral Appliances
The cervical-pull appliance consists of a face bow, a neck pad, and the
element(s) that, when engaged, induce the activating force. The face
bow incorporates an inner bow, which fits intraorally, and the outer
bow. The two parts of the face bow are interconnected, either solidly
(e.g., welded) or by means of a hinge. When the face bow is in place,
that connection is to be slightly anterior of and between the lips and,
when geometric symmetry is present, intersecting the midsagittal plane.
The inner-bow arm ends engage buccal tubes that are affixed to the facial
crown surfaces of the maxillary first or second molars. The active force is
delivered bilaterally to the outer-bow arm ends, transmitted anteriorly
through the outer-bow arms, then through the bows connection into the
inner bow, posteriorly through the inner-bow arms and through stops
into the buccal tubes. The active force is generated by the elongation of
an elastic traction band, one or more pairs of elastics, or a pair of
springs, attached to the outer-bow arm ends. The accompanying re-
sponsive force(s) are transmitted to the neck pad which, in turn, distrib-
utes that force over the back of the neck.
The forces delivered to the outer-bow arm ends generally have com-
ponents in all three dentofacial-coordinate directions. Although the
principal components (left and right sides) are directed posteriorly,
small lateral components usually exist due to the transverse distance
between the outer-bow arm ends that exceeds the neck width. Vertical
components are often present, due, in part, to the anatomic positions of
the maxillary molar crowns with respect to the cervical region. The elas-
tic(s) or spring, stretched between an outer-bow arm end and a fastener
on the neck pad, is a two-force element under axial load. Figure 9-1
shows a free-body diagram of an elastic traction band and the neck pad
as a unit. The responsive force of the neck against the pad is primarily
pressure distributed over a curved, rectangular area. Depending on the
actual direction of pull, a minor component of the distributed response
may exist tangential to the neck pad and perpendicular to the plane
view. Initially and, perhaps, irregularly over time, a frictional distribu-
tion may also exist. The essential features, however, are given in the
two-dimensional sketch. The plane of the diagram generally makes an
angle that is between 15 and 200 with the occlusal plane. The pressure
distribution is apparently somewhat nonuniform, but not to the point of
concern.
The tensile strain in the elastic band is essentially constant from one
end to the other (if not immediately upon activation, then shortly there-
after when movements of the head have occurred and the band has
sought a minimum-energy configuration); accordingly, the magnitudes
of the contact forces with the outer-bow arm ends are equal. The result-
ant of the pressure distribution, then, must dissect the angle between
the lines of action of the forces exerted by the outer-bow arm ends. The
326
Bioengineering Analysis of Orthodontic Mechanics
Distributed
cervical
response
Pc,
P0
0cc/usa/-Plane Analysis
Figure 9-2 depicts a free-body diagram in an occlusal- or transverse-
plane view of an activated face bow that is geometrically and mechani-
cally symmetric with respect to the midsagittal plane. The symmetry
requires equal lateral force magnitudes, each P0 sin offsetting one
another. An anteroposterior force balance, with the symmetry, yields
= P0 cos 00, existing due to buccal-tube contact against the stopped,
inner-bow arm end. Also generally appearing in the occlusal view, as
327
Extraoral Appliances
L0
Co CO
P0 P0
FIGURE 9-2. A free-body diagram in the occiusal plane of an activated, symmetric face
bow.
part of the responsive force systems of the buccal tubes against the
inner-bow arm ends, are first-order couples and lateral forces. Because
they are not directly related to the forces activating the appliance or to
each other, midsagittal-plane symmetry and equilibrium conditions
demand that, separately, the couples (C0) and lateral forces (L0) be equal
in magnitude but opposite in sense to one another.
An occiusal view of the force systems exerted on the molar crowns is
presented in Figure 9-3; the posteriorly and lingually directed force com-
ponents and couples are action-reaction with their counterparts in Fig-
ure 9-2. If the face bow produces molar movement, with the driving
forces at the buccal surfaces and not through the centers of resistance,
the occlusal-view displacements tend to be distolingual-rolling. The
length of the buccal tube and the bending stiffness of the inner-bow arm
together can produce first-order couples, however. With the senses
shown in the figure(s), the couples C0 may exist immediately upon acti-
vation, due to placements of toe-out bends in the inner-bow arms, or
they may arise in time with initial molar movements, to counter the
328
Bioengineering Analysis of Orthodontic Mechanics
F0
00 Qo
FIGURE 9-3. 0cc/usa! view of the force system transmitted to molar crowns by the face
bow of Figure 9-2.
n
I j nner-bow arm
I I
Tooth
crown
Together,
these forces
form C0
-J
FIGuRE 9-4. Two-point contact in an occiusal view, between inner-bow arm end and
buccal tube, which generates C0.
sent buccal contact between the molars and intraoral mechanics (a tied-
back, continuous arch wire or activated Class III elastics, for example).
These forces are included in the sketch because they, and the intraoral
mechanics, may exist in conjunction with the headgear. If the function
of the extraoral appliance is to transfer forces, responsive to intraoral-
mechanics activation, from the molars to the cervical region, the poten-
330
Bioengineering Analysis of Orthodontic Mechanics
P1 Q1
Cl C2
Q1 + C) — P2c2}
Q2 + C)— P1c1}
FIGURE 9-5. A free-body diagram in 0cc/usa! view of a face bow activated by unequal
elastic or spring forces.
331
Extraoral Appliances
\ I
PU
'
Pd
\
=
'-4 ——=
E B 1
02
where b = b1 + b2
4— b1 b2
332
333
Extraoral Appliances
the inner bow yield the formulas given in Figure 9-6 for Qi and Q2; in an
approximate analysis it is often reasonable to equate cos 0d to unity (one)
since this angle is usually small.
Although the hinged face bow should be able to deliver a substantial
differential in the distal driving forces delivered to the molars, inherent
with the hinge connection between bows is a lack of stability; the outer
bow may rotate rather easily and an arm contact the cheek. A patient,
wearing the appliance at night, for example, will amend the delivered
force system when sleeping with either side of the face against the
pillow.
Several asymmetric face-bow designs exist that exhibit a solid con-
nection between inner and outer bows. One such design has the connec-
tion between bows off the midsagittal plane and the passive posterior
extents of the outer-bow arms the same. This face bow, with a traction
band and neck pad has been shown to produce only a small differential
in the forces against the molars (Drenker, 1959); the mechanical asym-
metry is only slight and, in essence, is due to the bending-flexibility
differential in outer-bow arms associated with their unequal lengths.
A larger differential has been obtained with a design displaying the
rigid inner-to-outer-bow connection, on or off the midsagittal plane, and
outer-bow-arm ends exhibiting different posterior extents. This type of
face bow is shown in Figure 9-7; again, the activation is delivered by a
P0
Q2
Q1
Pd
b2
1
01 =
where b = b1 + b2
FIGURE 9-7. 0cc/usa/-view force diagrams for an asymmetric face bow exhibiting a
solid, midline connection between inner and outer bows.
334
Bioengineering Analysis of Orthodontic Mechanics
stretched elastic band. The force diagram on the left suggests the
achievement of unequal actions delivered to the molars; the outer-bow
arm lengths and the patient anatomy must result in the line of action of
the resultant of the traction forces (each of magnitude P0), passing to
one side of point B. The free-body diagram on the right in Figure 9-7
shows only the anteroposterior force components; because the lateral
force components are colinear, their analysis may be undertaken inde-
pendent of the anteroposterior force system. A moment balance indi-
cates that here also, as with the hinged face bow, the magnitudes of the
forces Qi and Q2 are in the same ratio as the distances b2 and b1.
The size of the differential in delivered distal driving forces, using
the asymmetric face bow and traction-band activation, depends on the
eccentricity with respect to point B of the lines of action of the resultant
active force. If this eccentricity is greater than one-half of the intermolar
width measured between the buccal-tube centers, the mesiodistal forces
to the molars will be opposite in sense to one another; although improb-
able in practice, "on-paper" analysis indicates this is a possibility. If the
intent of the differential is to move just one molar, the achievement of a
near-zero force against one and a sizable distal driving force against the
other molar requires careful adjustments by the practitioner, particularly
with respect to outer-bow arm lengths and as-activated configurations.
Some assistance can be gained through concurrent use of intraoral me-
chanics delivering a balancing, mesial force to the molar receiving the
smaller distal headgear force.
As previously indicated, all asymmetric face bows exhibiting unequal
distal driving forces also exert lateral action. The net active lateral force
has been symbolized in Figures 9-6 and 9-7 as Pi. but its division be-
tween the molars cannot be quantified by force and moment balances
alone. In an overview of the problem, it is first necessary to realize that a
posteriorly directed force transmitted to the inner bow, whether posi-
tioned in the midsagittal plane or not, tends to widen the passive dis-
tance between the arm ends as indicated on the left in Figure 9-8 in the
FIGURE 9-9. A free-body diagram in a bucca! view of one-half of a symmetric face bow.
337
Extraoral Appliances
note that the sense of the couple Cb is directly related to the vertical
movement of the anterior tip of the face bow during activation. When
activated, the face bow in Figure 9-9 rotated clockwise (from a buccal
perspective); its anterior tip moved down, generating the counterclock-
wise, responsive couple Cb. The sense of the couple corresponds to the
location of the line of action of Pb with respect to the inner-bow arm end.
Had that line of action been positioned above the inner-bow arm end,
the sense of the couple would have been clockwise and the displace-
ments of the face bow generally and its anterior tip would have been
counterclockwise and up, respectively, during activation. This knowl-
edge is useful in the preparation of the face bow before engagement; as
activated, the anterior tip must be positioned in the embrasure between
the lips.
Figure 9-10 shows a free-body diagram in the buccal view of the right
maxillary molar; the buccal tube (which receives the force, originating
extraorally, from the inner-bow arm end) is in effect, integral with the
tooth. The three components of the force system exerted on the crown
through the tube are action-reaction counterparts of the components of
Figure 9-9. For now, any effects of intraoral mechanics upon the molar
are not included. The distributed periodontal response to the molar
crown loading, as it would appear in this view, is shown as three result-
ant components referenced to the center of resistance of the molar. Esti-
mating the long-axis distance a between the tube and the center of resist-
ance as one-half the overall tooth length, with the analysis of the
free-body diagram of the half face bow, (Fig. 9-9), force and moment
R,
=
R, =
= Cb + Q0(a)
FIGURE 9-10. A free-body diagram in a buccal view of a right maxillai'y molar subjected
to face-bow action.
338
Bioengineering Analysis of Orthodontic Mechanics
cre
FIGURE 9-11. A buccal view of the molar, the half face bow, and the activating force on
the right side.
339
Extraoral Appliances
= = Pb(e)
FIGURE 9-12. A force system at the center of resistance of the molar, mechanically
equivalent to Pb of Figure 9-10.
ore
Pb
FIGURE 9-13. A buccal view of the face-bow configuration to minimize the potential for
second-order tipping with the appliance subjected to cervical-pull action.
340
Bioengineering Analysis of Orthodontic Mechanics
C0 = Pb(e)
FIGURE 9-14. Outer-bow arms bend down to eliminate the potential for extrusion in
cervical-pull action.
vary the location and direction of the line of action of Pb are the length of
the outer-bow arm and the angulation of the outer-bow arm, as acti-
vated, with respect to the occlusal plane. Specific combinations of arm
length and angulation can result in coincident lines of action of for
example, referring to Figure 9-13, an identical action can be obtained
with a shorter outer-bow arm and a larger angle 6h or a longer arm and a
smaller angle. It is possible to create a mesial-crown-tipping couple,
opposite in sense to the couples in Figures 9-12 and 9-14, but a long,
outer-bow arm is needed that must be bent severely upward with re-
spect to the occlusal plane. A line of action is obtained that passes supe-
rior to the center of resistance of the molar, but a sizable potential for
extrusion is also created (again, because the line of action of passes
through the cervical region).
The buccal-view analyses discussed thus far have assumed that the
maxillary molars are the sole recipients of the extraorally generated force
system. Although primarily providing distal-driving potential, and
often also producing a tendency toward extrusion, the face-bow cervi-
cal-pull headgear may as well cause second-order rotations. If an arch
wire is engaged into and stopped and tied against the buccal tubes, the
force system delivered to the buccal tubes may be transmitted anteriorly
and, therefore, distributed throughout the dentition and into the maxilla
at large. To distribute all components of the delivered force in a near-
uniform fashion to the entire arch—particularly the occlusogingival
(vertical) and second-order rotational components—the arch wire must
possess high bending stiffness. With such a wire engaged, the arch ap-
proaches a rigid entity and the procedure of Figures 9-11 and 9-12 may
be used to predict displacement of the half arch as a unit, but a needed
reference is the center of resistance for the half arch. Although not
341
Extraoral Appliances
known precisely, for an arch with all spaces closed the anteroposterior
coordinate of the center of resistance will approximately divide the total
root-surface area of the teeth engaged in half; this places the reference
point slightly anterior of the second premolar in a nonextraction case
with engagement terminating with the first molars. With the known
geometry of the maxilla, the vertical coordinate may be reasonably
placed near the apex level of the premolars. (Note that reducing the
bending stiffness of the arch wire will effectively move the center of
resistance posteriorly.)
Figure 9-15 depicts an appliance assembly in which the cervical-pull
force is, in effect, delivered to the entire half arch. (The magnitude of Pb
here must be much larger than that delivered to and absorbed by the
molar alone; assuming similar displacement formats, the delivered force
to the half arch should be magnified by a factor equal to the ratio of
root-surface areas affected.) With the angle of the activated outer bow
approximately the same as the inclination of the applied extraoral force,
in addition to the distal action that would tend to reduce an overjet, the
rotational potential is clockwise with the line of action of Pb occlusal of
the center of resistance. The resulting tendency is to close down the bite
in the anterior region. To create the opposite potential, toward opening
the bite anteriorly, the line of action of must be located superior to the
center of resistance. Hence, the outer-bow arms must be long and must
be bent upward. Moreover, because of the sizable force required, the
face bow must be very stiff since the application of force to its outer-bow
arm ends will tend to deflect them toward the occlusal plane. Also seen
in this arrangement, sketched in Figure 9-16, is a strong tendency for
extrusion; this must be countered by posterior occlusion if opening of
the bite (in the anterior region) is to be part of the overall result.
A somewhat unusual application of the cervical-pull face-bow head-
gear is examined in closing this subsection. The observed, vertical move-
FIGURE 9-15. Cervical-pull, face-bow delivery of extraoral force to the entire maxillary
arch to reduce overjet and an anterior open bite.
342
Bioengineering Analysis of Orthodontic Mechanics
= Pb(e)
(Pb)
_
ment of the anterior tip of the face bow during activation has suggested
a means of intruding maxillary incisors or up to six anterior teeth. Spurs
are affixed to the face bow to contact the incisal edges. Upon activation,
the force applied to the outer-bow arm ends, in the conventional appli-
ance transmitted through the outer and into and through the inner bow
in an uninterrupted manner to the molars, is transferred instead in part
to the anterior teeth by means of the spurs. The molars provide intraoral
anchorage and a fulcrum. A free-body diagram in the buccal view is
shown in Figure 9-17. Again, symmetry with respect to the midsagittal
plane is assumed and one half of the face bow is sketched. To obtain the
desired action, the force must be located so as to produce a counter-
clockwise moment about the end of the inner-bow arm. Force- and
moment-balance relationships are written in the figure. The three com-
ponents at the inner-bow arm end plus the force Pa against one half of
the involved anterior teeth yield a total of four unknowns, one more
Fa
H' ov
00 =
0, = F8 +
= F8e) —
FIGURE 9-17. Modification of the face bow to gain the potential for anterior intrusion.
343
Extraoral Appliances
L L
Pv Qv Qv
L + L
FIGURE 9-18. Posterior views of the face bow (above) and the molars (below) showing
buccolingual responses to vertical force components.
344
Bioengineering Analysis of Orthodontic Mechanics
J-hook
R0
F0 P0
Force
triangle
P0
(RO)d
Canine
— '(Counter-
rotation
couple)
FIGURE 9-19. 0cc/usa/-view diagrams of the force systems exerted on the J-hook,
canine crown, and arch wire during retraction of the right maxillary canine.
Pb
J-hook
FIGURE 9-20. A right-side buccal view of a maxillary canine under retraction through
use of a straight-pull headgear.
out in somewhat the manner of Figures 9-11 and 9-12. Noting the posi-
tion of the center of resistance of the canine in this view relative to Pb,
without the arch wire engaged the distal displacement would be largely
uncontrolled crown tipping. To the extent that this tipping is unwanted,
the arch wire through its bending stiffness is the available source of a
counter-tipping couple, either present immediately upon arch-wire en-
gagement through an active, second-order bend, or allowed to initiate
and grow (in magnitude) following initial canine tipping that eliminates
any second-order clearance and establishes two-point contact between
bracket slot and arch wire. If the applied force includes a vertical
component, that component will be transferred from the J-hook to the
arch wire at their contact location. In the absence of the sliding jig, that
vertical component will be largely carried to the canine but, depending
on the bending stiffness of the arch wire, it may be distributed anteriorly
and posteriorly from the contact location. With cervical anchorage, an
occlusally directed component will be part of and add the tendency to
extrude the canine and enhance anteroposterior, whole-arch curvature.
On the other hand, activation of high-pull action from a head cap pro-
duces an opposite, vertical, displacement potential.
Figure 9-21 shows the activation of a high-pull headgear to the man-
dibular canine in a buccal view. The location of the line of action of
passing occlusal to the center of resistance of the tooth indicates a tend-
ency for distal crown tipping which the arch wire may resist. The direc-
tion of reflects the existence, in addition to the distal driving compo-
nent, of a vertical component with potential to extrude the canine and,
with an engaged arch wire possessing moderate stiffness, to reduce to-
ward reversal of any curve of Spee. Generally, the delivery of extraoral
force to mandibular locations demands the consideration of several fac-
348
Bioengineering Analysis of Orthodontic Mechanics
Pb
FIGURE 9-21. A right-side buccal view of mandibular canine retraction with a high-pull
headgear.
tors beyond the direction of applied force with respect to the arch-form
plane and the line-of-action location relative to a center of resistance.
This discussion is undertaken in a separate, subsequent section of this
chapter.
ing to the intended distribution of the force delivered from the extraoral
source. The extent of that distribution depends largely on characteristics
of the arch wire. Again, the connections allow transfer of force in any
direction, but 1-hooks will not transfer couples. If the incisal segment
alone is to receive the force, the transfer points are between the central
and lateral incisors; if the six anterior teeth are to be displaced as a unit,
the 1-hooks will likely deliver the force on each side between the lateral
incisor and the canine. In these two instances, either the arch wire is not
stopped posteriorly or loops in the wire are activated to aid in the dis-
placement. If the intent is to affect the entire arch (and produce orthope-
dic movement), the transfer points are distal to the canines and the
buccal segments are appropriately stopped and ligated together to en-
sure both anterior and posterior distribution of the active force.
Shown in Figures 9-22 and 9-23 are occiusal-plane views of applied
and responsive force systems with delivery (action-reaction) to the max-
illary incisal segment and to the maxilla as a whole, respectively. Both
free-body diagrams reflect geometric and mechanical symmetry relative
to the midsagittal plane. In Figure 9-22 the distribution is shown uni-
Incisal response
F0
PG P0
response
F0
Co
p0
p0
form over the four teeth, a reasonable expectation in view of the contact-
point locations and the fact that each force essentially reaches just two
dental units. In the whole-arch distribution of Figure 9-23, the occiusal-
plane component of the contact force on one side divides with one por-
tion transmitted toward the anterior and the remainder carried first to
the terminal molar and then, by means of ligation, anteriorly throughout
the buccal segment. To attempt to quantify the distributions of force is to
undertake the solution of a highly quasi-statically indeterminate prob-
lem, particularly in the latter instance. With a stabilizing arch wire en-
gaged, however, those distributions probably appear somewhat as they
are sketched, and a rough approximation for one side is obtained by
dividing P0 by the number of teeth affected in the half arch.
Several additional points of consideration are pertinent to this occlu-
sal-view discussion. Again, due to the direction of P(, and the location of
351
Extraoral Appliances
its line of action with respect to the anterior end of the J-hook, the lateral
forces appear as first noted in the canine-retraction procedure with
headgear. The magnitudes P0. the design of the head cap, and the soft-
tissue facial anatomy of the patient relative to the intraoral J-hook con-
nection points all influence the size of the lateral force F0. For example, if
cervical pull is appropriate, the narrower width of the neck results in
relatively small lateral forces when elastics or springs are activated
against a neck pad. In contrast to the canine-retraction process, because
in the present mechanics the force from the J-hook is transmitted di-
rectly to the arch wire, the entire force delivered is effective. Continuing
in the occlusal view, the intent is to transfer—wherever the delivery
points along the arch wire are—posteriorly directed forces; the applied
forces have that direction. Friction may, however, divert some of the
force generated in the activating element. Frictional resistance will ac-
company the presence of the lateral force and essentially in direct pro-
portion to the size of that force. The frictional force is transmitted by
direct contact from the J-hook to its guide, into the anterior extent of the
head cap, and to the side of the face or head. Also, in the arrangement of
Figure 9-22, friction between arch wire and brackets may take a portion
of the delivered force, intended exclusively for the incisal segment, pos-
teriorly into the buccal segments. Precautions taken to keep the deliv-
ered force in the anterior segment include reducing the cross-sectional
wire size in the buccal segments and using light ligations—generally
avoiding bracket-wire binding and angulations. A last point to be con-
sidered is midsagittal-plane symmetry. Although with the face-bow and
canine-retraction headgear, asymmetric or unilateral action is now and
then required, not so with the extraoral appliance presently being dis-
cussed. A symmetric activation is a possibility, using unlike elastics or
springs, but with force delivery to the arch wire the inability to suffi-
ciently control the distribution of that force seemingly renders the at-
tempt useless.
As in previous analyses within this chapter, the view of the extraoral
appliance from a buccal perspective leads to the substance of the poten-
tial displacement format. Of particular importance are the direction and
location of the line of action of the activating force with respect to the
dental units to be affected. As in earlier discussions of symmetric head-
gear, attention is focused on one elastic or spring or traction-band force
and the right half of the arch (to which the J-hook is attached). In the
buccal view the J-hook will align with the direction of the force gener-
ated in the activating element, so both the angulation of the force and its
line-of-action location are determined by two points: the connection of
the activating element to the head cap or neck pad and the point of
contact of the anterior end of the J-hook with the arch wire (or spur
affixed to it). The relative magnitude and the sense of the vertical com-
ponent of the active force are controlled largely by the anchorage ar-
rangement (high-, straight-, or cervical-pull). The direction of the buccal-
view component of active force may range from 45° or more above the
occlusal plane to, perhaps, 15° below it. This angulation is also affected
352
Bioengineering Analysis of Orthodontic Mechanics
somewhat by the point of delivery to the arch wire; for example, for a
given head cap the high-pull angulation is greater with delivery distal to
the canine than when the J-hook attachment is between the central and
lateral incisors.
Although these headgear are often employed to reinforce buccal an-
chorage intraorally, they may be used to produce wanted displacements
and the function of the arch wire is solely to control the distribution of
the extraoral force. The analysis procedure, first illustrated in Figures
9-11 and 9-12, may be used. (This procedure may also be used in sepa-
rate analyses of the effects on the same portion of the dentition of
extraoral-force application and those of intraoral mechanics, the two to
be superimposed.) The process requires initial identification of the por-
tion of the half arch to receive the headgear force. Next, the location of
the center of resistance of the segment is approximated in the manner
discussed previously (influenced by the distribution of root-surface area
and by the distribution of force determined by the extent and the bend-
ing stiffness of the arch wire). The characteristics of the delivered force
are then evaluated in terms of the dental segment receiving it and the
force is "moved" to the center of resistance. Figures 9-24 and 9-25 depict
buccal views of straight- and high-pull-headgear action to the entire
maxillary arch. To distribute the force as uniformly as possible, the at-
tachment is to a location near the center of the half arch; a stabilizing
arch wire having a large cross-section should be used. The extraoral
force is transferred to the center of resistance of the half arch, the neces-
sary couple is added in association with the line-of-action displacement
in Figure 9-24, and in Figure 9-25 the force is decomposed into antero-
posterior and vertical components. The proper size of extraoral force is
determined by the procedures discussed in Chapter 5; the magnitude
FIGURE 9-24. A buccal view of straight-pull, extraora! force delivered to the maxillary
arch.
353
Extraoral Appliances
FIGURE 9-25. A buccal view of high-pull extraoral force delivered to the maxillaiy arch.
= Pb(e)
C re
J-hook
Arch wire
the wire; also shown is the action-reaction transfer of the force system
from the wire to the segment. Similar force systems may also be pro-
duced by a straight- or cervical-pull appliance, but differing from that in
Figure 9-28 in the vertical component. The anchorage assembly is cho-
sen according to the desired direction of the applied force; controlling
the magnitude of the torque delivered are the magnitudes of the applied
T0
H0
F0 = Ta = F0(e)
FIGURE 9-28. Force diagrams in the buccal view showing headgear-generated torque
in an anterior section of a rectangular arch wire (left) and the transfer of that torque to
the incisal pair (right).
356
Bioengineering Analysis of Orthodontic Mechanics
force and its moment arm with respect to the center of the wire cross-
section. Also, if the hook extends occlusally from the wire, the sense of
the torque is reversed from that of Figure 9-28. Note that the couple
generated in the arch wire differs conceptually and, therefore, in the
manner of interpretation with regard to displacement potential, from
the couple obtained in moving the line of action of the extraoral force
directly to the center of resistance of the segment. For example, in Figure
9-27 the extraoral force delivers a torque to the arch wire, but the me-
chanically equivalent force system at the center of resistance includes no
couple. Furthermore, the displacement potential of an extraoral force is
highly influenced by any labiolingual action or resistance from the arch
wire; again using the example of Figure 9-27, with anteroposterior hold-
ing force generated by intraoral mechanics exerted against the anterior
crowns (in addition to the headgear action), the anticipated displace-
ment is lingual root-torque rather than bodily movement.
To obtain extraoral force transmission to the buccal segments using
J-hooks, because the J-hooks cannot reach these segments directly, ei-
ther the force must be transmitted through the arch wire or sliding jigs
must be used to deliver the force to the premolars (or to the retracted
canines) and carried distally by crown contact. The former procedure
has been discussed previously; the advantage of the latter is the facility
to keep the extraoral force, in the absence of friction, from affecting the
anterior teeth. The headgear assembly including the sliding jigs may be
used to drive the buccal segments distally, with the arch wire as a guide,
or to reinforce the anchorage provided by those segments in response to
intraoral mechanics. Generally, a straight-pull appliance is used in this
particular application; any vertical components of delivered force will be
transferred to the arch wire at the points where the J-hooks contact the
mesial extents of the sliding jigs. (To transmit action having a vertical
component to the posterior segments from extraoral activation, a face
bow must be used.)
Although the examples cited in this section may seem to restrict the
delivery of extraoral force through J-hooks to the maxillary arch, head-
gear of this type may also interact with the mandibular dentition. Fig-
ures 9-29 and 9-30 illustrate force transmission to produce incisal-seg-
ment uprighting and to reinforce posterior anchorage, respectively.
Note that, although in Figure 9-29 the high-pull force cannot pass
through the center of resistance, a cervical- or straight-pull headgear to a
pair of hooks affixed gingivally to a rectangular arch wire might substan-
tially reduce the potential for lingual crown-tipping and, with the arch
wire providing a holding force, third-order rotation opposite in sense to
that suggested by the figure can be achieved. Although posteriorly di-
rected active-force components exist with delivery to either arch, the
contrasts in effects (in one arch versus the other) lie in part in the vertical
components of force and the line-of-action locations with respect to cen-
ters of resistance. General considerations of headgear to the mandibular
arch are discussed in the following section.
357
Extraoral Appliances
FIGURE 9-29. A buccal view of high-pull action to the mandibular incisal segment.
Although the extraoral appliance most often delivers force to the maxil-
law arch wire and dentition—rightly given principal attention in this
chapter—extraoral force also may be directed to the mandibular arch.
Many of the applications are counterparts to extraoral actions to the
maxillary dentition: retraction of canines, anterior retraction, and rein-
forcement of posterior anchorage, for example. In several of the preced-
ing sections, some contrasts between maxillary- and mandibular-arch
delivery of extraoral force have been mentioned. In the view into the
occlusal plane the differences in the force diagrams are not highly nota-
ble. The comparable lateral widths are smaller in the mandibular arch,
which results in slightly larger fractions of activating force projected into
the coronal plane compared to their maxillary-arch counterparts, but
this differential is unlikely to be clinically significant. Comparisons as
viewed from a buccal perspective, however, suggest somewhat more
substantial differences.
Generally, using the cervical-pull force to the maxillary arch as a
reference, the angulation of the line of action of the headgear force is
steeper to the mandibular arch than to comparable locations in the max-
illary arch, even with the teeth in occlusion. With the mouth opened,
not only the angulation, but also the magnitude of the headgear force
may be increased, depending on the location and orientation of the acti-
vating force. Differences in line-of-action locations with respect to cen-
ters of resistance are also noteworthy. To approach the center of resist-
ance of the maxilla, superior to the line of brackets, a high-pull headgear
must deliver force to the arch wire anterior to the center of resistance
(see Fig. 9-25). To align the active force with the center of resistance of
the mandibular arch, gingival of the bracket line, the high-pull appliance
must attach to the arch wire posterior to the center of resistance. When a
vertical component of headgear force exists, for example with high-pull
action, an intrusive displacement potential is created with force delivery
to the maxillary arch, but an extrusive tendency is developed with acti-
vation of this headgear to the mandibular arch.
The analysis approach to determining the displacement potential of a
given appliance or choosing the particular headgear to produce a de-
sired displacement is the same in format, whether the appliance engages
the maxillary or mandibular arch. Of particular interest, however, is a
comparison of internal forces in the dentofacial complex between the
dentition and the head cap or neck pad. Activation of an extraoral appli-
ance to the maxillary arch creates an internal force system within the
bones of the skull. For example, the high-pull headgear generates inter-
nal compression, shown in simplistic form in the schematic in Figure
9-31. In effect, because both the active and responsive portions of the
headgear force system are against the same structure (the head), the
force transmitted into the maxilla travels posteriorly and internally
359
Extraoral Appliances
Fsuperior
F posterior
FIGURE 9-31. A buccal view depicting the internal torces generated in the skull by a
high-pull headgear to the maxillanj arch.
—.
(Ftm,)v
(Ftmj)a
FIGURE 9-32. A free-body diagram in the buccal view of the mandible with the
mandibular arch subjected to straight-pull extraoral action.
Ph
FIGURE 9-33. A free-body diagram in the buccal view of the mandible with the
mandibular arch subjected to high-pull-headgear force.
Dual-Force Headgear
One head cap or a head cap to support the maxillary-arch activation and
a neck pad to support the force system to the mandibular arch might be
employed. The larger, total responsive force suggests that the area over
which the anchorage force is distributed should be increased; this is
particularly important when a dual-force headgear assembly is sup-
ported by just a head cap. If complementing displacements are to be
produced in the two arches, the magnitudes of force to the individual
dentitions must be coordinated to avoid interarch interferences. Practi-
cal limitations exist with regard to the directions and locations of the
lines of actions of forces to the two arches. For example, arranging a
high-pull activation to the mandibular arch and a cervical- or straight-
pull force system to the maxillary arch would require the lines of action
of activating forces on each side to cross one another.
The overall analysis of a dual-force headgear is accomplished, if one
pair of forces is transmitted to each arch, by separate force-displacement
analyses of the actions to the individual arches. In this approach, the
procedures discussed in preceding sections of this chapter are em-
ployed. Conceptually, the application of dual-force action to a single
arch may be considered. To be determined initially is whether the ac-
tions of the two forces (per side) are (1) separable in their effects on
different portions of the dentition or (2) complementary toward a more
uniform distribution of force through a segment or the arch. If the
former is the case, two individual analyses are undertaken; if the latter is
the situation, the resultant of the two active forces (on each side) is
obtained and a single analysis is carried out within the procedures al-
ready discussed.
P0
F0
Chin cap
p0
Pb
Chin cap
I
FIGURE 9-35. A buccal view of the chin cap subjected to high-pull-headgear force.
364
Bioengineering Analysis of Orthodontic Mechanics
Chin cap
FIGURE 9-36. A buccal view of the chin cap subjected to vertical-pull action.
365
Extraoral Appliances
however, the location and direction of the line of action of the active
force is similar to that of Figure 9-33; hence, activation appliance
produces notable responsive forces in the TMJ. As long as the lines of
action of the active forces to the chin pass superior to the condyles,
the appliance does tend to rotate the lower jaw open and, conse-
quently, the inuscl not generally assume any role in
responding to it.
Reverse-Pull Appliances
P0
Bridge
a0
2F0 + 2P0 a0
P0
FIGURE 9-37. A free-body diagram in the occiusal view showing action and response of
the reverse-pull headgear.
366
Bioengineering Analysis of Orthodontic Mechanics
Pb
/
Distribution of
\\ Plastic
responsive force bar
from forehead
Cheek pad
Fb
F,,,
Forehead
pad
F9, = F, h + —
1-I
= + a fraction of F9
r
L___Head
strap Bridge
Chin cap
in the buccal view of a design that divides the frontal anchorage between
the chin and the forehead (or encircles the face much like a baseball
catcher's mask). Although perhaps providing the greatest area over
which to distribute the responsive force, considering the three designs,
allowance should be incorporated for the normal relative movement of
the mandible. The wire bridge between the head band and chin cap
should, therefore, be free to slide vertically with respect to the head
band. The inclined strap (shown dashed) must be relatively flexible, but
must carry sufficient force F9 to hold the appliance in place. A static
analysis of the horizontal forces is given within the figure; the respon-
sive force magnitudes and depend on both the elastic and strap
fractions.
Figure 9-40 shows the force systems in buccal view exerted on a
reverse-pull appliance that uses a chin cap for anchorage. The force sys-
tem on the left exists before the elastics are in place; after the elastics
have been activated (F,,) the force system is that shown on the right in
the figure. Both sketches are provided to show the differences primarily
in the magnitude and location of Q,,, resulting from placement of the
elastics. The connection between the wire bridge and the chin cap must
be rigid since F,, tends to rotate the bridge about that location. This
potential for rotation is then transferred into and through the chin cap to
the chin; hence, the design of the chin cap, the location of the connec-
tion of the high-pull fraction band to the chin cap, and the band traction
must all be coordinated to prevent the rotation. (A cervical strap at-
tached to the chin cap can help offset the rotational potential.) Here
again, the head cap primarily provides stability and the resultant pres-
sure delivered to the anchorage is the superposition of the contributions
from the elastics and the head cap (through the fraction bands). In de-
signs where the chin is used partially or totally as anchorage, the poten-
tial exists for interference with normal growth of the mandible; also,
internal forces are created within the TMJ that would not otherwise be
present (see Fig. 9-33).
The force transmitted from the wire bridge to intraoral locations is
obviously restricted to an extent in direction. Vertical components are
virtually nonexistent. If the elastics are not to cross the occlusion, lateral
Bridge
Chin cap
Synopsis
Reference
Suggested Readings
de Alba, J.A., Chaconas, S.)., and Caputo, A.A.: Orthopedic effect of the
extraoral chin cup appliance on the mandible. Am. J. Orthod., 69:29—41,
1976.
de Alba, J.A., Chaconas, S.J., and Emison, W.: Stress distribution under high-
pull extraoral chin cup traction. Angle Orthod., 52:69—78, 1982.
Armstrong, M.M.: Controlling the magnitude, direction, and duration of
extraoral force. Am. J. Orthod., 59:217—242, 1971.
Badell, M.C.: An evaluation of extraoral combined high-pull traction and cervi-
cal traction to the maxilla. Am. J. Orthod., 69:431—466, 1976.
Baldini, C.: Unilateral headgear: Lateral forces as unavoidable side effects. Am.
J. Orthod., 77:333, 1980.
Baldini, G., Haack, D.C., and Weinstein, S.: Bilateral buccolingual forces pro-
duced by extraoral traction. Angle Orthod., 51:301—318, 1981.
Baldridge, J.P.: Unilateral action with headcap. Angle Orthod., 31:63—68, 1961.
Barton, J.J.: High-pull headgear versus cervical fraction: A cephalometric com-
parison. Am. J. Orthod., 62:517—539, 1972.
Block, A.J.: An analysis of midline and off-center extraoral force. Angle Orthod.,
32:19—26, 1962.
Fischer, T.J.: The cervical facebow and mandibular rotation. Angle Orthod.,
50:54—62, 1980.
Haack, D.C., and Weinstein, S.: The mechanics of centric and eccentric cervical
traction. Am. J. Orthod., 44:345—357, 1958.
Hershey, H.G., Houghton, C.W., and Burstone, C.J.: Unilateral facebows: A
theoretical and laboratory analysis. Am. I. Orthod., 79:229—249, 1981.
Jacobson, A.: A key to the understanding of extraoral forces. Am. J. Orthod.,
75:361—386, 1979.
Jarabak, J.R., and Fizzell, J.A.: Technique and Treatment with Light-wire Edge-
wise Appliances. 2nd Ed. St. Louis, C.V. Mosby, 1972, Chapter 7.
Kloehn, S.J.: An appraisal of the results of treatment of Class II malocciusions
with extraoral forces. In Vistas in Orthodontics. Edited by B.S. Kraus and
R.A. Riedel. Philadelphia, Lea & Febiger, 1962, pp. 227—258.
Kuhn, R.J.: Control of anterior vertical dimension and proper selection of
extraoral anchorage. Angle Orthod., 38:340—349, 1968.
Merrifield, L.L., and Cross, J.J.: Directional forces. Am. J. Orthod., 57:435—465,
1970.
Oosthuizen, L., Dijkman, J.F.P., and Evans, W.G.: A mechanical appraisal of the
Kloehn extraoral assembly. Angle Orthod., 43:221—232, 1973.
Osvaldik-Traph, M., and Droschl, H.: Upper headgear versus lower headgear,
yokes, and Class II elastics. Angle Orthod., 49:57—61, 1979.
Perez, C.A., de Alba, J.A., Caputo, A.A., and Chaconas, S.J.: Canine retraction
with J hook headgear. Am. J. Orthod., 78:538—547, 1980.
Ringenberg, Q.J., and Butts, W.C.: A controlled cephalometric evaluation of
single-arch cervical traction therapy. Am. J. Orthod. 57:179—185, 1970.
Tabash, J.W., Sandrik, J.L., Bowman, D., Lang, R.L., and Klapper, L.: Force
measurement and design of a torquing high-pull headgear. Am. J. Orthod.,
86:74—78, 1984.
Thurow, R.C.: Edgewise Orthodontics. 4th Ed. St. Louis, C.V. Mosby, 1982,
Chapter 19.
Thurow, R.C.: Atlas of Orthodontic Principles. 2nd Ed. St. Louis, C.V. Mosby,
1977, Chapter 16.
Watson, W.G.: A computerized appraisal of the high-pull face-bow. Am. J. Or-
thod., 62:561—579, 1972.
Worms, W.W., Isaacson, R.J., and Speidel, T.M.: A concept and classification of
centers of rotation and extraoral force systems. Angle Orthod., 43:384—401,
1973.
Force and Structural
Analyses of
Representative
Orthodontic Mechanics
tul©
The preceding chapters introduced the concepts and procedures neces-
sary to undertake force and structural analyses of orthodontic appliance
elements. Although all preparations were discussed with the intended
application in mind, that application has not been examined in its total-
ity to this juncture. It is appropriate to indicate initially that the analyses
that follow are exemplary; although specific analyses may be more inter-
esting and meaningful to some than to others, the intended emphasis is
on the analysis procedure and on the logical, orderly succession of steps
within it. Discussions are carried out with pertinent, accompanying dia-
grams. Of the sample mechanics examined, the overall procession is
from the relatively straightforward to the more complex, wherein the
level of complexity is associated with that of the involved dentition, that
of the appliance and the force system exerted upon it, and the sophisti-
cation of the modeling that must be undertaken to ensure an under-
standable and self-validating solution.
At the outset, it is helpful to recollect several of the more prominent
concepts previously introduced. The tooth crowns are subjected to me-
chanical force systems exerted by the appliance; the characteristics of
these crown force systems determine the potential displacement pat-
terns of the dental units (Chap. 5). The appliance, as activated, exists in
a state of quasi-equilibrium which implies an almost exact balance of
force and moments within the total force system (Chap. 2). The force-
analysis problem is inherently indeterminate and, therefore, active con-
figurations relative to passive constraints and stiffnesses (Chap. 3) are
keys to the completion of a solution. Differential force and anchorage are
to be clearly understood, inasmuch as the engaged orthodontic structure
is attached to a nonrigid "foundation," the dentition. Finally, the assem-
372
373
Force and Structural Analyses of Representative Orthodontic Mechanics
bly under study is, strictly speaking, a dynamic one, which means that
time is a principal independent parameter and deactivation is an on-
going, between-appointments process that must not be overlooked
while carrying out instantaneous analyses.
Each individual analysis follows a common procedural outline. An
overview of the as-activated force system is undertaken in the context of
the intended objectives of the appliance. As necessary and warranted,
the actual appliance and the involved dentition or segment thereof are
then modeled with care; the intent is the subsequent accomplishment of
an analysis in the absence of undue involvement and in the presence of
the principal aspects of the problem. The analysis itself is pursued,
using the four-step approach outlined in Chapter 6. Following the dis-
cussion of active, reactive, and responsive force systems exerted on and
existing within the appliance, exerted on the dentition, and existing
within the periodontium, the significant structural characteristics of the
appliance may be considered and, possibly, a rationale for improving
the design established. Toward quantification of the components of the
force systems, needed measurements at activation must be indicated
before the computations of force magnitudes are begun.
Although each example pertains to only a portion of the total therapy
plan for the patient, the individual tooth and segment displacements
considered must be examined within the framework of overall treatment
objectives. The functional requisites are to achieve, or at least approach
to the extent possible, ideal tooth positions and orientations as well as
ideal arch-form geometry. Proper interdigitation and relationships of
dentition to basal bone are sought. The positions and orientations of the
maxilla and mandible, with treatment completed, are expected to reflect
facial harmony and skeletal balance. Operational relationships—
occlusion and TMJ function—must be proper at the conclusion of active
treatment. Finally, correctional procedures are undertaken to promote
retention of the as-treated, realigned, dental-unit configurations and
supporting-tissue positions.
The implicit, biomechanical objectives of this final chapter are two in
each example. First, given the force system generated at the activation
site(s) by the appliance or a portion of it, an overall force analysis involv-
ing the appliance structure and the supporting dentition is undertaken
toward examination of all potential dental-unit displacements. Both the
displacements desired and intended and those unwanted—generally
associated with the responsive force system—are scrutinized. Second, a
structural evaluation of the appliance and its elements may be pursued
with a view toward potential failures and, perhaps, ways in which the
design might be positively modified.
Although any one of the examples to be considered might easily be
subjected to discussion to the point of devoting the equivalent of a com-
plete chapter to its structural analysis, including numerous alternative
designs, clearly some limitations must be envoked. In general, detailed
numerical involvements are avoided. Most studies are through instanta-
neous, quasi-static analyses, although references may be made to rele-
374
Bioengineering Analysis of Orthodontic Mechanics
Leveling Displacements
To begin, a premolar requires a facially or lingually directed, simple-
tipping displacement to achieve proper alignment. A round arch wire is
engaged into the facially placed brackets of the premolar and, mini-
mally, the teeth immediately mesial and distal to the premolar. The den-
tal units ordinarily adjacent to the premolar are assumed present. Given
a choice of brackets and reasonable first-order orientations of all in-
volved teeth, a wire is assumed available which, when fully engaged
and activated, will not have been inelastically bent as a consequence of
that activation; in short, the faciolingual malalignment is not excessively
severe.
375
Force and Structural Analyses of Representative Orthodontic Mechanics
0 j- (P)
Response
decay
FIGURE 10-1. 0cc/usa! views of a lingually ma/aligned premolar, adjacent teeth, and an
engaged leveling wire (top), the force system exerted on the premo/ar and split
anchorage by the arch wire (center), and the free-body diagram of the wire segment
(bottom).
377
Force and Structural Analyses ot Representative Orthodontic Mechanics
greater the tendency for occurrences of first-order couples that can pro-
duce rotational displacements.
A second example of this section is that of moving a "high" canine
into proper occlusogingival alignment. To provide adequate space and
reduce arch-length discrepancy, the adjacent first premolar has been
extracted. A continuous arch wire is placed and, again, its curvature in
the arch-form plane is ignored in the analysis. Because required move-
ments of five or more millimeters are not uncommon, the extrusive force
is generated by stretching a relatively flexible, "elastic" element between
the canine bracket (affixed to the facial crown surface) and the arch wire.
Activation of the elastic induces the extrusive force against the canine
shown in views from the facial and mesial perspectives within Figure
10-2. The latter reflects the eccentricity of the force and suggests that a
lingual-crown-tipping displacement might accompany the extrusive
movement (see Fig. 5-16). A free-body diagram of the elastic is shown in
the upper right of the figure; from action-reaction and quasi-static analy-
ses the magnitudes of the three forces encountered thus far, all approxi-
mately parallel to the long axis of the canine, are equal at any time. The
initial magnitude of Fe is best measured directly with an appropriate
force gauge. A free-body diagram of the arch wire is shown in the lower
portion of Figure 10-2. The symmetry of the previous example is absent
here because of the extracted premolar, but the anchorage is again split
and a force balance requires the sum of the two, resultant, responsive-
force magnitudes to equal that of the active force. From a moment bal-
ance with respect to the attachment location of the elastic, the resultant
responses are inversely proportional to their individual distances from
the line of action of the elastic force (in the absence of second-order
couples as part of the response).
Note that the force delivered to the anterior anchorage is greater
than—approximately twice the magnitude of—that delivered to the
posterior anchorage (see Fig. 2-28). The prudent arch-wire choice in this
example is that exhibiting the highest bending stiffness possible, given
the bracket-slot size. The arch wire need not be deflected in the activa-
tion of the appliance. The greater the wire stiffness, the more nearly
uniform is the distribution of force within the anchorage unit. The ante-
rior segment in this example must sustain a responsive resultant approx-
imately two-thirds the magnitude of the force applied to the canine
bracket. The lateral-incisor root is smaller than that of the canine and, if
the arch wire is flexible, an active force of sufficient size to produce the
desired canine displacement would undoubtedly move (intrude, tip?)
the incisor as well. Use of a full size rectangular wire has the added
benefit that, when the canine has been displaced occlusally to the extent
that the elastic may be discarded and canine-bracket engagement is pos-
sible (without excessive force or inelastic material behavior), a torsional
couple may be delivered to the canine crown to correct any third-order
malpositioning caused by the eccentricity of the active, extrusive force.
Moving a terminal molar into proper alignment presents a somewhat
different problem in that, unlike the two previous examples, restricting
378
Bioengineering Analysis of Orthodontic Mechanics
Fe
I
Fe
Fe
segment
Fa
FIGURE 10-2. Mesiodistal (upper left) and facial (upper center) views of a high"
(impacted) canine subjected to an elastic force, a free-body diagram of the stretched
elastic (upper right), and a free-body diagram of the arch-wire segment that transmits
the responsive elastic force to split, intraoral anchorage (bottom).
Rotational Corrections
Changing views, a common individual-unit malalignment is the ro-
tated tooth. To attempt the correction, the active force system must pro-
380
Bioengineering Analysis of Orthodontic Mechanics
Anchorage
Ct
Fb
Cb
-
Fb =
Cb = +
F,,
all
FIGURE 10-3. Buccal views of a terminal molar to be aligned and intraoral anchorage
(top), the crown force system exerted by a cantilever on the molar (center left) and on
the anchorage (center right), and a free-body diagram of the cantilever (bottom).
381
Force and Structural Analyses of Representative Orthodontic Mechanics
duce a moment about the desired axis (the cro in the occiusal view)
having the sense (clockwise or counterclockwise) to oppose the malposi-
lion. If the cro is to be on the long axis, the resultant of the active force
system should ideally be a couple in an occlusogingival plane. Such a
force system might nearly be produced by an arch wire engaging a
bracket slot, but angulated with respect to the slot. If a distolingual
rotation is desired, for example, the wire would push against the distal
extent of the bracket slot and against the ligation at the mesial extent of
the slot. Two less than efficient aspects of this approach are the depend-
ence, in part, on the ligation to maintain the activation and the small
moment arm equal to the mesiodistal width of the bracket slot. An in-
crease in the size of the moment arm is the improvement demonstrated
in the mechanics illustrated in Figure 10-4. If a small interproximal space
exists, an elastic may be stretched between an eyelet or button (affixed to
the band or directly bonded to the crown surface in the lingual position
shown) and the arch wire. The bracket attached to the facial surface is
assumed aligned occlusogingivally with the arch wire, but perhaps not
initially engaging the wire. On the upper left in the figure is an occlusal
view showing the tooth, bracket, lingual button, and the elastic. In the
upper right view the active force system against the crown is just the
Fe
Here, Fe = F,,,
Fe
the forces
form a couple, C0.
FIGURE 10-4. Occlusa/ views of a rotated tooth and the use of an elastic and arch wire
to attempt the correction.
382
Bioengineering Analysis of Orthodontic Mechanics
—
— —
Passive lever
__—
— —
0 .p.1
= f(D)
Effective couple
equals F(D — d)
FIGURE 10-5. 0cc/usa! views of a lingual-lever system to correct a rotation. Shown are
a composite sketch of the mechanics (top), a free-body diagram of the lever (center),
and the force system transmitted to the tooth crown (bottom).
nent (parallel to of the tie force, forms the couple meant to correct the
rotation. Also shown in sketches are forces from the ligature and fric-
tion. The size of the frictional force between arch wire and bracket will
be the principal influence on the location of the axis of rotation relative
384
Bioengineering Analysis of Orthodontic Mechanics
Friction
F,,,
Friction
FIGURE 10-6. 0cc/usa! views of a 'wedge" used to correct a rotation. Shown are a
schematic of the mechanics (top), a free-body diagram of the wedge (lower left), and
the force system delivered to the tooth crown (lower right).
to the long axis. If this force is sufficiently great, the rotation could be, in
the absence of crown contact (on the side opposite to that of the spring
position), about an occlusogingival axis through the bracket. The effec-
tiveness of the spring depends on the combined flexibilities of the tie
and spring in the presence of adequate elastic range. Increments of
movement following activation will be small if the tie is a segment of
ligature wire and the spring stiffness is high.
The last rotational-correction scheme to be examined is similar to the
first in this series in that the activation is again tangential to the crown.
The activating force here, however, is directed mesiodistally. The upper
portion of Figure 10-7 depicts the presence of crown contact from the
adjacent tooth; the driving force at the facial surface is accompanied by
the crown-contact response. These two forces form a couple and, in the
absence of significant friction, the first-order rotation induced will be
counterclockwise about the long axis of the malposed unit. In the lower
portion of the figure there is no crown contact and a rolling displace-
ment should be expected with the center of resistance moving in the
direction of the force and the center of rotation located lingual to the
long axis. In both instances here the arch-wire influence is suppressed
and it is assumed that the tooth is not ligated to the wire. In all of these
examples of rotational correction, if the couple is to be formed, the "sec-
ond" force arises from a secondary activation. When "in-place," first-
order rotations are wanted, it is important to note the location and
source of the secondary force together with gauging the appropriate
stiffness of the element producing that force, so that the format of the
expected, actual movement can knowledgeably be assessed.
385
Force and Structural Analyses of Representative Orthodontic Mechanics
Factive
Potential displacement
is long-axis rotation.
No adjacent-
crown contact
Potential displacement
is a generalized,
rolling rotation.
Bilateral Action
Another class of displacements appropriate to this section encom-
passes the intra-arch, bilateral movements of individual teeth in a sym-
metric manner with respect to the midsagittal plane. As an initial exam-
ple, consider the closing of space between the maxillary central incisors.
The appliance consists of an arch-wire segment, gabled between two
brackets if warranted, and an elastic encircling the pair of incisor brack-
ets. Appropriate sketches are given in Figure 10-8. If the action is truly
bilateral, then two activation sites and no anchorage exist; action-re-
sponse is effectively replaced by "action-action." The forces at either
end of the elastic drive the central incisors toward each other and the
ligated arch-wire segment is expected to produce first- and/or second-
order couples to control or rectify the angulations of the teeth during the
movements. The free-body diagrams in the figure are balanced by
paired, mirror-image force-system components. If no tipping is to occur
during the space closure, the "guiding" wire segment must possess
high bending stiffness. To prevent mesiolingual "rolling" the ligation
must be snug and the ties stiff, but concurrently not induce sizable fric-
tional resistance.
386
Bioengineering Analysis of Orthodontic Mechanics
Elastic
-4 0'
F0
FIGURE 10-8. The closing of space between maxillary central incisors: the teeth and the
mechanics (left), tree-body diagrams of the elastic and the wire segment (center), and
the delivered crown force systems (right), all in facial views.
/ / Outer bow
arm
L0 L0
Co Co
FIGURE 10-9. lntra-arch bilateral action to the terminal molars from an 'inner bow':
force systems against the arm ends (top) and their action-reaction counterparts exerted
on the molar crowns (bottom) in 0cc/usa! views.
ity when activated. The bar is usually formed to give the tongue ample
room, but without exerting undue pressure on the hard palate. The
stiffnesses at the crown-contact locations are likewise substantial; hence,
activating displacements must be relatively small. With its bulk the
388
Bioengineering Analysis of Orthodontic Mechanics
Tp
FIGURE 10-10. Posterior views of bilateral action against the terminal molars: action-
reaction force systems exerted on the appliance (top) and the molars (bottom).
transpalatal bar is more often used to maintain arch width and/or long-
axis orientations as an auxiliary to other mechanics than to directly gen-
erate tooth movements.
lnterarch Mechanics
Individual teeth may experience displacements induced by interarch
mechanics. Perhaps the simplest example is in a finishing step in ther-
apy using the "up and down" elastic to effect proper interdigitation. The
mechanics are similar to those illustrated earlier to extrude the "high"
canine, but the anchorage here is provided by teeth in the opposing
arch. Figure 10-12 shows a maxillary premolar subjected to an occlusally
directed force from an elastic stretched and placed around the bracket.
The elastic also encircles brackets affixed to the facial surfaces of the
opposing teeth of the mandibular arch. A free-body diagram of the elas-
tic and an illustration of the responsive forces delivered to the involved
mandibular teeth complete the figure. Extrusion of all three teeth may
389
Force and Structural Analyses of Representative Orthodontic Mechanics
FIGURE 10-11. A free-body diagram of a transpalatal bar, as viewed from the posterior
(top), and the force systems delivered bilaterally to first maxillary molars (bottom).
occur, depending on the magnitudes of the elastic forces and the indi-
vidual bending stiffnesses of the engaged arch wires. If extrusion of only
the maxillary premolar is desired, the maxillary arch wire, if present,
should exhibit occiusogingival bending flexibility to permit the desired
displacement. In addition, because of the eccentricity of the active force,
a labial crown torque from the wire would be helpful. The mandibular
arch wire should be stiff to provide restraint against occiusally directed
displacement and tipping and to distribute the responsive force system
beyond the two mandibular teeth shown.
390
Bioengineering Analysis of Orthodontic Mechanics
A t
H5
Q4
Maxillary
arch wire
Responstve force
delivered to the
maxillary arch
A portion of
the elastic
Posterior
segment
Half
anterior
segment
op
Cp = Fa(e)
FIGuRE 10-14. A utility arch wire in the mandibular arch: buccal views of the passive
(dashed) and activated (solid) mechanics (top); a free-body diagram of the half arch
wire (center); and the force system delivered to the terminal molar (lower left) and half
anterior segment (lower right).
394
Bioengineering Analysis of Orthodontic Mechanics
vertical stiffness of the arch wire and the amount of vertical displace-
ment necessary to engage the anterior segment. The stiffness is depend-
ent on the wire from which the arch is formed and the distance 1?. The
passive position of the anterior section of the arch is independent of the
stiffness and is controllable by the clinician in, for example, the size of
the tip-back bend placed mesial to the buccal tube. The displacement(s)
following activation depend on the magnitudes of F,,, E, and the in-
volved root-surface areas. If intrusion of the incisors is desired, the ca-
nines are not engaged and, if F,, is sufficiently light, the terminal molars
alone may provide enough anchorage; a conservative operator would,
however, reinforce the anchorage with an additional molar or premolar
on each side.
In the lower right sketch of Figure 10-14, note the position of the line
of action of the intrusive force with respect to the center of resistance;
apparently, the intrusion is likely to be accompanied by labial crown
tipping. One means of counteracting this additional (assumed un-
wanted) displacement component is illustrated in the maxillary, utility-
arch analysis of Figure 10-15. As suggested in the top sketch in the
dashed, passive configuration, the intent here (as in the previous exam-
ple) is to open the anterior bite—in this instance through intrusion of
the maxillary anterior teeth. The analysis procedure through the
sketches of Figure 10-15 follows that of the foregoing example. Note in
the center sketch that the anteroposterior forces must be equal in magni-
tude; they are essentially independent of other components of the force
system and their size is determined by a longitudinal stiffness, a func-
tion largely of the characteristics of "tie-back" element and the "omega
loop" bent into the arch, and the amount of anteroposterior activating
deformation. In the representations of the anterior and posterior seg-
ments and the exerted force systems, the moments about the centers of
resistance of the forces P,, and oppose those of F,, and C,,, respectively.
Note also, because the roots of the maxillary central incisors are substan-
tially larger than their counterparts in the mandibular arch, two-tooth
posterior segments are necessary, minimally, to provide anchorage for
intrusion of four incisors and are insufficient if the involved anterior
segment also includes the canines.
Returning to the mandibular arch, the treatment of an anterior open
bite may call for extrusion of the mandibular incisors and a suitable
utility arch may be engaged. The vertical forces and second-order couple
of Figure 10-16 are reverse in sense from their counterparts in Figure
10-14, but added in the new figure is a third-order anterior couple, gen-
erated, perhaps, through use of rectangular wire and appropriate activa-
tion. The extrusive force tends to produce lingual crown tipping because
of its position in relation to the cre. If the labiolingual long-axis orienta-
tion is to be maintained, or if labial crown tipping is to accompany the
extrusion, the torsional couple (or a labially directed force component)
must be present. Directing attention to the posterior response, usually
particularly important when creating anterior extrusion (in either arch)
is the use of more than sufficient anchorage or previous anchorage prep-
395
Force and Structural Analyses of Representative Orthodontic Mechanics
F,,,
Fa
Pa
cp
= F,,(L)
= Pa
= Fa
FIGURE 10-15. A tied-back, maxillary utility arch: a buccal view with the passive anterior
position dashed (top); a free-body diagram of the half arch wire (center); and the force
systems exerted on the posterior (lower left) and half anterior (lower right) segments.
Cp I Co
•1
F8
Fa =
C8 = —
Ca
7
Fa
F8 =
Ca = F8(€')
FIGURE 10-17. A utility arch to extrude mandibular terminal molars: buccal views of the
activation and anchorage sites and the arch (top); a free-body diagram of the half arch
wire (center); and the force systems exerted on the terminal molar (lower left) and half
anterior segment (lower right).
399
Force and Structural Analyses of Representative Orthodontic Mechanics
/ Buccal tube
anterior
posterior
Fa
Fa
FIGURE 10-19. A free-body diagram in the buccal view of the activated arch wire of
Figure 10-18 (top), and the occiusogingival forces delivered to the posterior, middle,
and half anterior segments of the mandibular dentition.
ings of dental units are such as to define the middle segment as the two
adjacent premolars, from the relative size of Fmid some intrusion of those
teeth is inevitable also.
Within the initial assumptions made, the displacements achieved in
mechanics intended to modify the curve of Spee depend on the relative
sizes of the root-surface areas of the segments, occiusal contacts with
opposing teeth, the magnitudes of the forces generated in activation,
and, to some extent, the type of displacement (intrusion versus extru-
sion). The sizes of forces produced are governed by the characteristics of
the arch wire that determine bending stiffnesses and the difference in
401
Force and Structural Analyses of Representative Orthodontic Mechanics
Pt
Pa
Fa
Fmid
Incisal
Terminal pair
molar
Pt
FIGURE 10-20. Reducing the curve of Spee in the maxillary arch with a round arch
wire, as activated anteroposteriorly passive (but stopped against posteriorly directed,
relative displacement through the buccal tubes): free-body diagram of the half arch wire
(top) and occiusogingival forces delivered to the segments of the half arch (center)
immediately after activation; and antero posterior forces generated secondarily against
the terminal molar (lower left) and half anterior segment (lower right) with on going
leveling. Action-reaction counterparts appear dashed in the free-body diagram (top).
Spring
-4 (_
/ ) Pr
N
F, F5
F,
Portion of actually
delivered to canine
Carried posteriorly
by friction
1=
I
Arch wire
Ccc
arch analysis. Involved in the discussion from this point, then, are two
or three anterior teeth and one associated posterior segment. As with
canine retraction, both continuous and segmented-arch-wire procedures
are used, and both are examined subsequently. Of substantial concern,
particularly in the simultaneous retraction of incisors and canines, is the
stability of the posterior-segment anchorage.
Anterior retraction encompasses all displacements of the four or six
teeth characterized by some lingual movement of the crowns and/or root
apices. Depending on the initial positions and angulations of anterior
teeth (as viewed from a buccal perspective), one of several possible or-
thodontic displacements may be required. Using the U-shaped arch-
wire model—halved at the midline—the displacements are categorically
transverse and first-order control need not provoke the degree of con-
cern inherent in canine-retraction mechanics, particularly when only the
incisors are to undergo displacement.
Shown schematically in the upper portion of Figure 10-24 are the
incisors and posterior teeth engaging one-half of a continuous arch wire.
The intent of the mechanics is to close space between the lateral incisors
and the canines and, in doing so, to complete the displacement with the
desired labiolingual, long-axis angulations of the maxillary incisors, The
free-body diagram of the half arch wire and the force systems delivered
to the half-incisal and posterior segments are shown in the center and
lower portions of the figure, respectively. The anteroposterior, active
and responsive forces are ordinarily generated in one of two ways. A
hook is affixed to or an "omega loop" may be bent into the arch wire
mesial to the molar buccal tube (assuming facial-surface mechanics) or
an appropriate opening or closing loop is incorporated in the arch distal
to the lateral incisor. The arch is "tied back" either with flexible elastic
elements or, in the presence of the loops (providing the mesiodistal
flexibility), with segments of ligature wire. With the former method,
illustrated in the figure, the posterior ends of the arch wire are left "free"
to slide within the attachments to the buccal segments. The third-order
couple Ca may be initially activated, secondarily activated for control
only, or not present at all, depending on the character of the retraction
displacement desired. Correspondingly, a responsive couple against the
posterior segment may or may not exist. Vertical force components may
also be present, as noted previously in the canine-mechanics discussion,
but for simplicity they are not included here.
Figure 10-25 presents appropriate illustrations for mechanics using a
retraction spring to activate an anterior-segment force system. (An anal-
ogy is drawn here with Figure 10-23 and the discussion accompanying
it.) Overall, in this approach, arch-wire segments individually engage
the incisal and posterior dental segments. To create incisal-segment
torque (a moment about the bracket line), the retraction spring is acti-
vated against a hook affixed occlusally or gingivally of the wire-segment
level, as discussed in Chapter 9 (see Fig. 9-28). The posterior end of the
spring is attached to the buccal-tube assembly affixed to the terminal
molar.
410
Bioengineering Analysis of Orthodontic Mechanics
Ph
Cd
segment
Cd
Fa
Fb
Retraction
spring
Fb
Buccar
segment
35g
4oz
108 g
4 oz
4 oz
FIGURE 10-26. Horizontal and vertical components of force delivered by a typical, 4 oz,
Class II elastic force.
414
Bioengineering Analysis of Orthodontic Mechanics
\'
90° pIus
\
FIGURE 10-27. A buccal view of a mandibular, terminal molar with crown tipped distally
so that the Class II elastic force does not include an extrusive component.
\
Arch wire
passive
Second-order Stabilizing,
clearance second-order
gone bend
FIGURE 10-28. Distal crown movement in steps to prepare posterior anchorage: initial,
second-order clearance between wire and bracket as the displacement is begun by a
distal driving force (left); the second-order clearance eliminated by tipping (center); and
subsequent activation by the wire of a counter-tipping couple (right).
416
Bioengineeririg Analysis of Orthodontic Mechanics
apices than in simple tipping, (2) friction likely inhibiting the crown
movement along the wire, (3) the addition of the distal driving force
after the initial torquing displacement as a separate, not a secondary,
activation, and (4) the control of the couple-force ratio toward produc-
hon of bodily movement more difficult when the transverse force fol-
lows the couple rather than vice versa.
Clinicians may describe the amount of anchorage preparation in a
qualitative manner as "mild," "moderate," or "severe." Involved are
the time interval over which these mechanics are continued and the
initial force level together with the sizes of the second-order bends to
achieve a particular set of long-axis angulations with respect to vertical.
The degree of preparation is jointly dependent on the expected respon-
sive force system against the anchorage in magnitude, displacement-for-
mat tendency and time interval of existence of that response, the size of
the anchorage (in terms of root-surface area) relative to the action, and
the amount of "slipping" of anchorage that can be tolerated. At the risk
of being repetitive, an additional, important consideration is that new,
uncalcified bone is more difficult to resorb than mature bone; hence, the
elimination ("burning") of anchorage generally requires more time than
the establishment of it—an inherent asset not to be overlooked.
Following preparation of anchorage it is put to use. Typically this
anchorage in the maxillary arch must resist Class III elastics and, in the
mandibular arch, Class II elastics. To prevent the responsive forces from
the elastics from tipping the prepared posterior teeth, stabilizing, sec-
ond-order bends are placed in the wire segments or buccal portions of
the continuous arch wire engaging these teeth. Moreover, to further
protect the terminal molars in particular (to which the elastics are at-
tached) against possible extrusion, arch wires are fabricated such that,
upon engagement, intrusive forces are induced when possible in addi-
tion to the second-order force system from the tip-back bends. As time
proceeds following anchorage preparation, the newly laid-down bone in
the mesial, crestal regions adjacent to the posterior teeth matures and
becomes more susceptible to resorption. Concurrently, the time during
which the anchorage will continue to be "in use" is growing shorter.
As the wanted displacements proceed toward their desired extents,
the active force can be increased in magnitude. The accompanying re-
sponsive force will likewise grow, heightening the potential for the
"slipping" of anchorage. Because the anchorage is not to remain as pre-
pared following treatment—rather, the buccal teeth will need to be up-
righted—the beginning of the elimination of the long-axis inclinations in
the closing stages of Class III or Class II mechanics, for example, is
appropriate. Care must be taken, however, to ensure that the anchorage
"burning" procedure approaches the exact reversal in format of the an-
chorage-preparation process. If a portion of the preparation remains fol-
lowing discontinuation of the mechanics against the anchorage, a com-
bination of the "memory" of the periodontal-ligament fibers and
ongoing physiologic processes will help to restore the upright orienta-
tions of the posterior teeth. "Up and down" elastics can be used subse-
quently, as necessary, to achieve the desired intercuspation.
417
Force and Structural Analyses of Representative Orthodontic Mechanics
Fe
= 3.7 (V,,,)
vi" (with the elastic angulated
15° trom the occiusa] plane)
H,,,
Fe
FIGURE 10-29. A free-body diagram in the buccal view of a right-side? Class Ill elastic.
418
Bioengineering Analysis of Orthodontic Mechanics
approximately 15° with the occlusal plane. With this orientation the hori-
zontal components are about 3.7 times as large as the vertical compo-
nents and, for practical purposes, are equal to the elastic force itself.
Ordinarily engaging the maxillary dentition is a continuous, stabiliz-
ing arch wire for the purpose of distributing the force of the elastic
against the terminal molar. Although no direct connection between the
elastic and wire exists, the elastic force can be transferred to the arch
wire by the buccal-tube assembly. If the maxillary arch, in particular the
maxillary buccal segment, is to provide anchorage in these mechanics,
stabilizing second-order bends are placed in the posterior portion of the
arch wire including tip-back bends, perhaps active, at the terminal-
molar positions. The second-order couples are intended to prevent me-
sial crown tipping of the posterior teeth and, often, the tip-back bend is
sufficiently severe to also create an intrusive force against the terminal
molar. In addition, an extraoral appliance to the maxillary arch, perhaps
including a face bow with direct attachments to the terminal molars,
may be used. Again, if anchorage reinforcement is the intention, the
headgear principally transfers away the horizontal component of force
originating with the elastic.
Although dependent on the objective of the mechanics to some ex-
tent, typically a full-size arch wire is placed in the mandibular arch.
From the hooks affixed to the wire, through which the elastic force is
carried to the mandibular dentition, the horizontal component may be
directed anteriorly, posteriorly, or both, depending on clearances and
stops. If the objective is to establish posterior mandibular anchorage, the
horizontal component is transmitted directly to the posterior segment—
perhaps first to the terminal molar, then distributed from that site
throughout the segment. In this instance the vertical component is un-
wanted, so neutralization is attempted through concurrent activation of
the arch wire itself (to be detailed subsequently) together with distribu-
Hon of the component mesially and distally from the site of the hook to
involve as much root-surface area as possible.
The force and structural analyses of Class III mechanics is a formida-
ble undertaking, but feasible after study of the previous chapters and, in
particular, with understanding of the examples cited thus far that con-
sider component parts of the mechanics and their analyses. The model
has been proposed, several reasonable assumptions have been made,
and the appliance elements have been discussed. The specific applica-
tion to be examined in some detail is that of anchorage preparation in
the mandibular arch. Referring again to Figure 10-29, of the four compo-
nents present only one, the horizontal component delivered to the man-
dibular arch, is wanted. A significant portion of the mechanics is de-
voted to the suppression of the potential effects of the other three
components. The initial magnitude of the elastic force, as chosen, must
take into account the number of posterior teeth to undergo distal crown
tipping, some expected relaxation of the elastic, the angulation of the
elastic, the presence of friction, and the possible additional "loss" of
force to the anterior teeth.
419
Force and Structural Analyses of Representative Orthodontic Mechanics
4 U
FtGURE 10-30. Right-side buccal views of the maxillary-arch force systems associated
with Class Ill mechanics intended to prepare posterior anchorage in the mandibular
arch.
420
Bloengineering Analysis of Orthodontic Mechanics
vi
cp
I-li
Fhg
Vrnid
Incisal
Midarch
Posterior
half-segment
segment
segment
v,
vw
Vmid
(?)
FIGURE 10-31. A right-side, buccal-view, free-body diagram of the maxillaiy half arch
wire in Class Ill mechanics (top). The crown force systems delivered to the posterior,
midarch, and haif-incisal segments (bottom).
force and couple associated with the tip-back bend necessitates the pres-
ence of a vertical-force component in the anterior region to obtain a
moment balance and complete the quasi-static analysis.
The action-reaction law now enables an examination of the force sys-
tem induced against the maxillary dentition (lower portion of Fig. 10-31).
Looking once more at the terminal molar, which also represents the
posterior segment, the horizontal component of the elastic force is car-
ried first into the arch wire and then is transferred to extraoral anchorage
by means of the headgear. The second-order couple opposes the mesial
tipping potential of the elastic force, particularly important when the
headgear is absent. The tendency of the elastic to extrude the molar
must be countered by the arch wire and/or occlusion. The combination
of the tip-back bend and the bending stiffness of the wire must be capa-
421
Force and Structural Analyses of Representative Orthodontic Mechanics
F1
(?)
v, v;
From the elastic
I-" I
• VIII
H,'
I
VP
I
if
vi
FIGURE 10-32. Right-side buccal views of the mandibular-arch force systems
associated with Class Ill mechanics designed to prepare posterior anchorage in the
mandibular arch.
423
Force and Structural Analyses of Representative Orthodontic Mechanics
—— ——
Unified dentition
FIGURE 10-33. An orthopedic force system, in a right-side buccal view, associated with
maxillary-arch mechanics intended to reduce an anterior deep bite by rotating the
maxilla as a unit.
Class II Mechanics
T Passive,
open
'
Fe
FIGURE 10-34. Active and delivered mesiodistal forces in the maxillary arch arising fmm
the combined use of Class II elastics and simple, vertical loops. Right-side, buccal-
view, free-body diagrams of the half arch wires, and changes in the force magnitudes
with time (top to bottom), comparing mechanics with the loop initially opened elastically
(left) and initially passive (right).
428
Bioengineering Analysis of Qrfhodontic Mechanics
The Class II elastic, like the elastic that identifies Class III mechanics,
is recognized as exerting four significant components of force. All four
appear in a buccal view; two buccolingual components are very small
and, therefore, neglected. A free-body diagram of the right-side, Class II
elastic would look much like that in Figure 10-29 except for the angula-
hon and, perhaps, slight differences in the relative magnitudes of the
components parallel and perpendicular to the occlusal plane. In addi-
tion, if anchorage "slipping" in the mandibular arch and extrusion of the
maxillary incisors are unwanted, only one action-reaction component of
the elastic forces developed—the posteriorly directed component deliv-
ered to the maxillary arch wire—is desired. Accordingly, the mechanics
must incorporate provisions to suppress the displacement potentials of
the other three components.
The Class II elastic is stretched on one end against a hook that is part
of the buccal-tube attachment to the mandibular second-molar crown;
tipping and extrusive displacement potentials are thereby created. Fig-
ure 10-35 includes right-side, buccal views of the free-body diagram of
the Class II elastic and the force system from the elastic against the
terminal-molar crown. The sketch of the second molar also contains
force-system components arising from contact with the arch wire, the
adjacent first molar, and the occluding maxillary molar. The mandibular
arch wire is continuous and full size (stabilizing). In this figure the force
system exerted by the posterior segment on the wire is first shown di-
vided into that associated with the elastic and the components arising
from second-order bends. The two portions are then combined in the
adjacent sketch and the entire force system exerted on the half arch wire
is completed through force and moment balances.
The horizontal component from the activated elastic is distributed
throughout the posterior and middle segments through crown contact
(if not from the instant of activation, then following sequential tipping
v.
v;
H;
FGURE 10-35. Free-body diagram ot a right-side Class II elastic and right-side buccal
views of the mandibular-arch force systems associated with Class II mechanics.
430
Bioengineering Analysis of Orthodontic Mechanics
displacements until the contacts are established) and, via the arch wire
(through friction and, possibly, a posterior stop) to the incisors as well.
The vertical components against the posterior teeth, together with the
second-order couples, generate the vertical responses against the mid-
dle and incisal segments. Of some concern, because of the size of the
force relative to the root-surface area of the as-modeled segment, is the
extrusion potential against the middle segment. Accordingly, careful
adjustment of the arch wire in the buccal region may be prudent to
"transfer" the first molar from the posterior to the middle segment. In
addition, some displacement control should be expected from occlusion
of the middle-segment teeth.
Action-reaction involving the elastic, the posterior segment (the sec-
ond molar), and the half arch wire must be used carefully in complet-
ing the force analysis. Force and moment balances and action-reaction
permit the description of the force system delivered to the incisal seg-
ment. The second-order effects between the wire and second molar
result in a small, intrusive force divided between the central and lateral
incisors. If the posterior- and middle-segment anchorage is insufficient
to contain the mesial-driving potential of the elastic force, some labial
crown tipping of the incisors is possible. Note in the sketch of the in-
cisal segment that the moments of the two force components about
the segment crc have the same sense; thus, a compound tendency for
incisor flaring is possible. One partial remedy is not to place the pos-
terior stops in the arch wire at all, thereby allowing transmission of
the horizontal response forward beyond the canines only by means
of friction.
Four separate bilateral actions may exist in these mechanics against
the maxillary working arch wire. First, the elastics exert force on the wire
through hooks or loops distal to the lateral-incisor locations. Second,
torquing couples are delivered to the incisors. Third, a headgear force
system may be transmitted to the incisal segment. Fourth, if the arch
wire contains active opening or closing loops, the posterior segments
(minimally the second molars) exert force on the wire. In the specific
example mechanics under analysis here, assumed is the potential exist-
ence of bracket-wire clearances distal from the canines, and no stops
affixed to the wire to transfer horizontal force between arch wire and
buccal-segment crowns. This eliminates the fourth source of force in the
above list from consideration in this example.
On the left in Figure 10-36 are shown, separately, the actions on half
of the maxillary arch wire of the Class II elastic and J-hook from the
high-pull headgear, and the response to torsional activation in the in-
cisal segment, all from the right-side buccal perspective. Note that the
J-hook force is shown with its line of action piercing the incisal section of
the arch wire; actually, the line of action is the dashed line. The head-
gear force has been "moved" and the compensating couple placed is
largely, if not totally, that shown in the lower left sketch. In the lower
right in the figure, the three contributions have been joined, together
with balancing components, to complete a free-body diagram of the
431
Force and Structural Analyses of Representative Orthodontic Mechanics
ci
F11
H,
V, = V11 —
Cb H11
FIGURE 10-36. Right-side buccal views of the maxillary-arch force systems associated
with Class II mechanics intended to bodily retract the maxillaly incise! segment.
right half of the continuous arch wire. The horizontal components (par-
allel to the occlusal plane) from the elastic and headgear add and gener-
ate the distal driving force against the incisors. The driving force is
smaller than that sum by only the frictional resistance to the sliding of
the wire through the buccal attachments. Assuming the third-order sta-
bilizing couple is produced entirely by the eccentrically (gingivally) at-
tached J-hooks, and no activating twist is placed in the wire prior to its
engagement, the net vertical force against the incisal segment has a
sense dependent on the individual magnitudes and angulations of the
headgear and elastic forces. Responsive vertical forces against the buccal
segments are negligible due to the proximity of the headgear and elastic
attachments to the incisal segments. By action-reaction, the crown force
systems against the segments are obtained. No forces of any conse-
quence, neglecting friction, exist against the molars or middle segments,
so they have not been pictured. The sketch representing the incisal pair
(Fig. 10-36, upper right) shows the resultant lingual driving force, the
counter-tipping, third-order couple, and a resultant of the vertical com-
ponents of the elastic and headgear forces which often ideally should be
zero.
The example mechanics under discussion are designed to bodily
move the 4 maxillary incisors lingually to reduce an overjet. Assuming a
continuous force system, reasonable light-force figures are 155 to 165 g
and 1700 to 1800 g-mm for the driving force and counter-tipping torque,
respectively, for the segment. (The couple-force ratio must be approxi-
mately one-half of the average tooth length; see Chap. 5.) Achieving the
432
Bioengineering Analysis of Orthodontic Mechanics
FIGURE 10-37. The force system delivered to the maxillary incisal segment from the
combined action of elastics, headgear, and arch wire, designed to bodily move the
incisors toward the posterior without vertical displacement.
433
Force and Structural Analyses of Representative Orthodontic Mechanics
will have to be corrected after the desired crown positions have been
achieved.
With alterations, the mechanics under discussion may be used to
produce posteriorly directed, en masse movement of the maxillary den-
tition. First, assuming that any mesiodistal spaces have been previously
closed, the entire dentition should be unitized through appropriate in-
terbracket ligations. Stops should probably be placed mesial to the
brackets or tubes affixed to the first molars so that the arch wire, in
addition to crown contact, is used to help distribute the driving force.
Second, the driving force, if partially delivered by Class II elastics,
should probably be transferred to the arch wire just distal to the canines.
This is somewhat anterior to the center of resistance of the maxilla and is
a compromise, noting that the activating forces should be as nearly hori-
zontal as possible. On the other hand, consideration must be given to
the position of the line of action of the resultant of the headgear and
elastic forces on each side; the length of the moment arm of the result-
ant, with respect to the cra, must be minimized to suppress the potential
for rotation of the maxIlla if bodily movement is wanted. Third, the
magnitude of the resultant driving force must be increased to perhaps in
excess of five times the figure determined for the incisal segment (de-
pending on the root-surface area present), to be divided between the
two sides of the arch. Again, if Class II elastics are used, responsive
forces carried to the mandibular arch are enlarged, and more severe
anchorage preparation than that for incisal-segment retraction is
needed.
A worthwhile, last example of this section is the use Class II mechan-
ics in protraction of the mandibular dentition, perhaps in an attempt to
aid growth at the proper time when an otherwise retrognathic mandible
is expected. In these mechanics the active and responsive ends of the
elastics are reversed. The action is in the mandibular arch; the anteriorly
directed elastic component delivered to the mandibular terminal molar
is the desired one of the four components generated. A series of dia-
grams in Figure 10-38 illustrate the essentials of the force system. The
driving-force component must be distributed anteriorly to the incisal
segment by the arch wire; crown contact is relied upon in the buccal
segments. A unitized, maxillary dentition is the first line of anchorage,
but reinforcement with extraoral assistance is warranted. To prevent
unwanted anterior bite closure a high-pull headgear is attached to the
maxillary arch wire at the same anteroposterior positions as the elastic
attachments. Because the resultant force against the maxillary arch tends
to move it posteriorly, this force must be distributed as uniformly as
possible throughout the entire maxillary dentition; moreover, the elastic
and headgear forces must be relatively light to minimize the potential for
reciprocal displacements in the two arches. To provide some differential
in the root-surface areas, second molars should be left out of the man-
dibular strap-up (and moved mesially at a later time). A suitable reverse-
pull headgear, one not involving a chin cap, could help reinforce the
maxillary-arch anchorage. -
434
Bioengineenng Analysis of Orthodontic Mechanics
--—
Vt
F11
Hm,d
Mesial to
the terminal
molar
H1
FIGURE 1 0-38. Right-side buccal views of the force systems intended to produce
protraction mechanics in the mandibular arch.
435
Force and Structural Analyses of Representative Orthodontic Mechanics
Synopsis
Although the mechanics just mentioned and others did not receive
detailed attention in this chapter, the patterns of analysis in the exam-
ples presented—the modeling, the force-displacement correlations, the
free-body diagrams, the force and moment balances, the differential-
force concept, the four-step analysis procedure, the emphasis on the
role of stiffness, the consideration of modes of failure, and the other
"tools" from the previous nine chapters—should enable the conscien-
tious reader and student or practitioner of orthodontics, regardless of
the amount of clinical experience, to begin to undertake force and struc-
tural analyses of most mechanics of interest. The subsequent step is the
consideration of appliance-design modifications, as warranted, toward
improving the quality of orthodontic care.
This text was prepared primarily toward closure of an apparent gap
in the orthodontic educational literature—discussion of the appliance as
a structural mechanism from a bioengineering viewpoint. Comments on
the textual material of a constructive nature, submitted in writing to the
author or publisher, are encouraged.
Reference
Frank, C.A., and Nikolai, R.J.: A comparative study of frictional resistances be-
tween orthodontic bracket and arch wire. Am. J. Orthod., 78:593—609, 1980.
Glossary of Terms
U APPENDIX
alveolar bone—The hard tissue that locally provides support for the in-
dividual teeth.
basal bone—The hard tissue of the maxilla or mandible that blends into
the alveoli and supports the dentition as a whole.
constant—A quantity that does not change within the context of its in-
volvement in a problem or discussion.
failure within the expected fatigue life of the structural member; the
horizontal asymptote of a fatigue-life plot.
free end—One end of a beam, shaft, or wire not constrained in any way
from displacement resulting from an applied force system.
I
tree-body diagram—The figurative removal from a structure or machine
of a member or a portion of a member, depicting in an isolated
sketch the geometry and force system exerted, preparatory to a
force and/or structural analysis of that part of the assembly.
hinged face bow—A face bow having the outer and inner bows intercon-
nected by a hinge that permits rotation of one relative to the other
about an axis perpendicular to the plane of the bows.
line of action—A line having the same direction as the associated con-
centrated-force vector and passing through the point of application
of the force.
447
Glossary of Terms
neutral axis—The intersection of the neutral surface with the right cross-
section of a beam or wire activated in flexure.
normal stress—The intensity of internal force (force per unit area) per-
pendicular to a reference area within a loaded (activated) body.
magnitude and the cosine of the angle between the vector and the
specified line or axis.
shear strain—A unit shear deformation; the change in angle (in radians)
between two intersecting, passively perpendicular lines.
shear stress—The intensity (force per unit area) of the tangential com-
ponent of internal force.
stabilizing wire—A stiff, rectangular arch wire that "fills" the bracket slot
and is used ordinarily to distribute a responsive force system
throughout a dental segment.
stop—An auxiliary affixed to the arch wire that prevents relative mesio-
distal movement upon contact with a bracket; also a means of trans-
ferring mesiodistal force between wire and bracket.
strain—Unit deformation.
yield strength—The value of the load (or stress) at the yield point.
APPENDIX
9 gingival; grams
G center of gravity; modulus of rigidity
458
459
List of Symbols
k curvature
e lingual; length
L lateral force; length; losses (of energy)
to passive length
L0 passive length
m mesial
M moment of a force or force system
m-d mesiodistal
mm millimeters
M0 external first- or second-order couple exerted on a beam or
wire
Q a concentrated force
S stiffness
SE strain energy
t time
T temperature; torsional couple (torque)
TE thermal energy
w width
W work
Wt weight
a- normal stress
shear stress
normal strain
461
List of Symbols
shear strain
Subscripts
a anterior; apical
at anterior left
ar anterior right
b buccal
d distal
e elastic
at elastic; elastic limit
I facial; final
fh forehead
ft faciolingual
h hinge; horizontal
hg, HG headgear
it incisal left
ir incisal right
m mesial
md mesiodistal
mid middle segment (between anterior and posterior seg-
ments)
n normal
o initial; occlusal
OC occlusion
09 occlusogingival
perm permanent
p€ posterior left
pr posterior right
r resultant; right
V vertical
W wire
o initial; passive
0, 1 initial, final
45 premolar segment
II Class IT elastic
III Class III elastic
a normal
r shear
Superscripts
Page numbers in italics indicate illustrations; page numbers followed by t indicate tables.