progress in orthodontics 1 1 ( 2 0 1 0 ) 53–61

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Clinical contribution

Treatment of Class III malocclusion: the key role of the

occlusal plane

Jean-Louis Raymond ∗ , Olivier Matern, Bruno Grollemund, William Bacon

Department of Dentofacial Orthopedics, University Hospital, Strasbourg, France

a r t i c l e i n f o a b s t r a c t

Article history: Patients with a Class III malocclusion generally present with a counterclockwise inclination
Received 7 April 2009 of the occlusal plane, converging with Camper’s line towards the front. This slope has an
Accepted 18 March 2010 effect on mandibular movement (forward posture) and on chewing mechanisms in general.
As dysfunctional mastication is likely to influence facial growth and inter-arch stability
Keywords: negatively, early orthopedic therapy of the occlusal unbalance concurrent with Class III
Class III malocclusion is justified. The aim of this article is to present a method of Class III treat-
Early orthopedic treatment ment based on a correct re-orientation of the occlusal plane in order to achieve an optimal
Occlusal plane masticatory mechanism, essential for stability of early treatment outcomes.
Orientation © 2010 Società Italiana di Ortodonzia (SIDO). Published by Elsevier Srl. All rights reserved.
Mastication

– symmetrical lateral excursion to the right and left

1. Introduction sides;
– protrusion and vertical components of lateral movement
Most Class III malocclusions are combinations of maxillary
that allow friction between almost all the teeth in both
retrusion and mandibular protrusion1 and they are often
arches (Figs 1a-d).
characterized by mesio-occlusion of lower molars, generally
accompanied by anterior crossbite. Class III malocclusions are 1.2. Pathologic orientation of the OP in Class III
associated with various dysfunctions, including chewing dis- malocclusions
orders. Chewing is the principal function of the masticatory
apparatus. Restoring a physiologically normal mastication is Physiologic mastication depends on the relationship between
an important objective of orthodontic treatment. the slope of the mandibular condyles and the orientation of
the OP.4 The shape and orientation of the OP vary from one
1.1. Physiologic orientation of the OP in Class I individual to another. In fact, to ensure effective chewing, it
occlusion is essential that the OP is close to parallel to the Camper’s
plane5,6 (Fig. 2a).
Angle Class I molar and canine occlusion is considered ideal. In some cases, OP orientation is so abnormal that its patho-
Its parameters are interdependent, as expressed in Thiele- logic nature is easily identified. In others, the changes are
mann’s formula.2 Orientation of the occlusal plane (OP) plays a negligible and can escape clinical detection when performed
critical role3 in allowing mandibular movement characterized with investigations involving maximum intercuspal occlusion
by: (MIO) or cephalometric analysis.

∗
Corresponding author. Department of Dentofacial orthopedics, University Hospital 1, Place de l’Hôpital - 67091 Strasbourg, France.
E-mail address: RAYMOND.JEAN-LOUIS@wanadoo.fr (J.-L. Raymond).
1723-7785/$ – see front matter © 2010 Società Italiana di Ortodonzia (SIDO). Published by Elsevier Srl. All rights reserved.
doi:10.1016/j.pio.2010.04.012
54 progress in orthodontics 1 1 ( 2 0 1 0 ) 53–61

Fig. 1 – Endo-buccal views showing: a) lateral mandibular movements: to the right; b) MIO; c) lateral mandibular movements:
to the left; d) Thielemann’s formula: CG: condylar guide; IG: incisor guide; CH: cuspid height SC: spee curve; OP: occlusal plane.

A recent study by Tanaka and Sato7 demonstrates a rela-

2. Treatment of Class III malocclusion
tionship between the inclination of the OP and mandibular
taking into account the OP cant
position. Indeed, Class III malocclusion presents with an
OP more or less inclined backward and downward with its
posterior part (Fig. 2b). The examination of lateral mandibu- In line with the study by Tanaka and Sato,7 an etiologic
lar movements reveals exaggerated propulsive and vertical approach based on the cant of the OP should be considered
components, thus rendering the incisor guide ineffective4,8 in the correction of Class III malocclusion. In this type of
(Figs 3a-c). disharmony, orthopedic correction should not only be aimed

Fig. 2 – a) Physiologic inclination of the OP (red line) is approximately parallel to Camper’s line (yellow). b) Class III
malocclusion: pathologic orientation of the OP backward and downward in comparison to Camper’s line (yellow).
 progress in orthodontics 1 1 ( 2 0 1 0 ) 53–61 55

Fig. 3 – Class III malocclusion: a) during MIO; b) during lateral mandibular movement to the right; c) during lateral
mandibular movement to the left. The vertical and sagittal mandibular movements are excessive.

at protraction of the maxilla, but also correction of the ori-

entation of the OP. Our objective in the present paper is to
present a theoretical and clinical approach to the correction
of the cant of the OP when treating Class III malocclusions in
order to enhance the effectiveness and stability of treatment
results.

2.1. Therapeutic objectives

The main objective of orthopedic treatment that takes into

account OP orientation is to ensure that the OP is compatible
with physiological mastication3,9 (Fig. 4).
Postero-anterior traction using a face mask with the aim
of achieving just a “static” incisor relationship might be
not sufficient to guarantee successful treatment and subse-
quent stability. Indeed, a treatment that leads to “satisfactory”
incisor relation in MIO but does not correct the orientation of
the OP may experience relapse during the eruption phase of
the posterior teeth, when the OP lengthens and the occlusal Fig. 4 – Schematic drawing showing clockwise rotation of
disharmony due to the pathologic OP orientation worsens. the OP: the dotted white line marks the initial pathologic
The relapse tendency can be explained by the fact that orientation to the back and bottom; the solid white line
the inter-arch relationships are not adapted to physiological marks the final orientation of the OP, which is
mastication. The arrangement is characterized by cycles of approximately parallel to Camper’s plane (in green). The
exaggerated vertical and propulsive mandibular movement inclinations are exaggerated for clarity.
56 progress in orthodontics 1 1 ( 2 0 1 0 ) 53–61

Fig. 5 – Schematic drawing showing the forces of mastication with (a) a well oriented OP (Angle class I); and (b) a poorly
oriented OP (Angle class III).

induced by posterior occlusal “interferences” related to the flat 2.2.2. Transverse orientation
orientation of the OP. This renders the anterior guide ineffec- The transverse maxillary hypo-development10,11 often associ-
tive from the point of view of proprioception, as there is no ated with Class III finds its expression in different ways (palatal
friction between upper and lower incisors. position of lateral incisors, retained permanent canines, etc.).
This unsatisfactory situation has two immediate conse- The choice to relieve the transverse constriction by extract-
quences for maxillo-facial development: ing teeth should be avoided as reducing the number of teeth
– increased stimulation of “propulsive structures” may is equivalent to reducing osseous volume and also the poten-
induce excess mandibular growth; tial perimeter of the arch. The latter is already under-sized,
– unfavorable orientation of the forces involved in mastica- increasing posterior interference during lateral mandibular
tion impairs the stability of the advanced position of the movements.
maxilla (Fig. 5). It is therefore necessary to carry out maxillary expansion
taking into account occlusal requirements. In all cases, it
is preferable to overcorrect the transverse dimension of the
2.2. Development of a treatment method that takes
maxilla.
into account the OP

Maxillary protraction10 with a face mask and egression of the

lower molars allow favorable reorientation of the OP (Fig. 4).
This repositioning of the lower molars determines the final
three-dimensional orientation of the OP and is obtained using
a bonded acrylic-splint with a rapid palatal expander (RPE) and
a face mask treatment.

2.2.1. Sagittal and vertical orientation

The intra-oral appliance that we use is a bonded occlusal splint
that does not cover the maxillary incisors and is equipped with
a RPE3 (Fig. 6). Changes can be made in three dimensions in
order to achieve the desired effects. Its initial profile reflects
the sagittal and vertical orientation of the desired OP (Fig. 7).
Posterior vertical occlusal space due to the anterior thick-
ness of the splint constitutes a “reserve” of vertical space
allowing the lower molars to erupt before grinding.
At the beginning of treatment, posterior grinding (type 1
grinding)3 creates a vertical space for lower molar eruption.
At the same time, mesial projection of the upper arch due to
the action of the face mask increases this posterior space and, Fig. 6 – Endobuccal view of the orthopedic disjunction
consequently, improves eruption of the lower molars (Fig. 8). splint.
 progress in orthodontics 1 1 ( 2 0 1 0 ) 53–61 57

rior occlusal part of the splint can be ground (type 2 grinding)3

in order to obtain symmetrical movements.
When lower molar eruption (which determines a correct OP
orientation) is achieved, the operator can selectively decrease
the height of the splint (type 3 grinding).3 Over a series
of grinding sessions – three or four on average – the ver-
tical dimension can be gradually reduced while preserving
symmetrical movements of diduction. Bringing the incisors
together in this way progressively establishes a functional
anterior guide.

3. Justification of the early orthopedic

treatment of Class III
Fig. 7 – After grinding, the splint (in blue) constitutes a
usable space for reorientation of the OP. The original The majority of authors recommend early treatment of Class
patholologic orientation is shown in yellow. The dotted red III malocclusions12–19 based primarily on:
line is the desired orientation of the OP. The initial – the possibility of influencing maxillo-facial development at
orientation of the splint is in red. the time of growth;
– the trend of Class III skeletal malocclusions to natural wors-
ening.
Early treatment can produce significant favorable modifi-
cations in both maxillary and mandibular structures that can
still be assessed at a post pubertal re-evaluation (19).
These factors are indeed an important justification for early
treatment, but also the significance of the role played by occlu-
sion should be considered.

3.1. Occlusal factors that justify early treatment:

simple occlusal structure

3.1.1. Shape of the OP

In deciduous dentition, the architecture of the OP is simple, as
the curves of compensation (Spee, Wilson) do not exist. They
Fig. 8 – The posterior space obtained by grinding of the emerge progressively along with the eruption of the teeth,
splint (blue) and by maxillary mesial displacement due to particularly the permanent posterior teeth. Achievement of
posterio-anterior traction using a face mask. Yellow therapeutic objectives, particularly grinding of the orthopedic
triangle: space created by type 1 grinding of the posterior splint, is therefore simpler with early treatment.
part of the splint; green triangle: total space obtained with
both grinding and protraction. 3.1.2. Length of the OP
The length of the OP, in other words the number of molars
present on the arch at the beginning of treatment, in large
part determines the degree of difficulty of treatment when this
Transverse correction begins as soon as the appliance is fit- includes reorientation of the OP.
ted. The sutural separation of the palate, by rapidly correcting The late deciduous dentition represents the simplest stage.
maxillary hypo-development, facilitates early restoration of Eruption of the first molars, marking the beginning of early
symmetrical mandibular lateral movements. If not, the ante- mixed dentition, corresponds to additional but manageable

Fig. 9 – Vertical displacement of the OP according to its length. In the deciduous dentition (a) clockwise rotation of the OP -
lower molar eruption is relatively weak compared to that necessary when second molars are present (b).
58 progress in orthodontics 1 1 ( 2 0 1 0 ) 53–61

Fig. 10 – Initial photographs taken on December 1998 (patient was 6 years and 3 months of age). a,b) Frontal and lateral
views of the face. c,d) Pretreatment intraoral views (anterior and posterior crossbite).

difficulty with a strong likelihood of success. Eruption of sec-

ond molars represents transition to a much more complex
stage. Depending on the severity of the initial sagittal shift,
the chances of success are poor, also in relation to unfavorable
skeletal response.
These increasing therapeutic difficulties are due to the fact
that the longer the OP, the greater the vertical movement
required of the lower molars, which may be beyond the possi-
bilities of current therapeutic techniques (Fig. 9).
In conclusion, the longer the OP, the more difficult it is to
reorient the OP.3,9,14 In other words, correction is easier when
the OP is short – hence the importance of early treatment.
Moreover, at the beginning of orthopedic treatment, the goal
is “relative shortening” of the OP:
– by postero-anterior traction via a face mask, which, by mov-
ing maxillary teeth forward, produces a “relative reduction”
in the molar zone;
– by delaying eruption of the last upper posterior teeth by
means of a splint, which covers the occlusal surface of the
molar or is in correspondence of the eruption site if erup-
tion of the molar is imminent. The teeth in question are
the first permanent molars in the deciduous dentition, and Fig. 11 – Initial cephalometric radiograph showing a
the second permanent molars in the mixed or permanent pathologic orientation of the occlusal plane backward and
dentitions. downward in comparison to Camper’s line (yellow).
 progress in orthodontics 1 1 ( 2 0 1 0 ) 53–61 59

Fig. 12 – Intraoral views taken in November 2000 (9 months after the removal of the orthopedic appliance, a,b) and in
January 2001 c,d): 1) during lateral mandibular movement to the right; 2) during lateral mandibular movement to the left.
They show the upper incisors eruption and the setting up of a functional anterior guide.

Fig. 13a-c – Right, frontal, and left intraoral views taken 4 years and 11 months after orthopedic treatment. No over
appliance was used after the removal.
60 progress in orthodontics 1 1 ( 2 0 1 0 ) 53–61

Fig. 14 – a) Initial cephalometric radiograph before orthopedic treatment; b) cephalometric radiograph taken 4 years and 11
months after orthopedic treatment showing clockwise rotation of the occlusal plane.

3.2. Functional justification for early treatment the mandible in a posterior position (Fig. 5). Early re-
establishment of the anterior “guide” (and consequent
3.2.1. Stopping progression of unfavorable growth facilitation of inter-incisor friction) stimulates maxillary
Early normalization of mastication via reorientation of the OP development.
can yield two immediate consequences: Finally, early reorientation of the OP creates favorable con-
– it may reduce the pathologic growth mechanism that favors ditions for the eruption of posterior teeth. Their presence
mandibular development over that of the maxilla; in the arch helps physiologic mastication, while the direc-
– correction of the Class III skeletal base also requires tion of OP serves to consolidate the orthopedic correction.
normalization of muscular posture (labio-mental, lingual, For this reason, one could regard rehabilitation of physio-
velo-pharyngeal) and of orofacial functions (nasal ventila- logic mastication as a factor that reduces the likelihood of
tion, swallowing, mastication). relapse.3,9,14
The case report described in Figs 10 through 15 illustrates
3.2.2. Improvement of outcomes treatment modalities and outcomes for Class III correction.
Restoration of physiologic mastication by early treat- The author(s) declare that the work has been realized in
ment helps the effectiveness of therapy. The mechanisms agreement with the Helsinki Declaration principles and that
of alveolar growth determined by the forces of mas- the Informed Consent has been achieved from all the partici-
tication project the maxilla forward, while maintaining pants involved in the study.

Fig. 15 – Lateral view of the face: a) before orthopedic treatment; b) 4 years and 11 months after orthopedic treatment.
 progress in orthodontics 1 1 ( 2 0 1 0 ) 53–61 61

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4. Conclusions

Reorientation of the OP is essential for the rehabilitation of

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