AMER. ZOOL., 33:289-299 (1993) Functional Morphology of Mammalian Mastication1 SUSAN W. HERRING Department of Orthodontics, SM-46, University of Washington, Seattle, Washington 98195 While chewing is not unique to mammals, it is one of their most distinctive characteristics. Historically, studies of food processing in mammals were intended to provide evolutionary insights, but more progress has been made in understanding mechanistic aspects. Mastication is considered under five headings. (1) Interaction of teeth with food. Knowledge of comparative dental anatomy and function is advanced in comparison to understanding of foods and how they are broken down. (2) Chewing force and its resistance by the skull. The traditional assumption that occlusal force is maximized is not always justified, and experimental results suggest that skull loading is far more dynamic and variable than had been envisioned from theoretical analyses. (3) How the jaw moves. The most important masticatory movement is that of the power stroke, and in most but not all species this is influenced more by the inclined planes of the teeth and jaw joints than by the musculature. (4) The role of muscles in producing both force and movement. The most fundamental distinction among jaw muscles is whether they have a rostral or caudal direction of pull, as this determines their role in transverse jaw movements. Reliance on anatomical names tends to obscure functional similarities and differences among species. (5) Intraoral structures. Because they are difficult to study, the actions of the tongue and pharynx are still debated. Even the fundamental question of whether mammals can breathe and swallow at the same time has not been definitively answered. SYNOPSIS. TWO rather different sets of problems are addressed in studies of mastication. First, The dictionary defines "mastication" as t h e chewing apparatus is a particularly the process of grinding or comminuting food intriguing piece of machinery, with its tight with the teeth in order to prepare it for swal- occlusion and vanable hinges-how does it lowing and digestion (Stedman's, 1966). w o r k o n a P u r e l y mechanical basis? What While not unique to mammals (a variety of d o e s Jt m e a n l f a t o o t h 1S s h a r P o r b l u n t ? l f other vertebrates also do considerable pro- a m u s c l e attaches here or there? These quescessing of food with the teeth), mastication tions a r e a11 t h e m o r e interesting because we is certainly a mammalian characteristic, humans have our own version of the appaDistinguishing features of the Mammalia r a t u s - Answers emerge from theoretical which relate to chewing include the occlud- s t u d i e s (**•• computer modeling), in vitro ing teeth (retained in all but a few very spe- testing (e.g., with photoelastic models) and cialized groups) and reorganized jaw mus- in viv0 studies of functioning animals, but culature and jaw joint (Crompton, 1989), a comparative approach is not required, and the secondary palate (Thomason and Rus- in deed it is often assumed that the results sell, 1986), and the muscular food-transport Wl11 b e species-invanant. The second set of apparatus, including changes in the struc- Problems centers around the interpretation ture of the tongue and pharynx (Smith, of morphological change dunng evolution. 1992) Not only are teeth the main documentation of the fossil record in mammals, but also the diversity of dental apparatus and jaw 1 An invited Review Paper for the Division of Ver- muscles in extant mammals seems to be an tebrate Morphology. obvious consequence of adaptive evolution. 289 WHAT IS IT WE WANT TO KNOW ABOUT MASTICATION? 290 SUSAN W. HERRING Studies here are obligated to be comparative and typically involve "classical" functional morphology, denned here as combining information on anatomy, mechanics and behavior in order to understand selective influences on the animals. A BRIEF HISTORY The functional morphology of chewing, relating as it does to both paleontology and dentistry, has been a popular subject for centuries. Of necessity, early studies relied on the morphology of dried and fossil skulls and teeth, on cadaver dissections, and to a certain extent on behavioral observations, the latter being hampered by the rapidity of chewing movements (ranging up to 3-5 complete cycles per second in commonly studied laboratory species). Because of the nature of the data, interpretations concentrated on comparative biomechanics, with the lower jaw usually analyzed as a third class lever with the jaw joint as fulcrum. Contrasts were drawn between broad groups of mammals representing different feeding behaviors or phyletic lineages (e.g., Maynard Smith and Savage, 1959; Turnbull, 1970). When, in the 1960s, experimental techniques such as high-speed cinematography, cineradiography, and electromyography (EMG) became generally available, there was a great scramble to study as many divergent taxa as possible. A variety of reviews summarized the state ofthe art after a dozen or so years of research (Gans et ai, 1978; Hiiemae, 1978; Weijs, 1980), followed by an ASZ symposium organized by Gorniak in 1983 and published in American Zoologist in 1985. Since then, however, the flavor of the field has changed. Typical studies in the 70s were functional analyses (EMG and jaw motion) of various species. Now the emphasis is on a more fine-grained analysis of the constituent parts of the masticatory system. Broadly adaptive explanations have yielded to more mechanistic approaches. I suggest three reasons for this changing character. First, little progress was made on the broadly adaptive explanations. With regard to the systematic survey, at least one of most kinds of mammal got looked at but few fundamental generalizations emerged, suggesting that the focus of the investigations on simple characterization of muscle-bone leverage was incorrect, or at least inappropriate at a detailed level. For the best treatment available of these studies, the reader is referred to an excellent recent review by Weijs (1993). Second, the methods were successful in dealing with more mechanistic questions. The general pattern of food handling in mammals did get clarified, although of course some mysteries remain. Third, the new mechanistic information gave rise to new problems: various arguments and debates arose in two specific areas: transmission of occlusal force, especially at the craniomandibular joint (CMJ); and the nature of the neural control of mastication. The systematic considerations then paled in comparison to more specific investigations of loading and control. This is regrettable; the study of feeding performance still holds potential for illuminating mammalian evolution. Eventually, armed with new information about mechanisms, we will have to return to the comparative arena. THE ELEMENTS OF MASTICATION Food vs. teeth: An epic battle The point of mastication is of course to break down the food, and the interface where that occurs is at the teeth; hence I begin here. It is surprising that the vast literature on dental evolution in mammals and the use of dental characters in constructing mammal phylogenies have contributed so little to functional morphology (Fortelius, 1990). Available clues in the teeth include crown form, e.g., the presence of carnassial-type shearing blades is taken, primarily by analogy to living carnivorans, to indicate meateating (e.g., Van Valkenburgh, 1991), while brittle, abrasive or tough foods are associated with thick-enameled, bunodont cusps, increased crown height, and the development of crests, respectively (Janis and Fortelius, 1988). Wear facets and microwear give information about the direction of the chewing stroke (Greaves, 1973; Rensberger, 1978, 1986; Gordon, 1984; Teaford and Byrd, 1989) and features of microwear such as the proportion of pits to scratches have also been used to infer diet in both extant MAMMALIAN MASTICATION and extinct species (Taylor and Hannam, 1987; Grine and Kay, 1988; Van Valkenburgh et al., 1990; reviewed by Teaford, 1991). Other aspects of tooth structure relevant to functional morphology include the orientation of enamel prisms (Rensberger and v. Koenigswald, 1980; Boyde and Fortelius, 1986) and the mineral content of enamel (Kirkham et al., 1988). What is mostly missing in these interesting studies is an understanding of the mechanical properties of foods in relation to dental structure. Lucas (1982) provided an influential review of fracture theory, pointing out the importance of commonly ignored dental features such as radius of curvature of cusp tips (later used by Freeman to analyze bat tooth design [1988, 1992]) and lamenting that the theory "exists in a wilderness" of ignorance about the foods themselves (p. 161). Little progress has been made on this front. Kiltie (1982) measured the compressive strength of various nuts in an effort to correlate the jaw mechanics and diets of rain forest peccaries (Tayassuidae). Wang and Stohler (1990) found in vitro that the breakage characteristics of common test foods such as carrot and monkey chow differ greatly; these in vitro characteristics were later found to account for about half of the variation observed in vertical chewing movements in humans (Wang and Stohler 1991). A number of computational and empirical investigations of food breakdown during human chewing have emphasized the importance of food particle size distribution and the rate of size reduction during chewing (Lucas and Luke, 1983;Voone/a/., 1986; van der Glas et al., 1987, 1992). An inverse correlation of chewed particle size with the shearing capacity of the molar cusps was reported by Sheine and Kay (1977) in a study on two prosimian primates and the tree shrew Tupaia glis; the ability to grind food more finely was associated with insectivory, and the authors proposed that chitin was the critical food element. In a later study (1979) Kay and Sheine showed that chitin particle size was an important criterion of its digestibility in Galago. 291 and Gans, 1976; Thexton et al., 1980; Fish and Mendel, 1982; Lucas et al., 1986; Plesh et al., 1986; Byrd, 1988). Suffice it to say here that the effects are usually substantial (rabbits being an exception [Morimoto et al., 1985]), but differ in the various studies, perhaps because of the different species examined (goats, cats, tree shrews, humans and rats in the studies cited above) and/or because of the different (and uncharacterized) foods used. Most workers probably agree that these effects result from sensory inputs (particularly from periodontal receptors) modifying the motor program of mastication rather than from any direct mechanical feature of the food. Huang et al. (personal communication) found that dental anesthesia diminished, but did not abolish, the effect of food consistency on pig mastication. However, the residual effect could still have had a sensory basis, since muscle spindles were not anesthetized. Bones and biomechanics The traditional mechanical analysis of the jaws centers on the estimation of occlusal force, specifically the vertical or jaw-closing component, using a static analysis (e.g., Turnbull, 1970, and references therein). Experimental approaches have also emphasized static vertical force because of the ease with which it can be measured by transducers placed between clenched teeth (e.g., Daunton, 1977; Robins, 1977;Dechowand Carlson, 1986; human literature reviewed by Gibbs and Lundeen, 1982), in contrast to the difficulty of achieving dynamic and/ or three-dimensional measurements. Perhaps because so many of the available data pertain to static vertical force, many analyses assume, implicitly or explicitly, that (all other things being equal) occlusal force normal to the teeth should be maximized. While not an unreasonable assumption for anyone who has ever labored over a substantial hunk of peanut brittle, it may not always be the case that masticatory success depends on vertical force. For example, the grinding strategy used by many ungulates, rodents and other species requires crests on the lower One area that has received considerable teeth to shear across crests on the upper attention is how various foods affect the rate teeth, a task comparable to a snow shovel and movements of chewing (e.g., De Vree scraping along an uneven sidewalk; while 292 SUSAN W. HERRING the shovel requires enough vertical force to keep it in contact with the sidewalk, success in snow removal depends on its forward momentum. Furthermore, both modeling (Koolstra et ai, 1988) and measurement (Southard et ai, 1990) have demonstrated non-vertical components to occlusal force. If, for the purpose of argument, we accept the assumption that occlusal force is maximized, then several aspects of morphology need to be considered. Relevant here is the mechanical arrangement of the bones, muscles and teeth in terms of struts, links and levers. The traditional analysis, performed in lateral view, provoked a long and entertaining controversy over whether the mammalian jaw should be modeled as a third class lever (which implies that the craniomandibular joint is reactively loaded) or as a "link" (with essentially no loading at the joint [Gingerich, 1971; Roberts and Tattersall, 1974]). The latter view was in part inspired by the "inefficiency" of wasteful reactive loading. This battle (in my opinion) has been won by the lever supporters, buttressed both by the theoretical analyses and empirical evidence (Picq et al., 1987 and references cited). Available EMG evidence suggests that it is unlikely that loading at the CMJ is limited or even controlled (Osborn and Baragar, 1985; Throckmorton et ai, 1990). Evidently it is more important for mammal jaws to be effective than to be efficient. However, there are probably some exceptions to the general rule of CMJ loading. During the origin of mammals, the primitive lever mechanism appears to have been de-emphasized and later redeveloped with different jaw bones (Crompton and Hylander, 1986). Among recent mammals, the reorientation of the masseter muscle in many rodents suggests that the "link" model may apply for mastication, although not for incision (see Weijs and Dantuma, 1975, for some actual calculations). Further evidence for relative unloading of the jaw joint in rodents comes from the small size and free mobility of the joint structures. At the other end of the spectrum, similar arguments have been made for elephants (Maglio, 1973). Within the mainstream of the lever model of jaw mechanics, the major recent development has been the extension of the anal- ysis to three dimensions and the resulting conclusion that the balancing (i.e., the side without the food) jaw joint typically bears greater reaction forces than the working (the side with the food) joint (e.g., Greaves, 1978; Smith, 1978; Korioth and Hannam, 1990; reviewed by Hylander, 1992). Another interesting perspective on CMJ loading was developed by Bramble (1978), who considered the interaction between muscle action lines and a second fulcrum at the bite point. The forces of chewing are not only resisted by the teeth and the CMJ, of course. The bones themselves distort during function and move relative to each other at the sutures. Knowledge in this area is expanding rapidly with the advent of finite element computer analyses (e.g., de Jongh et al., 1989; Korioth and Hannam, 1990; Hart et ai, 1992) and in vivo measurements of bone strain using foil strain gages bonded to bones or across cranial sutures (e.g., Weijs and de Jongh, 1977; Hylander, 1979; Hylander et ai, 1991; Herring and Mucci, 1991). The strain studies address arguments about the meaning of mandibular form (e.g., Daegling, 1989; Demes et ai, 1984), the significance of the mandibular symphysis (Scapino, 1981; Greaves, 1988), and the transmission of forces across the cranium (Greaves, 1985). At this point it seems reasonable to say that bone strain in vivo is a far more dynamic and variable parameter than had been envisioned by theoretical workers. For example, the typical loading in the zygomatic suture of the pig is compressive in part of the structure but tensile elsewhere, but this pattern is reversed whenever the opposite side masseter muscle is unopposed (Herring and Mucci, 1991). Moving the jaw along inclined planes In defiance of static analysis, mastication is a dynamic process. The CMJ is a moving as well as a load-bearing element, and the muscles effect the chewing cycle in addition to providing occlusal force. The variety of chewing cycles exhibited by various mammals has been discussed elsewhere (Hiiemae, 1978; Weijs, 1993). The critical part of the cycle is the power stroke, during which the mandibular teeth move past the maxillary teeth, presumably exerting forces on MAMMALIAN MASTICATION the food. In extant mammals (but not multituberculates, see Krause, 1982), the mandibular teeth are directed medially and rostrally during the power stroke. The movement is accomplished by rotation around the long axis of the working side dentary bone (if the symphyseal joint is patent as in primitive mammals [Crompton and Hiiemae, 1970; Dotsch, 1982]), by mediolateral translations at the CMJ (especially in carnivorans, [Scapino, 1965]), and/or by anteroposterior condylar movements, either a caudal translation of the balancing condyle (ungulates and primates, including man) and/or a rostral translation of the working condyle(s) (primarily in rodents, e.g., Byrd, 1981; Offermans and De Vree, 1990). The absolute excursions made by the occluding cheek teeth may be as small as a few millimeters (for example, the lateromedial shift in cats [Gorniak and Gans, 1980]) or as large as several centimeters (large rodents and ungulates). Here I would like to consider the determinants of the power stroke, i.e., why the mandible takes the precise pathway which is observed in each species. There are basically only three possibilities. First, the mandible may be physically constrained, for example by interlocking canine teeth (Herring, 1972, but see Kay et al, 1986, for a different finding) or by preand post-glenoid processes surrounding the condyle (e.g., in carnivorans [reviewed by Dessem and Druzinsky, 1992]). Such constraints are actually somewhat unusual, most mammal jaws being relatively mobile, even sloppy. In any case physical constraints can only establish the absolute limits of the power stroke excursion, not influence the pathway within those limits. Second, the mandible may slide along inclined planes formed either by the teeth or by the CMJ. The inclined planes formed by carnassial teeth or by inwardly (rabbits and ungulates) or outwardly (caviid rodents) sloped grinding surfaces clearly guarantee a repeatable power stroke even given variation in the direction of the muscle force provided (Becht, 1953). A strongly inclined sliding joint surface, such as is found in humans, can serve a similar purpose, although less precisely. Inclined planes are arguably the 293 main determinant of the power stroke. However, some omnivorous species have such low-cusped molars that any planes formed are small relative to the irregularities of the food (e.g., pigs, some primates and some rodents) that a third mechanism is needed, namely precise control of the power stroke by the muscles. The above comments on chewing movements have some general validity for mammals, but the reader should remember that there exist some truly oddball species (primarily non-chewing) for which these comments are quite irrelevant. For example, echidnas apparently do not depress or elevate the jaw sensu stricto, but manage to open and close the mouth by axial rotation of the curved dentaries (Murray, 1981). Muscles: Force or movement? Numerous studies on the anatomy of mammalian jaw muscles have been published, notably Turnbull's (1970) heroic review. Evolutionary trends in jaw muscles include: (1) changes in orientation, often as a byproduct of evolutionary or ontogenetic modifications of the skull (Herring, 1985a, b)\ (2) alterations of internal architecture, for example, the warthog (Phacochoerus) masseter has aponeuroses oriented perpendicular, rather than parallel, to the muscle surface, a change which may be related to packing problems in very pinnate muscles (Herring, 1980); (3) changes in absolute or relative size of the various muscles; and (4) losses and fusions of muscle subdivisions, e.g., loss of the superficial portion of the temporalis in rabbits. No examples of complete loss are known to me—the rabbit retains a substantial deep temporalis. Aspects of muscle anatomy with particular relevance to chewing include the directions of pull and the forces produced. I have recently reviewed issues related to the architectural complexity of jaw-closing muscles (Herring, 1992) and their physiological properties (Herring, 1993), and Weijs (1993) has reviewed muscle contraction patterns; hence these subjects will be given short shrift here. Instead, I will highlight some problems that in my opinion need emphasis. With regard to direction of pull, one of the worst obstacles to progress has been our reli- 294 SUSAN W. HERRING ance on the anatomical names of muscles. The simple use of the term "superficial masseter" implies that such a structure exists as a functional entity across taxa. Unfortunately, jaw-closing muscles are not only heterogeneous internally but are also linked to each other externally, and so their homologies, while undoubted, are imprecise. Worse, even if superficial masseters are homologous in different mammals, this does not imply any functional similarity. The action line of the superficial masseter relative to the toothrow varies from about 20° (Rattus) to about 90° (Equus) (Turnbull, 1970). Nor has any phylogenetically conserved central motor program been observed for activation of specific named muscles. Rather, muscles seemed to be coordinated according to whether they pull rostrally or caudally on the mandible. The medial excursion of the power stroke is produced by a force couple of protrusors on the working side and retrusors on the balancing side (a patterned referred to as diagonal by Herring [1985*] and as triplets by Weijs [ 1993]). Even jaw-opening muscles such as the digastric work in such couples (Weijs et ai, 1989). For functional purposes, it might be better to designate muscles as vectors rather than as named parts. For traditional static analyses, muscle anatomy (in particular the physiological cross section) is used to estimate muscle force. Current models incorporate information on force-velocity and force-length relations (reviewed by Weijs and van Ruijven, 1990) and are reasonably successful at duplicating actual masticatory strains. Gans and De Vree (1987) present some general considerations on the placement of sarcomeres with respect to both force and excursion. Muscle forces clearly depend as much on sarcomere stretch and speed of contraction as they do on muscle size. Therefore, it is interesting to note that the different chewing movements observed in various mammals have consequences for these parameters. Consider the power stroke, a variably medial and rostral movement of the nearly closed working-side dentary. In ungulates and primates, this is accomplished by rotating the mandible around a vertical axis in the general vicinity of the working side CMJ. The muscles on the working side therefore shorten relatively little. Because force and velocity are inversely related, the working side muscles will produce high force. In rodents, however, rostral translation of the jaw exceeds rotation (Offermans and De Vree, 1990), so that the working side muscles must undergo substantial excursions. The rodent condition appears to emphasize movement at the expense of force. If we could see inside As in most scientific fields, research in mammalian mastication is dominated by technique; we study those aspects which are amenable to investigation. This explains why so much work has been done on the mandible and its muscles. Events inside the mouth, such as food transport and swallowing, are actually more critical for feeding, but unfortunately, they are technically difficult to study. The soft intraoral structures leave little evidence of their presence on the skeleton, and the hyolaryngeal skeleton itself is rarely preserved even in museum preparations, not to mention fossils. Further, the muscles of the tongue and pharynx are numerous but small and deep; many are not easily accessible even surgically. Thus, even though the tongue-and-throat apparatus has many interesting anatomical variations (Howes, 1896; Linton, 1905; Livingston, 1956; Iwasaki et al, 1987), very little is known about how these relate to function, with the exception of the total reorganization of the apparatus in ant- and termiteeating mammals (Doran, 1975). Studies on the tongue outside the mouth have included Abd-el-Malek's (1955) wellknown study on edentulous humans, Schonholzer's (1958-9) intriguing comparative observations on drinking in zoo animals, and invasive studies of muscle action in anesthetized animals (Bennett and Hutchinson, 1946). Electromyography of extrinsic tongue muscles verifies the role of these muscles in producing gross tongue movements (reviewed by Lowe, 1981, 1990). However, the complex intertwining of the intrinsic fibers has thus far baffled functional interpretation of electrical activity (except for the obvious fact that these 295 MAMMALIAN MASTICATION muscles are active during feeding); thus a test of Kier and Smith's (1985) theoretical treatment of tongue-like organs is not yet possible. Of course, it is possible to see inside to some degree. Cineradiography and videofluoroscopy have been used on animals with radioopaque markers implanted in the tongue and/or hyoid bone (review by Hiiemae and Crompton, 1985; more recent studies by De Gueldre and De Vree, 1984; Franks et al., 1985; Anapol, 1988; German et al., 1989; German and Franks, 1991). These studies have revealed a cyclic movement of the hyoid body during chewing that varies with species and that differs strikingly from the swallowing movement. How these movements of the hyoid body relate to the stylohyoid chain of elements is not known, but is of great interest, because the stylohyoid chain is extremely diverse in various mammals. Markers in the tongue show that contractions are regionally asynchronous and asymmetrical, with twisting movements occurring during the closing and power strokes (German et al., 1989; Cortopassi and Muhl, 1990). The activity of pharyngeal muscles in swallowing has been studied primarily in anesthetized animals (reviewed by Bosma, 1957; Miller, 1982; Smith, 1992). Since swallowing is a reflex, these observations are assumed to reflect awake swallowing, except for the absence of a bolus. A longstanding controversy over the coordination of breathing and feeding still rages. In adult humans, breathing stops during swallowing, and indeed is made impossible by the folding down of the epiglottis over the entrance to the larynx (Ardran and Kemp, 1952; Ekberg, 1983). However, based on the resting posture of the epiglottis relative to the soft palate, Negus (1929) postulated that in many if not most other mammals, swallowing and breathing could take place simultaneously, the food bolus passing sideways around the epiglottis. This claim, extended to human infants (Laitman and Crelin, 1980) as well as all non-primate mammals (Cave, 1967), has become a major ingredient in some scenarios of the evolution of speech (Lieberman, 1991). Experimental observations on whether breathing stops and/or the epiglottis folds down during swallowing have not resolved the controversy. Laitman et al. (1977) reported that the epiglottis, marked with a radioopaque clip, remained upright during radiographically observed swallowing in monkeys, although a "momentary separation" from the soft palate occurred. However, in pigs, which have a particularly long intranarial epiglottis and should therefore be extreme examples of simultaneous breathing and swallowing, Herring and Scapino (1973) saw epiglottic movement. Biewener et al. (1985) found that breathing in dogs was disrupted not only during swallowing, but even during chewing (which is not the case in pigs), and epiglottic closure during swallowing in dogs (Suzuki and Nomura, 1973) has been inferred from muscle activity patterns. Clearly, more direct evidence is necessary, but at the moment, the claim that the human pharynx functions differently from that of all other mammals should be regarded as highly suspect. ACKNOWLEDGMENTS My work has been supported by PHS grants, currently DE 08513, for which I thank NIH. I also thank Raymond Fink for discussions about the epiglottis, Wim Weijs for allowing access to his manuscript before publication, and Dave Wright for helpful comments on the manuscript. REFERENCES Abd-el-Malek, S. 1955. 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