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Cancer of the Hypopharynx


and Cervical Esophagus
DANIEL J. KELLEY, MD

The management of malignant neoplasms of the Within the hypopharynx, there are three anatomic
hypopharynx and cervical esophagus remains diffi- subsites which are used to assess tumor stage. The
cult despite recent advances in surgical techniques as pyriform sinus extends from the pharyngoepiglottic
well as multidisciplinary treatment programs. Many fold to the upper end of the esophagus at the lower
patients present at a later age with advanced disease border of the cricoid cartilage.2 The medial extent of
due to the occult nature of associated symptoms. The the pyriform sinus includes the aryepiglottic folds,
disease process and treatment often affect adjacent arytenoid, and cricoid cartilages and its lateral border
structures, such as the larynx. Regardless of the type is the inner surface of the thyroid cartilage.2 The
of therapy employed, high recurrence rates, poor sur- post-cricoid region extends from the level of the ary-
vival, and significant alterations in speech and swal- tenoid cartilages and connecting folds to the inferior
lowing function are a common experience for border of the cricoid cartilage. Finally, the posterior
patients with malignancies in these anatomic sites. pharyngeal wall is bounded superiorly by the floor of
Despite these frustrations, patients are potentially the vallecula superiorly and inferiorly by the inferior
curable and should be offered regimens that carefully border of the cricoid cartilage.2
consider morbidity and outcome within the context The walls of the pharynx consist of five layers
of the patient’s overall medical condition. from medial to lateral: mucosa, submucosa, pharyn-
gobasilar fascia, muscular layer, and buccopharyn-
ANATOMY geal fascia.1 The mucous membrane consists of
columnar epithelium and is ciliated in some areas.1
Malignant neoplasms of the hypopharynx and cervi- The submucosa contains many small veins forming
cal esophagus are often discussed within the same a venous plexus, mucous and minor salivary glands,
context because of their anatomic proximity and and lymphoid tissue.1 The pharyngobasilar fascia is
similar clinical behavior. The pharynx is a muscular attached superiorly to the skull base and fills the
tube that extends from the base of the skull to the gaps between constrictor muscles within the phar-
esophagus.1 It is arbitrarily divided into the naso- ynx.1 The muscular layer at the level of the
pharynx, oropharynx and hypopharynx based on hypopharynx consists of the inferior constrictor,
anatomic landmarks, although it is a continuous while the middle and superior constrictor form the
structure. The hypopharynx extends from the floor more superior aspects of the pharynx. Finally, the
of the vallecula to the inferior border of the cricoid buccopharyngeal fascia forms the outer layer of the
cartilage and is intimately associated with the lar- pharynx.1 It is continuous with the visceral fascia of
ynx. It is continous with the oropharynx superiorly the esophagus and acts as the anterior boundary of
and the cervical esophagus inferiorly. the retropharyngeal space.1

185
186 CANCER OF THE HEAD AND NECK

The blood supply to the hypopharynx includes the branches of the recurrent laryngeal nerve are distrib-
ascending pharyngeal branch of the external carotid uted along the esophagus and trachea.7 Lymphatics
artery, the ascending palatine and tonsillar branches from the submucosa drain into paratracheal lower
of the facial artery (external carotid artery) and the deep cervical and superior mediastinal lymph nodes.
descending pharyngeal and palatine branches of the The upper esophageal sphincter (UES) is located
internal maxillary artery (external carotid artery).1 A at the junction of the hypopharynx and cervical
plexus of veins located adjacent to the pharyngobasi- esophagus. It is composed of three muscles: inferior
lar fascia drains into the internal jugular vein from pharyngeal constrictor (IPC), cricopharyngeus (CP)
the hypopharynx.1 Lymphatic fluid from the and cervical esophagus (CE).6 The CP is strategically
hypopharynx drains into retropharyngeal, jugular, located between the pharynx and esophagus and is
and deep cervical lymph nodes.1 The pharyngeal responsible for the high-pressure zone of the UES.8
branch of the vagus nerve provides motor innerva- All three muscles contract to maintain tone in the
tion and the glossopharyngeal nerve provides sen- UES, but only the CP relaxes in response to physio-
sory perception of the hypopharynx. Branches of the logic stimulus.9 These muscles also differ based on
superior cervical sympathetic ganglion combine with the pattern of motor end plates, proportion of fast-
branches of the glossopharyngeal and vagus nerve to and slow-twitch muscle fibers, and their innervation.
form the pharyngeal plexus, which provides addi- These differences suggest different roles during swal-
tional innervation to the hypopharynx. lowing. The physiologic low-pressure zone of the cer-
The esophagus is a mucosa-lined muscular tube vical esophagus is composed of equal amounts of stri-
that serves as a conduit between the pharynx and the ated and smooth muscle, and is located about 5 cm
stomach. For the purposes of classification, staging, from the proximal portion of the cricopharyngeus
and reporting of cancer cases, it is divided into the muscle.5 Esophageal distension, pharyngeal pressure
following subsites: cervical, upper thoracic, mid-tho- and inflation of the lungs contract the CP and UES via
racic, and lower thoracic.2 Approximately 5 percent of vago-vagal and glossopharyngo-vagal reflexes.9 The
cases of esophageal carcinoma arise within the cervi- UES or CP also contracts with arousal or with
cal esophagus.3 The cervical esophagus extends from changes in posture.9 These reflexes, along with the
the inferior border of the cricoid cartilage to the tho- elastic properties of the CP, contribute to the genera-
racic inlet.2 The wall of the esophagus is comprised of tion of tone in the CP and UES.
an inner mucosa of squamous epithelium, a promi-
nent submucosa, a muscular layer and an adventitia DIAGNOSIS
without serosa.2,4 The submucosa contains mucous
glands, blood and lymphatic vessels, and a plexus of Risk factors for the development of hypopharyngeal
nerves.4 The muscular layer contains an inner circular and cervical esophageal carcinoma include chronic
layer surrounded by an outer longitudinal layer.4 alcohol and tobacco use, older age, geographic loca-
Although the lower two-thirds of the esophagus is tion, and family history of upper aerodigestive tract
composed of smooth muscle, the most proximal end cancers.10 Environmental exposure to polycyclic
is exclusively striated and the remainder is mixed.5 aromatic hydrocarbons, asbestos, and welding
The blood supply to the cervical esophagus fumes may increase the risk of pharyngeal cancer.11
comes from the inferior thyroid arteries. Branches of Nutritional deficiencies and infectious agents (espe-
the thoracic aorta and bronchial arteries supply the cially papillomavirus and fungi) also play a signifi-
thoracic portion. The cervical esophagus is inner- cant role.10 Chronic irritation of the esophagus
vated by cranial nerves IX and X, the cranial root of appears to participate in the process of carcinogene-
the spinal accessory nerve as well as sympathetic and sis, particularly in patients with thermal and/or
parasympathetic fibers.4 The recurrent laryngeal mechanical injury, achalasia, esophageal diverticu-
nerve innervates the upper cervical esophageal mus- lum, chronic lye stricture, or who have undergone
cles and contributes to the innervation of the radiation therapy.10 Plummer-Vinson syndrome,
cricopharyngeus muscle.6 As many as 8 to 14 characterized by dysphagia, iron-deficiency anemia
Cancer of the Hypopharynx and Cervical Esophagus 187

and esophageal webs, as well as celiac disease, tylo- Patients who are referred for evaluation of these
sis and scleroderma are associated with hypophar- symptoms require a complete medical history and
ynx and cervical esophagus cancer.12 careful physical examination. A thorough head and
The principal signs and symptoms of carcinoma neck examination is critical to accurate assessment
of the hypopharynx and cervical esophagus are dys- and staging. Most patients can be examined with a
phagia, hoarseness, odynophagia, neck mass and flexible laryngoscope under topical anesthesia (Fig-
weight loss. Patients are typically older and may also ure 10–3 and 10–4). The extent of disease at the pri-
complain of unexplained oropharyngeal bleeding, mary site, the status of lymph nodes in the neck, and
hemoptysis or hematemesis. Referred otalgia, medi- evaluation for metastatic disease are vital to appro-
ated via the tympanic branch of the glossopharyngeal priate treatment planning. Endoscopic examination
nerve (Jacobson’s nerve), is a frequent presenting of the primary site under anesthesia with biopsy
complaint.13 Of these symptoms, the most frequent is remains the definitive procedure to establish the
odynophagia in over half of patients.13 Dysphagia diagnosis and accurately assess the primary tumor.
may be the first sign of recurrence and can precede The most common histology in patients with
clinically detectable recurrent tumors by several hypopharynx and cervical esophagus cancer is squa-
months.14 The most common site of origin of malig- mous cell carcinoma. The physical appearance of
nancies within the hypopharynx is the pyriform sinus these lesions can be confused with benign lesions,
(Figure 10–1).13 Seventy percent of patients either such as necrotizing sialometaplasia and ectopic gas-
present with or develop neck metastases during their tric mucosa. Other less common histologies include
course of treatment.15 Tumors have extended beyond neuroendocrine carcinomas, extrapulmonary bron-
the hypopharynx in the majority of patients at initial chogenic carcinoma, typical and atypical carcinoid
presentation (Figure 10–2).13 The hypopharynx and tumors, adenocarcinoma and adenosquamous carci-
cervical esophagus are also common occult primary noma, basosquamous cell carcinoma, and lym-
sites in patients with a diagnosis of metastatic squa- phoepithelioma. Invasion of the aerodigestive tract
mous carcinoma of the neck (excluding the supra- by papillary adenocarcinoma of the thyroid occurs
clavicular fossa) from an occult primary tumor. in 1 to 6.5 percent of cases and may manifest as a
hypopharyngeal or cervical esophageal lesion.16
The indications for routine oral panendoscopy for
Post-cricoid
Region the detection of second primary malignancies shows
a significant geographic variation which is not based
on differences in patient or tumor characteristics.17
There is substantial disagreement in the literature
about the value of endoscopic screening for synchro-
nous tumors. The incidence of second primary
malignancy of the upper aerodigestive tract varies
Posterior
Pharyngeal Wall from 3 percent to 15 percent, and the majority of
tumors are detected within 2 years of initial presen-
tation.18 Second primary malignancies are more
common in patients with hypopharynx and
Pyriform Sinus esophageal carcinoma relative to other head and neck
sites.18 A higher detection rate is reported for patients
undergoing routine panendoscopy.18 Others recom-
mend routine interval endoscopic intervention within
2 years of treatment for optimum detection of second
primary cancers. Critics of routine screening
esophagoscopy and bronchoscopy point out the low
Figure 10–1. Site distribution of carcinoma in the hypopharynx. yield, potential for increased morbidity, questionable
188 CANCER OF THE HEAD AND NECK

Figure 10–2. Squamous cell carcinoma of the postcricoid region.

impact on expected survival and outcome and high neck with tumors of the hypopharynx (Figure
cost in support of their position.19 Therefore, the 10–5).20 Open neck exploration is superior to CT
decision regarding routine panendoscopy in the eval- when evaluating pre-vertebral muscle invasion by
uation of hypopharynx and cervical esophagus can- squamous cell carcinoma.21 Of the radiographic crite-
cer is currently left to the discretion of the clinician. ria used to evaluate laryngeal involvement, sclerosis
The combination of clinical exam and computed of the thyroid cartilage is the most sensitive and extra-
tomography (CT) scan is more accurate than physical laryngeal tumor and erosion is the most specific.22
exam alone in the evaluation of the primary site and Computed tomography and magnetic resonance

Figure 10–3. Fiberoptic endoscopic appearance of a carcinoma of Figure 10–4. Flexible endoscopic appearance of a carcinoma of
the posterior phyaryngeal wall. the pyriform sinus.
Cancer of the Hypopharynx and Cervical Esophagus 189

function, abnormal values are found in almost half of


patients with head and neck cancer, due to chronic
alcohol use, and therefore are of little value in iden-
tifying patients with liver metastases during initial
assessment.28 Moderate elevation of liver function
tests does not always require further investigation to
exclude hepatic metastases.28 In general, a chest CT
should be obtained with an abnormal chest x-ray, a
bone scan in the event of an elevated alkaline phos-
phatase or patient symptoms, and either an ultra-
sound or CT/MRI scan of the liver when significant
elevation of liver function tests is present, depending
on tumor stage and associated co-morbidities.27
Positron emission tomography (PET) is a new
imaging technique which provides absolute and
comparable quantitative data on tumor metabolism
Figure 10–5. CT scan demonstrating invasion of the thyroid carti- before and after chemotherapy. Radiolabeled fluoro-
lage from a carcinoma of the left pyriform sinus. deoxyglucose (FDG) is used to measure metabolic
activity. As tumor cells consume more glucose rela-
tive to surrounding normal cells, a difference in sig-
imaging (MRI) are comparable in the radiologic eval- nal intensity can be identified. The presence of PET
uation of the neck for regional lymph node metastases activity correlates with pathologic findings in
relative to clinical exam.23 Diagnostic imaging can patients with head and neck cancer.29 Elevated or
also provide information about submucous tumor rising PET activity after radiation therapy strongly
extension and cartilage involvement, leading to up- suggests persistent or recurrent disease that may not
staging in many cases. MRI tends to be superior to be detected by CT or MRI. Patients with hypophar-
CT in predicting tumor invasion and is valuable in the ynx or cervical esophagus cancer who are candi-
selection of candidates for conservation surgery.24 dates for chemoradiation protocols should undergo
Any patient considered for chemoradiation protocols PET scans as part of their preoperative evaluation.
should undergo baseline CT as lesions that are Although gender and performance status do not
reduced by 50 percent or less at 4-month follow-up correlate with treatment outcome, certain clinical and
CT are highly suspicious for treatment failure.25 histologic parameters have prognostic implications for
Patients who present at an advanced stage are at patients with hypopharyngeal or cervical esophageal
increased risk for distant metastases. The hypophar- squamous cell carcinoma. Perineural invasion, vascu-
ynx has the highest incidence of distant metastases lar invasion, positive nodal status, extracapsular
(60%) relative to other head and neck sites. The lung spread, contralateral, bilateral or fixed nodes, level IV
is the most common site of distant metastases (80%), to V positive nodes, and N2 disease are all significant
followed by mediastinal nodes (34%), liver (31%), predictors of lower survival, higher incidence of neck
and bone (31%).26 The standard initial evaluation for recurrences, greater risk of distant metastases, and
distant metastases includes a chest radiograph and poorer outcome.30 Cervical esophageal carcinomas
serum chemistries. Chest radiographs have an are notorious for extensive submucosal spread,
approximate sensitivity and specificity of 50 percent increasing the risk of positive margins following
and 94 percent, respectively, for the detection of pul- resection. Disease extension outside the cervical
monary metastases.27 Elevated serum levels of alka- esophagus is present in more than 75 percent of
line phosphatase are highly specific for the presence patients.31 Tracheal invasion and vocal cord paralysis
of bone metastases, but the sensitivity is low (20%).27 occur in up to one-third of patients and is associated
Although serum liver function tests assess hepatic with significantly decreased survival.31
190 CANCER OF THE HEAD AND NECK

TREATMENT GOALS AND ALTERNATIVES neoadjuvant chemotherapy and organ preservation


The goals of treatment for this patient population protocols do not offer improved long-term locore-
are: (1) cure with preservation of function or (2) pal- gional control or survival.38 This treatment approach
liation with minimal morbidity. As a general rule, requires a motivated, compliant patient, careful mon-
surgery followed by irradiation is considered the itoring, close interdisciplinary cooperation among
standard treatment for cancer of the hypopharynx oncologists, and should be administered as part of an
and cervical esophagus. Surgical resection for approved local, regional, or national protocol.36
advanced stage primary tumors (T3 or T4) typically The survival of patients with carcinoma of the cer-
requires laryngectomy as part of the procedure. vical esophagus remains poor in spite of multimodal-
Improved 5-year survival rates have been achieved ity treatment and technical improvements in surgical
for patients with hypopharyngeal cancer using com- resection and reconstruction.39 The standard operative
bined surgical resection and postoperative radiation procedure is laryngopharyngoesophagectomy and
therapy, compared with single modality treatment.32 reconstruction with regional musculocutaneous flaps,
Poor pathologic features following resection, such as gastric pull-up, or free tissue transfer of jejunum or
close or positive mucosal margins, nerve invasion, radial forearm fasciocutaneous flap. The mean sur-
positive lymph nodes, or largest lymph node > 3 cm vival following diagnosis is measured in terms of
are indications for adjuvant treatment. Postoperative months, and 5-year survival rates approach 12 percent.
radiation therapy has been shown to decrease the In view of these results, some clinicians do not feel
rates of local and regional recurrence, including that laryngectomy is justified in these patients. How-
peristomal recurrence.33 ever, unlike hypopharynx cancer, there is currently no
The role of chemotherapy for patients with head prospective randomized clinical trial data comparing
and neck cancer has historically been limited to pal- chemoradiation protocols to standard surgical therapy
liation. However, chemotherapy in the management for patients with carcinoma of the cervical esophagus.
of these tumors has evolved in the last decade from Therefore, multimodality nonsurgical treatment
palliation to primary combined-modality treatment.34 options are more limited for these patients.
Current clinical data supports a role for chemother-
apy as part of a combination treatment for cure in Factors Affecting Choice of Treatment
patients with advanced hypopharynx cancer requir-
ing total laryngectomy.34 In fact, the European Orga- Age
nization for Research and Treatment of Cancer
In general, advanced age is not a major contraindi-
(EORTC) has now accepted the use of induction
cation to treatment for head and neck cancer. Sur-
chemotherapy followed by radiation as the new stan-
vival rates for patients over 75 years of age are com-
dard treatment in its future phase III larynx preserva-
parable to other age groups.40 However, the
tion trials for carcinoma of the hypopharynx.35 Sur-
site-specific survival for patients older than 75 years
vival rates for complete responders are similar to
with hypopharyngeal or cervical esophageal carci-
patients treated surgically, although larynx preserva-
noma is approximately 10 percent with many
tion is achieved in only 30 percent of these patients.36
patients eliminated from treatment consideration
Induction or concomitant platinum-based chemo-
due to associated medical conditions.41 In view of
therapy provides notable response rates and allows
the anticipated poor prognosis of hypopharyngeal
the prediction of radiosensitivity in those patients
carcinoma in the elderly, some clinicians recom-
who respond to chemotherapy. Side effects include
mend that treatment should be directed towards pal-
mucositis, cutaneous reactions, neutropenia, throm-
liation without surgery whenever possible.40
bocytopenia, sepsis and death.37 Planned neck dis-
section is recommended in some treatment plans for
Associated Medical Conditions
all patients with N2+ neck disease and salvage
surgery is performed for residual or recurrent locore- As hypopharynx and cervical esophagus cancer typi-
gional disease.37 Despite initial tumor responses, cally occur in older patients, associated medical con-
Cancer of the Hypopharynx and Cervical Esophagus 191

ditions are often present and should be included when (PEG) tubes because of pre- and post-treatment
considering treatment options. Although patients with problems with dysphagia. Avoiding preoperative tra-
weight loss more than 10 percent during the 6 months cheotomy and the addition of thyroidectomy, para-
before surgery are at greater risk for the occurrence of tracheal lymph node dissection and tracheal resec-
major postoperative complications, cachexia and mal- tion to the procedure can decrease the risk of
nutrition are not contraindications to treatment due to peristomal recurrence following laryngopharyngoe-
improvements in nutritional assessment and delivery sophagectomy. Postoperative radiotherapy to the
via enteral and hyperalimentary routes.42 Anemia stoma and superior mediastinum will help minimize
should be corrected prior to treatment as hematologic recurrence around the tracheostoma.46
side effects from chemotherapy are common and ane- Treatment of the associated lymph node groups
mia is a negative prognostic factor in some studies of should be included as part of the management of
squamous cell carcinoma of the head and neck.43 these disease sites as there is a high rate of regional
Medical contraindications to surgery are based on the lymph node metastases. Retropharyngeal adenopa-
preoperative assessment of anesthetic risk. Eligibility thy is common with pharyngeal wall cancers and has
criteria for investigational nonsurgical chemoradia- a negative impact on neck control and ultimate sur-
tion protocols include adequate performance status as vival.47 Patients with clinically palpable neck dis-
well as reasonable hematologic, hepatic, renal and ease (N1 to N3), histologic evidence of metastatic
cardiovascular function. nodal disease, extracapsular spread, and three or
more positive lymph nodes are at greater risk of
Past Medical/Surgical History developing failure at distant sites and should have an
extensive evaluation for distant metastatic disease.48
Previous gastrointestinal surgery is not a contraindi- Neck dissections in patients with clinically negative
cation for reconstruction following laryngopharyn- necks and/or radiotherapy should include lymph
goesophagectomy requiring gastric pull-up or free node levels II, III, and IV in both necks during treat-
jejunal graft for reconstruction.44 Previous chemo- ment due to a high incidence of bilateral disease.49
therapy is not an absolute contraindication to med- Patients with palpable nodes N2 or greater should be
ical therapy, but previous exposure to platinum com- offered a comprehensive neck dissection. Planned
pounds makes significant responses less likely. radiotherapy, either as part of a chemoradiation pro-
Repeat external irradiation or brachytherapy are tocol or following surgical resection, should be
poor options for patients who have received prior included as part of the management of these cancers.
radiotherapy to the head and neck.
SURGICAL TREATMENT
TNM Stage
Resection
Relative contraindications to surgical resection of
hypopharynx and cervical esophagus cancer include The difficulty in surgical treatment of advanced car-
invasion of pre-vertebral fascia, the presence of dis- cinoma of the hypopharynx and cervical esophagus
tant metastases, and carotid involvement by either arises from the common requirement for laryngec-
the primary or regional lymph nodes.45 Conservation tomy as part of the procedure. The larynx is removed
surgery (partial laryngopharyngectomy) is indicated because of direct or submucosal tumor extension
for early stage (T1 to T2) lesions in patients who can and significant risk of chronic or life-threatening
tolerate some degree of chronic aspiration. Con- aspiration. Histopathologic studies of hypopharyn-
traindications to medical treatment include ineligi- geal cancer have shown that assessment of the extent
bility for protocols based on medical evaluation, and of laryngeal disease based on endoscopic findings in
inability to tolerate radiation therapy or chemother- the hypopharynx is inaccurate.50 Therefore, laryn-
apy. Many patients now undergo pretreatment place- geal conservation surgery for hypopharynx cancer
ment of percutaneous endoscopic gastrostomy risks a high incidence of positive margins. However,
192 CANCER OF THE HEAD AND NECK

for the rare patient who presents with early-stage Pearson’s near-total laryngectomy with permanent
hypopharyngeal disease, laryngeal preservation tracheopharyngeal shunt (NTL-PTPS) has been used
surgery can be performed with excellent functional successfully by a limited number of clinicians with
results.51 Endoscopic pharyngectomy is possible for good locoregional control rates and infrequent aspira-
small lesions that are easily accessible through an tion.54 Lung-powered “shunt” speech is acquired in
operating laryngoscope. Partial pharyngectomy for many patients following this procedure. The major
posterior pharyngeal or small lateral pharyngeal disadvantage of partial laryngopharyngectomy is an
lesions can be approached through a lateral or tran- inability to predict postoperative speech and swallow-
shyoid pharyngotomy.52 ing function, although newer reconstructive tech-
Partial laryngopharyngectomy (PLP) is indicated niques may improve outcome.55
for lesions of the pyriform sinus that invade the lateral Many patients are not amenable to partial laryn-
hypopharyngeal wall and consists of resecting half geal or pharyngeal surgery and require total laryn-
the larynx and half the hypopharynx (Figure 10–6). gectomy in combination with total or partial pharyn-
The lesion should be confined to the ipsilateral pyri- gectomy and cervical esophagectomy via a cervical
form sinus, aryepiglottic fold, arytenoid eminence approach. Larynx-preserving procedures with resec-
and paraglottic space at the level of the false vocal tion of the cervical esophagus via median ster-
fold. The hyoid bone, thyroid ala, arytenoid cartilage, notomy or trans-tracheal approach have been
epiglottis, aryepiglottic fold, arytenoid eminence and described.56 The major risk of esophagectomy with-
false fold are removed on the affected side. Hemi- and out laryngectomy is uncontrollable aspiration.
supra-cricoid laryngopharyngectomy can be per- Trans-hiatal esophagectomy can be performed in
formed for hypopharynx tumors involving the combination with laryngopharyngoesophagectomy
aryepiglottic fold, and anterior, medial, and lateral when there is tumor extension below the cervical
wall of the pyriform sinus.53 The surgical specimen esophagus or second esophageal primary malig-
includes the ipsilateral half of the hypopharynx, lar- nancy.57 Frozen-section evaluation should be
ynx, and cricoid ring (Figure 10–7). Contraindica- obtained due to submucosal tumor extension. Bilat-
tions to these procedures include invasion of the pyri- eral neck dissections should be performed at resec-
form sinus apex or post-cricoid region, invasion of the tion because of the high risk of regional lymph node
posterior pharyngeal wall, and vocal cord paralysis. metastases.58 A selective neck dissection of levels II,
III, and IV is appropriate in the clinically negative

Figure 10–6. Fiberoptic endoscopic appearance of a patient with


a carcinoma of the right pyriform sinus suitable for a partial laryn- Figure 10–7. Operative specimen of the patient in Figure 10-6
gopharyngectomy. shows the extent of resection at partial laryngopharyngectomy.
Cancer of the Hypopharynx and Cervical Esophagus 193

neck because of the low risk of metastatic disease in myocutaneous (Figure 10–8) or revascularized radial
the submandibular triangle (level I) and posterior tri- forearm flaps are the most common choices for
angle (level V).59 Primary tracheoesophageal punc- reconstruction of larger pharyngeal defects, follow-
ture can be performed regardless of reconstruction ing total laryngectomy with partial pharyngectomy.
technique for speech restoration.60 Reconstruction becomes more challenging follow-
ing partial resection of the larynx for hypopharynx and
Reconstruction cervical esophagus carcinoma. Primary closure or
local rotation flaps using residual laryngeal/
The selection of technique to reconstruct the phar- hypopharyngeal mucosa, cervical skin, and sternohy-
ynx and cervical esophagus following ablative oid myofascia have been described.63 Many tech-
surgery is largely determined by the size of the niques use remaining laryngeal structures in combina-
defect, presence or absence of laryngeal structures, tion with regional myocutaneous flaps or gastric
and the availability of microvascular expertise. pull-up to preserve laryngeal function. A single layer
Small defects following endoscopic resection will closure does not have higher fistula rates and speech
heal by secondary intention. External partial pha- restoration and swallowing are improved compared to
ryngectomy can be repaired by primary closure, multiple layer closure.64 Cricopharyngeal myotomy is
tongue flap, local rotation flap, and skin, dermal, or often performed to improve swallowing and acquisi-
mucosal grafts.61 The Wookey procedure has histor- tion of tracheoesophageal speech.65 Although reported
ical significance, and may be employed in salvaging complication rates are low, patients should be prepared
multiple failures of other procedures.62 Although for the possibility of a permanent tracheostomy.
cervical skin, platysma, latissimus dorsi, and del- Circumferential defects of the upper aerodiges-
topectoral flaps have been used, pectoralis major tive tract require circumferential tissue replacement

A B

C D
Figure 10–8. A, B, C and D, Partial defects of the pharynx can be reconstructed using a pectoralis major myocutaneous flap.
194 CANCER OF THE HEAD AND NECK

to reestablish continuity between the residual phar- struction, free jejunal transplantation is recom-
ynx and esophagus. Both regional and free fascio- mended for primary reconstruction following laryn-
cutaneous and musculocutaneous flaps can be gopharyngoesophagectomy.
tubed, but the preferred methods are free radial
forearm, free jejunal interposition, or pharyngogas- NONSURGICAL TREATMENT
trostomy after pull-through esophagectomy (gastric
pull-up).66 Each of these techniques has their pro- Chemotherapy
ponents, and the choice of technique is based on the
preferred method of the operating surgeons and the As stated previously, chemotherapy for patients with
size of the defect. head and neck cancer has evolved from palliation to
The advantages of radial forearm flaps include primary combined-modality treatment in the last
ease of harvest and avoidance of intra-abdominal decade. Prospective, randomized studies comparing
surgery. Free jejunal transplantation (Figure 10–9) induction chemotherapy plus definitive radiation
has the advantage of fewer mucosal sutures and can therapy with conventional treatment (total laryngec-
be harvested endoscopically. In addition, longer seg- tomy, pharyngectomy, neck dissection, and postoper-
ments of jejunum can be harvested for defects which ative irradiation) have shown that larynx preservation
extend into the nasopharynx. Gastric pull-up is indi- without decreased survival is possible in patients
cated for lesions extending into the thoracic esopha- with cancer of the hypopharynx.35 These protocols
gus or when total esophagectomy is indicated (Figure require frequent endoscopic evaluation, and those
10–10). A combination of techniques is occasionally patients with limited or no response to treatment pro-
required when additional structures, such as anterior ceed to salvage surgery with postoperative radiation.
neck skin, oropharynx, and oral cavity are included Salvage surgery is also performed when patients
in the ablation. Among the three methods of recon- relapse after chemotherapy and irradiation.

A B

Figure 10–9. A, B, and C, Microvascular jeju-


nal interposition is an excellent method for
reconstructing a circumferential defect of the
pharynx.

C
Cancer of the Hypopharynx and Cervical Esophagus 195

A B

C D
Figure 10–10. A, B, C and D, Pharyngogastrostomy after gastric pull-up for reconstructing a circumferential defect of the pharynx.

Survival is comparable in surgical and nonsurgical pharyngeal, facial and superior thyroidal arteries are
groups for the following reasons: chemotherapy available for drug delivery. Selective arterial infusion
appears to decrease the rate of distant failure, and combined with external radiation therapy is a feasible
patients who undergo successful surgical salvage fol- alternative to standard chemoradiation protocols and
lowing chemoradiation are included in the nonsurgical offers comparable rates of disease control and sur-
group with respect to survival.67 The 5-year estimate vival. For many institutions and clinicians, induction
of retaining a functional larynx is about 35 percent.35 chemotherapy followed by radiation with surgical sal-
Intra-arterial chemotherapy has been employed to vage is offered as standard treatment for patients with
increase the intra-tumor dose and limit systemic expo- advanced carcinoma of the hypopharynx.35 Because
sure.68 Several arteries, including lingual, ascending there are no prospective randomized trials comparing
196 CANCER OF THE HEAD AND NECK

treatment options for carcinoma of the cervical esoph- chronic pain, proximal or distal prosthesis migra-
agus, the approach to these lesions is more varied. tion, insufficient expansion and neoplastic obstruc-
tion.74 Other options include repeat or multiple stent
Radiotherapy placement, balloon dilation and percutaneous endo-
scopic gastrostomy (PEG).74
Radiation therapy can be used as single modality
treatment for early stage hypopharyngeal carcinoma
Laser Ablation
with acceptable results.69 Neck dissection alone fol-
lowed by radiation to both the primary site and Palliative therapy for obstructing cervical esophageal
necks is a reasonable treatment plan for early T stage carcinoma is possible with neodymium:yttrium-
lesions with bulky neck disease. Postoperative radi- aluminum-garnet (Nd:YAG) laser. Vaporization of
ation therapy offers improved locoregional control obstructing esophageal carcinoma followed by stent
rates when compared to preoperative RT.70 Newer placement is effective for patients who are not can-
chemoradiation protocols offer larynx preservation didates for curative therapy.75 Photodynamic therapy
with similar survival rates when compared to surgi- (PDT) has reportedly been effective in a variety of
cal resection. Hyperfractionation (twice daily) head and neck malignancies that fail conventional
schedules have shown improved control rates in therapy.76 The technique involves intravenous or oral
many studies.71 A variety of schedule modifications administration of a chemosensitizing drug selec-
and radiosensitizers have been reported in the litera- tively retained by neoplastic and reticuloendothelial
ture with varying degrees of success. tissues. When exposed to a 630-nm argon laser, the
There is wide variation in the indications, treat- laser energy catalyzes a photochemical reaction
ment regimens, and dosimetry for brachytherapy in which releases free oxygen radicals and results in
the definitive and palliative treatment of cancer of cell death and tumor necrosis. There are only anec-
the esophagus.72 According to the American dotal reports in the literature in cases of hypophar-
Brachytherapy Society (ABS), candidates for ynx and cervical esophagus cancer; therefore, no
brachytherapy include patients with unifocal tho- definitive statements can be made regarding clinical
racic adenocarcinomas and squamous cell carcino- efficacy of this technique.
mas less than 10 cm in length with no evidence of
intra-abdominal or metastatic disease.72 Contraindi- Sequelae, Complications, and
cations include tracheal or bronchial involvement, their Management
cervical esophagus location, or stenosis that cannot
be bypassed.72 ABS guidelines will likely evolve as Surgery
clinical data and treatment techniques are refined.
Fistula, stenosis, flap loss, and persistent dysphagia
can complicate surgical resection of the hypophar-
Stents
ynx and cervical esophagus.77 Other complications
Significant dysphagia and an inability to manage include wound infection, wound necrosis, cervical
normal secretions often accompany hypopharynx skin necrosis, hemorrhage, and carotid artery rup-
and cervical esophagus malignancies. Temporary ture.78 Positive histologic margins by frozen section
relief can be achieved with the use of a nasopharyn- indicate significantly increased risk of complica-
geal airway or silicone salivary bypass tube from the tions, including local recurrence and death from
nasopharynx or oropharynx to the cervical esopha- disease. Reported rates of perioperative mortality
gus.73 Self-expanding metal stents represent a major range from 5 to 18 percent. The use of microvascu-
advancement in the palliative treatment of dysphagia lar jejunal flaps can result in anastomotic leak, flap
caused by neoplasms of the esophagus.74 Most loss, and intra-abdominal complications including
patients report a significant improvement of dyspha- hemorrhage. However, successful microvascular
gia and some return to a normal diet. Problems with tissue transfer can be achieved in greater than 95
these devices include foreign body sensation, percent of patients.79 Patients who undergo gastric
Cancer of the Hypopharynx and Cervical Esophagus 197

pull-up reconstruction often complain of postpran- peripheral neuropathy, recurrence, weight loss and
dial regurgitation due to impaired gastric peristalsis. death. Neutropenia (< 1,000 cells/mm3) and anemia
Gastric emptying after gastric interposition is are common hematologic side effects of chemother-
dependent on upright posture after meals and apy.84 Mucositis and stomatitis are compounded
patients should be counseled accordingly. The mor- when concurrent radiotherapy is administered.
bidity rate of tracheoesophageal puncture is low and
should be considered for patients requiring laryn- Rehabilitation and Quality of Life
gectomy. Significant endocrine dysfunction
(hypothyroidism, hypoparathyroidism) occurs with Health-related quality of life (QOL) measurements
regularity following the treatment of hypopharyn- provide an assessment of a patient’s perception of
geal and cervical esophageal carcinoma.80 Clini- his or her illness, and a variety of questionnaires
cians should maintain a high index of suspicion for specific for head and neck cancer have been devel-
postsurgical endocrine dysfunction. oped.85,86 For many head and neck cancer patients,
Approximately 20 percent of total laryngectomies quality of life, speech and swallowing are compro-
require treatment for pharyngeal stenosis, and the mised before, during, and after treatment. Depres-
highest incidence is found in patients treated for sion, anxiety, disability, and psychological distress
hypopharyngeal lesions.81 Neck disease and inclu- are common. As one might expect, quality of life
sion of radical neck dissection are both significant measurements vary based on patient personality,
factors in the development of hypopharyngeal steno- treatment type, and time elapsed from therapy.87
sis. The best treatment of hypopharyngeal stenosis is The patient’s attitude about their disease and their
its prevention through the use of regional or physical and social abilities following treatment
microvascular flaps to augment residual mucosa. plays a major role in quality of life measurements.
Persistent fistulae or strictures can be corrected with Surprisingly, clinical stage of disease or degree of
local or regional flaps. Secondary jejunal interposi- malnutrition does not seem to correlate with the
tion and radial forearm reconstruction are also effec- patient’s self-rated QOL.88
tive surgical options. Tracheoesophageal puncture It is clear that total laryngectomy results in a
(TEP) may be complicated by poor speech because major alteration in function of the upper aerodiges-
of hypertonicity or spasm of the pharyngoesophageal tive tract. However, post-laryngectomy QOL scores
segment (PES). Treatment options include speech are not significantly different from pre-laryngec-
therapy, PES dilation, pharyngeal neurectomy, botu- tomy scores in patients with advanced larynx can-
linum toxin injection into the PES, and myotomy.82 cer.86 Though loss of voice is disabling, the func-
tional limitations caused by a laryngectomy do not
Radiotherapy necessarily translate into a worse overall QOL.86
Approximately 30 percent of patients develop
Complications of radiotherapy include mucositis, esophageal speech and many others are rehabilitated
stenosis, complete stricture, persistent dysphagia, by an electro-larynx or tracheoesophageal puncture.
tissue necrosis, recurrence, and Lhermitte’s syn- Laryngeal radiotherapy results in significant but
drome.83 Careful treatment planning is necessary to temporary deterioration of physical functioning and
avoid damage to the spinal cord. Hypoparathy- an exacerbation of many head and neck symptoms.85
roidism and hypothyroidism can occur in patients The frequency of oral side effects correlate with
treated with radiotherapy as well. radiation treatment fields and dose as well as clini-
cal stage.85 Oral complaints include difficulty chew-
Chemotherapy ing/eating, pain, dry mouth, altered taste, dysphagia,
altered speech, difficulty with dentures, and
Patients who receive platinum-based chemotherapy increased tooth decay in dentate patients. There is
should be informed of the potential risks of myelo- also a high level of depressive symptomatology fol-
toxicity, stomatitis, sepsis, dysphagia, hearing loss, lowed by an improvement after treatment.85 Despite
198 CANCER OF THE HEAD AND NECK

physical deterioration, there is an improvement of free survival rates are 30 percent and 41 percent,
emotional functioning and quality of life after treat- respectively, with surgical resection and postopera-
ment, and often these measurements return to their tive radiotherapy.92 Prognosis is better in patients
pre-treatment level. with limited disease: local disease permitting lar-
When comparing total laryngectomy, hemilaryn- ynx-sparing surgery, N0/N1 clinical neck, and stage
gectomy and radiotherapy for laryngeal cancer, the I/II/III disease.92 Supracricoid hemilaryngopharyn-
total laryngectomy group recovers most slowly, with- gectomy (SCHLP) for selected T2 pyriform sinus
out achieving normal functioning by 6 months. Most carcinoma offers a 5-year disease-specific survival
hemilaryngectomees return to normal functioning by rate of 55 percent and excellent local control rates.53
3 months and radiotherapy-only patients show little Voice preservation is possible in many patients fol-
overall dysfunction at 6 months.89 However, there is lowing partial laryngopharyngectomy and neck dis-
no significant difference in overall QOL between section. Extent of surgery is associated with a higher
groups or over time.89 Ability to eat and/or speak is risk of complications but does not affect local recur-
not associated with overall QOL or with any other rence rates. The majority of neck dissection speci-
specific QOL measurement.89 Similarly, pre- and mens will contain pathologically positive lymph
post-treatment QOL scores are similar for advanced nodes. Modified neck dissections sparing level I
oropharyngeal cancer patients treated surgically and appear to offer similar control rates and less mor-
nonsurgically.86 The surgical group tends to complain bidity in the clinically negative neck when compared
of poorer appearance and speech, and the nonsurgi- to classic radical neck dissections.93
cal group reports higher pain scores.86 Surgery Carcinoma of the cervical esophagus extends into
results in greater measurable dysfunction, but psy- the hypopharynx in the majority of patients. Less than
chological functioning and general well-being are half of patients are surgically resectable following
similar between patients treated surgically and those preoperative or intraoperative evaluation. Periopera-
receiving radiotherapy.90 The data regarding QOL in tive mortality rates average 10 percent with gastric
patients enrolled in organ preservation protocols for pull-up reconstruction, and are lower with free flap
hypopharynx and cervical esophagus cancers is reconstruction. Total laryngopharyngoesophagec-
evolving, and future studies will provide greater tomy offers the lowest rate of local recurrence.39
insight into this aspect of head and neck cancer care. Almost half of the patients who undergo resection
without laryngectomy will either aspirate or recur
Outcomes and Results of Treatment locally.39 The cumulative 5-year survival rate for car-
cinoma of the cervical esophagus is between 9 and 16
Recent reviews of the data collected by the United percent.39 Attempts at palliative resection should be
States National Cancer Database reveals that carci- carefully considered due to the extremely low proba-
noma of the hypopharynx continues to have the bility of survival and durable symptom relief.39
worst prognosis of any head and neck site.91 Overall, Reconstruction-associated complications such as
5-year survival is approximately 30 percent.91 wound infection and anastomotic leakage occur less
often after gastric pull-up reconstruction when com-
Surgery pared to myocutaneous flaps, but are associated with
more serious outcome.92 Overall complication rates
The 5-year survival rates following surgical resec- in the range of 25 to 30 percent have been
tion for carcinoma of the hypopharynx are related to reported.92 Surgical mortality ranges from 0 to 12
TNM stage at presentation (clinical: stage I, 74%; percent and is often due to sepsis or cardiac prob-
stage II, 45 to 63%; stage III, 32%; and stage IV, 0 lems.39,92 Higher morbidity and mortality rates are
to 14%) (neck: N0, 57%; N1, 28 to 30%; N2, 6 to associated with gastric pull-up when compared to
16%; and N3, 0 to 10%).18,92 Local control rates are free flap reconstruction.94 Free jejunal grafts and
57 to 80 percent and recurrences occur at the upper radial forearm flaps are successful in excess of 90 to
resection margin.18,92 Five-year overall and disease- 95 percent of cases.79 When compared to other
Cancer of the Hypopharynx and Cervical Esophagus 199

forms of reconstruction, free jejunal transfer offers Planned postoperative radiotherapy improves
higher rates of oral nutrition, lower morbidity and locoregional control and survival and decreases the
shorter length of hospital stay.95 Most patients risk of peristomal recurrence.18,50,92 Postoperative
resume oral intake following resection, and the dura- radiation should be started within 6 weeks after
tion of their hospitalization is approximately 2 surgery for the best results.99
weeks.79,94 Despite wide excision, surgical margins
are microscopically positive in a significant number Organ Preservation/Chemoradiation
of patients. Fluency in tracheoesophageal speech
can be achieved in 75 percent of patients within 4 to Neoadjuvant chemotherapy in combination with
5 months following total laryngectomy.60 radiotherapy has shown an overall response rate of
Recurrence in the neck is about 30 to 40 percent 87 percent and a complete remission (CR) rate of
overall and is related to clinical neck stage at presen- 67 percent in patients with carcinoma of the
tation (N0, 20%; N1, 37%; N2, 48%; and N3, 83%).92 hypopharynx.100 Similarly, high rates of local con-
Failure in the contralateral unoperated neck occurs in trol have been reported in cervical esophageal car-
14 percent of patients with medial pyriform sinus cinoma.101 Concurrent delivery of chemoradiation
lesions and bilateral neck dissections should be per- is considerably more toxic but may improve locore-
formed.96 Second primary malignancy remains a sig- gional control and overall survival.101 Significant
nificant cause of death in these patients. complications include grade 3 to 4 granulocytope-
nia, severe mucositis, dysphagia, and death due to
Radiotherapy sepsis.101 Half of the patients will require gastros-
tomy.100 Incomplete response after chemotherapy
Excellent local control rates (70 to 85%) can be has a high likelihood of treatment failure, even
achieved for early stage (T1 to T2) lesions using with no clinical evidence of tumor following sub-
both standard and hyperfractionated radiotherapy.97 sequent radiotherapy.100 Reported larynx preserva-
As with patients treated surgically, treatment success tion rates range from 30 to 67 percent of patients
is correlated with stage at presentation. The 5-year without compromising survival.100,102 The range of
survival rates for T3 to T4 disease treated with preservation rates represents differences in proto-
definitive radiation are approximately 18 percent.97 col reporting and follow-up duration. Overall sur-
Radiotherapy as primary treatment usually reserves vival rates range from 20 to 40 percent at 3
surgical resection for salvage. Locoregional recur- years.103 Local recurrences are more frequent in the
rence rates of 45 to 50 percent over 5 years follow- laryngeal preservation group, and distant metas-
ing primary radiotherapy for cure have been tases are more frequent with standard therapy.102
reported for advanced disease.98 Although local control is decreased among organ
Higher total dose increases the risk of both early preservation patients, there is no compromise in
and late complications.97 At 5 years, 40 to 50 percent overall survival when combined with prompt surgi-
of patients will be alive and with a larynx following cal salvage.102
radiotherapy for early stage hypopharynx cancer.97 Thirty to thirty-five percent of patients require
Successful surgical salvage is infrequent and total laryngectomy for salvage as a consequence of
approaches 20 percent at 5 years.98 Complication poor response to induction chemotherapy or recur-
rates are higher when surgery is performed for sal- rent disease after completion of chemotherapy and
vage following radiation therapy.98 Regional or free radiation.104 Surgical salvage may not be possible
flaps offer the advantage of non-irradiated tissue for due to unresectable local disease or distant metas-
reconstruction. Intraoperative brachytherapy in tases. Postoperative pharyngocutaneous fistulae
combination with surgical salvage has been occur in almost 40 percent of patients, resulting in
reported, but the experience is limited at the present prolonged hospitalization.104 Long-term survivor-
time. Survivorship is extremely poor if disease ship is extremely poor in this situation, with some
recurs after salvage surgery. authors reporting no patients alive at 5 years.104
200
Table 10–1. CARCINOMA OF THE HYPOPHARYNX
Summary of Chemoradiation versus Surgery+RT Protocols

CANCER OF THE HEAD AND NECK


Mean Mean Preservation Local Regional Distant 2 yr % 2 yr % 5 yr % 5 yr %
Survival Survival of Failure Failure Failure CRT/SRT CRT/SRT CRT/SRT CRT/SRT
CRT SRT Larynx CRT/SRT CRT/SRT CRT/SRT Survival Survival Survival Survival
Author Type Patients CR Primary CR Neck (months) (months) (5-yr) (%) (%) (%) (disease) (overall) (disease) (overall)

Lefebrve P, R 194 52(54%) 31/61(51%) 44 25 35% 17/12 23/19 25/36 –/– 41/39 –/– 30/35
Zelefsky RE, NR 56 12(46%) –/– 42/30 38/30 23/40 –/– –/– 30/42 15/22
Kraus RE, NR 25 17(68%) 11(61%) 32% 48/– 24/– 24/– –/– –/– 44/– –/–
Lavertu RE, NR 20 20(100%) –/– – – 85%* 15/– – – –/– –/– 62/– –/–
Samant RE, NR 25 (92%) 16(76%) – – – – – – –/– –/– 50/– 23/–
Robbins RE, NR 8 – – – – – – – – – – – –
Shirinian P, NR 29 15(52%) – – – 28% 20/– –/– 13/– 38/– –/– –/–
Clayman RE, NR 87 24(83%) – – – – 31/– –/– –/– –/– 55/67 –/– –/–

*4 year data

Summary of Surgery and Radiation Therapy**

Surgery Alone RT Alone Surgery & RT

5 yr
Surgery Survival Local Regional Distant Local Regional Distant Local Regional Distant
+RT (overall) Failure Failure Failure Failure Failure Failure Failure Failure Failure
Author Type Patients Failure Surgery RT (%) (%) (%) (%) (%) (%) (%) (%) (%) (%)
13
Carpenter RE, NR 162 50 22 22 47 18 24 – 23 14 – 17 27 –
Shah58 RE, NR 301 39 234 28 25 – – – – – – – – –
Fein71 RE, NR 75 – – 75 – – – – 45 30 17 – – –
Kraus92 RE, NR 132 106 26 30 – – – – – – 18 17 12
Garden97 RE, NR 70 – – 70 – – – – 19 – – – – –
Alcock98 RE, NR 189 – – 189 – – – – 45 – – – – –

**RT alone survival data includes surgical salvage. P = prospective; R = randomized; NR = non-randomized; RE = retrospective; CR = complete response; CRT = chemoradiation; SRT = surgery + radiation.
Cancer of the Hypopharynx and Cervical Esophagus 201

SUMMARY 12. Hoffman RM, Jaffe PE. Plummer-Vinson syndrome. A case


report and literature review. Arch Intern Med 1995;
155(18):2008–11.
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a prognostic factor. Head Neck Surg 1987;10(1):14–8.
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17. Deleyiannis FW, Weymuller EA Jr, Garcia I, Potosky AL.
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control are likely to improve survival. Until effective the case for an endoscopic screening protocol. Ann Otol
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