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G. J. Chang and T. P. Nickerson
based on the depth of submucosal invasion into sm1, those that invade only the upper third of the submucosa; sm2, those that invade the middle third; and sm3, those that invade the deepest third of the submucosa [28]. T1 tumors conned to the most supercial third of the submucosa (sm1) have been associated with as low as 6% rates of lymph node positivity, whereas T1 tumors invad­ing into the deepest third of the submucosa (sm3) have approached the same rates of occult lymph node metastases as T2 tumors (23%) [29]. As local excision techniques cannot address the draining lymph node basin, the long-term onco­logic success of local excision is closely tied to the risk of occult lymph node metastases.
Tumor budding is dened as small (less than ve cells) clusters of tumor cells at the invasive edge of the tumor [30]. In a case-control study comparing 48 rectal cancer patients with local recurrence to 82 rectal cancer patients without local recurrence, tumor budding was an indepen­dent prognostic factor for local recurrence, irre­spective of TNM staging [31]. A 2013 meta-analysis by Beaton etal. reviewed 23 cohort studies to analyze 4510 early-stage colon and rectal tumors managed with RR, either as the pri­mary procedure or salvage of malignancy follow­ing endoscopic resection. The authors identied four factors associated with signicantly increased risks of lymph node metastases: depth of submucosal penetration >1 mm [OR 3.87, 95% CI 1.5–10.0, p = 0.005], lymphovascular invasion [OR 4.81, 95% CI 3.14–7.37, p<0.0001], poorly differentiated histopathology [OR 5.60, 95% CI 2.90–10.82, p<0.0001], and tumor budding [OR 7.74, 95% CI 4.47–13.39, p<0.001] [32].
Additionally, the classical indications may be inadequate predictors of lymphatic involvement. In a retrospective review of 76 early-stage rectal cancers managed by RR, 29% of lesions smaller than 2cm (n = 7) had evidence of lymph node metastases at time of radical resection [33]. A more recent report of 62 patients with T1 tumors excised via TEM described a signicantly higher local recurrence rate for tumors greater than 3cm in diameter when compared to tumors less than 3cm in diameter (39% vs 11%, p=0.03), with an
overall rate of local recurrence of 31%. When the extent of submucosal spread was conned to the supercial 2/3 (Sm1/Sm2) in tumors smaller than 3 cm, the local failure rate was 7% at 3 years [34]. Based on the available literature, it seems that tumor size larger than 3cm, depth of inva­sion beyond the supercial submucosa, poorly differentiated histopathology, lymphovascular invasion, and tumor budding are all primary tumor features associated with high rates of occult lymph node metastases. As local excision is unable to manage these lymph node basins, only tumors without these factors should be con­sidered for local excision, provided complete R0 resection can be achieved.

Results of Local Excision of T1 Rectal Cancer

The earliest reports of long-term follow-up in the local excision of rectal cancer were published in the 1980s and 1990s. In 1990, a review of 16 series (n=404) with mid- to long-term follow-up data of rectal cancers managed with local exci­sion demonstrated that the risk of local recur­rence was increased with poorly differentiated histologic grade (relative risk =6) or positive resection margins increased risk of local recur­rence (relative risk =27). The overall rate of local recurrence for the series was 19% (range 0–27%): 5% in T1 rectal cancers and 18% in T2 cancers [35]. These studies were retrospective case series and therefore subject to selection biases, heterog­enous cohorts of tumor stage, and lack of modern staging techniques including pelvic MRI and were often not analyzed according to known pathologic risk features. Over the subsequent two decades, multiple single-institution retrospective series were published to further evaluate the oncologic feasibility of local excision of T1 rec­tal cancers. Table3.1 summarizes the results of retrospective single institution studies comparing local excision alone (either TAE or TEM) to radi­cal resection of T1 rectal tumors (Table3.1) [36
42]. Note the rate of local recurrence following
local excision alone varies from 4% to 24%. Possibly the largest series of prospectively
3 An Algorithm for Local Excision for Early-Stage Rectal Cancer
Table 3.1 Oncologic outcomes comparing local excision (LE) and radical resection (RR) of early-stage rectal cancer
Author, year
Local excision
N 5-year
OS (%)
5-year local recurrence (%)
Radical resection
N 5-year
OS (%)
Follow-up (y)
5-year local recurrence
(%) Single institutional cohort studies Winde, 1996 [36] 24
96 4.1 26 96 0 3.8
(TEMS) Mellgren, 2000 [37] 69 72 18 30 80 Lee, 2003 [38] 52
96
b
4.1 100 94
a
b
a
0
4.8
0 2.6
(TEMS) Nascimbeni, 2004 [39] 70 72 6.6 74 90
a
Bentrem, 2005 [40] 152 89 15 168 93 3 de Graaf, 2009 [41] 80
75 24 75 77 0
2.8
a
a
a
8.1
4.3
3.5
(TEMS) Nash, 2009 [42] 137 87
b
13.2 145 96
a
2.7
a
5.6 Multi-institutional cancer registries Endsreth, Norwegian
Rectal Cancer Group,
35 70 12 256 80
a
a
6
Not reported
2005 [43] You, National Cancer
601 77 12.5 493 82 6.9
a
6.3 Database, 2007 [44]
Ptok, German Colon/
85 84 5.1 359 92 1.4
a
3.5 Rectal Cancer study group, 2007 [45]
Folkesson, 2007 [46] 256 87 7 1141 93 2
a
Not reported
a
Denotes statistically signicant difference
b
Denotes disease-free survival
21
collected data includes 282 T1 rectal cancer patients undergoing either local excision via the standard transanal approach (TAE) or radical resection (RR) from 1985 to 2004 at Memorial Sloan Kettering Cancer Center. Tumors were located within 12 cm of the anal verge and patients who underwent adjuvant therapies were excluded from analysis. The mean distance from the anal verge was shorter [TAE 5.9cm (SD 1.9) vs RR 7.8cm (SD 2.6), p<0.001] and the mean tumor diameter was smaller [TAE 2.3 cm (SD
1.4) vs RR 3.1cm (SD 2.2), p, 0.001] in those tumors removed via TAE.The rates of lympho­vascular invasion [TAE 12% vs RR 17%, p = 0.18], perineural invasion [TAE 4% vs RR 2%, p=0.50], and poorly differentiated histopa­thology [TAE 4% vs RR 6%, p=0.46] were com­parable between groups. Local recurrence was higher [TAE 13.2% vs RR 2.7%, p=0.001], and 5-year disease-specic survival was inferior
[TAE 87% vs RR 96%, p=0.03, HR 2.8 (range,
1.04–7.3)] for tumors removed via local excision. Interestingly, of the 145 patients whose tumors were removed via RR, 20% of resected speci­mens harbored lymph node metastases [42]. Many of these patients were staged with CT scan and endorectal ultrasound, and none of the patients underwent high-resolution MRI imag­ing. In recent years, several national cancer regis­tries have reported oncologic outcomes of early-stage rectal cancers managed with either local excision or RR (Table 3.1) [4346]. Although these registries report substantially larger sample sizes than the previously men­tioned single institution series, they are limited in lack of the pathological details, inherent selection biases, and represent outcomes of a wide range of preoperative assessment and surgical techniques. Notwithstanding, these studies conrm the higher rates of local recurrence after local excision
22
G. J. Chang and T. P. Nickerson
(5–13%) when compared to RR (1.4–7%). It is worth mentioning that again the overall survival at 5years is comparable between groups and not statistically different in many studies. In the 2007 study of the US National Cancer Database (NCDB), You etal. report that after excluding patients with a positive resection margin, local excision remained an independent predictor of local failure. Yet the overall survival was not sig­nicantly different even after 8years of surveil­lance. Instead, patient-related factors, including age and number of comorbidities, were more inuential on overall survival than type of proce­dure (LE vs RR) [44]. From these studies, it seems clear that the main oncologic risk of local excision is local recurrence, and patient-related factors must be taken into consideration when planning either approach.
Perhaps the most meaningful information on local recurrence following local excision of early-stage rectal cancer come from two prospec­tive multi-institutional trials: the Radiation Oncology Therapy Group (RTOG) 89-02 and the Cancer and Leukemia Group B (CALGB) 8984. Long-term results from the RTOG 89-02 study were published in 2000. Of 27 patients with T1 disease who were followed, only 1 patient (4%) suffered from local failure after a mean follow-up of 6.1years. Although the details of this particu­lar case were not specically reported by the authors, only 40% of all patients enrolled were found to be in complete compliance with the sur­gical protocol [47]. Long-term results of the CALGB study were published in 2008. This study had clear inclusion criteria: T1 or T2 tumors; mobile tumors within 10cm of the anal verge, <4cm in size, and 40% of the circumfer­ence of the rectum; and full-thickness resection with negative margins. Of the initial 180 patients accrued to the study, 51 were deemed ineligible due to failure to meet these criteria and excluded from subsequent analysis. Instead of attempting to randomize patients to local excision versus radical resection, the authors sought to (1) com­pare the survival of patients with early rectal adenocarcinoma (T1/T2) undergoing local exci­sion to historical controls treated with abdomino­perineal resection (APR), (2) assess the local
failure rates of limited resection across tumor stage, and (3) evaluate the possibility of manag­ing low- lying T2 rectal adenocarcinomas with local excision and adjuvant combined modality therapy. Of the 59 patients with T1 adenocarci­noma managed with local excision alone, the 6­and 10-year local failure rates were 6.8% and 8%, the 10-year disease-free survival was 75%, and the overall survival at 5 and 10 years was 91% and 84% [48]. The authors report that results compare favorably to historical data queried from the NCDB, whose 5-year overall survival for T1 patients managed with APR was 94%. Interestingly, recurrences after local excision of T1 adenocarcinoma occurred as late as 8 years after local excision, corroborating ndings by other authors [49] that local and distant recur­rences can occur at long intervals and that pro­longed surveillance is advisable.

Local Excision of T2 Rectal Cancer

With rates of lymphatic spread in tumors invading beyond the submucosa as high as 30%, local exci­sion has traditionally been reserved for patients either unt or unwilling to undergo radical resec­tion. Five-year rates of local failure as high as 47% after local excision of T2 tumors, compared to only 6% after radical resection of staged matched cancer, have been demonstrated in prior studies [50]. Additionally, a comparison of local excision versus radical resection of T2 tumors has been performed by NCDB studies, conrming the alarmingly high rate of local recurrence (LE 22% vs RR 14%, p=0.01) and associated reduction in 5-year overall survival (LE 68% vs RR 77%,
p = 0.02) [44]. These results suggest that local excision should not be considered adequate onco­logic management as the primary treatment modality of rectal tumors that extend beyond the submucosa. As the use of multimodality adjunc-
tive therapy has been shown to improve oncologi­cal outcomes in locally advanced rectal cancer, this approach has been considered to enable local excision of T2 rectal tumors. Several single insti­tution studies with relatively small patient num­bers have been reported (Table 3.2) [5154].
3 An Algorithm for Local Excision for Early-Stage Rectal Cancer
23
Table 3.2 Local excision followed by adjuvant therapy for T2 rectal tumors
Local
Author, year Minsky etal.,
1991 [51] Benson etal.,
2001 [52] Wagman etal.
1999 [53] Bouvet etal.,
1999 [54]
Number of patients
7 1 (14%) 88% at
36 5 (15%) 58% at
25 6 (24%) 70% at
27 5 (20%) 89% at
recurrence, n (%)
Overall survival
3years
5years
5years
4years
These studies report a local failure rate of 14–24% for T2 rectal tumors treated by local excision fol­lowed by adjuvant multimodal therapy with che­motherapy and radiation. While potentially improved compared to surgery alone, the rate of failure was still much higher than rates that have been reported following TME.The earliest pro­spective data on this topic comes from the CALGB 8984 study, wherein 51 patients with low-lying rectal tumors were treated with local excision followed by postoperative adjuvant radiotherapy (5400cGy in 30 fractions) with con­current 5-uorouracil (5-FU). Long-term out­comes of this study demonstrate a 10-year local recurrence rate of 18% and overall survival 66% [48]. However, improved outcomes may be achieved by moving the multimodality therapy to the neoadjuvant setting. This strategy was explored in the ACOSOG z6041 trial. Strict entry criteria were observed; patients were staged by endorectal ultrasound or endorectal coil MRI and had tumors less than 4cm in diameter and involv­ing less than 40% of the rectal circumference located within 8 cm of the anal verge. In this multi-institutional, non- randomized, phase II trial, 79 patients with clinically staged T2N0 dis­tal rectal cancer completed the protocol between May 2006 and October 2009. These patients underwent neoadjuvant chemoradiotherapy [capecitabine (825 mg/m
2
twice daily on days 1–14 and 22–35), oxaliplatin (50mg/m2 on weeks 1, 2, 4, and 5), and radiation (1.8 Gy per day, 5 days a week for 5 weeks totaling 45 Gy, fol­lowed by a boost of 9Gy for a total dose of 54Gy)] followed by local excision. Patients with ypT3
tumors or positive margins after excision under­went salvage total mesorectal excision. All patients were followed for a median of 56months (IQR 46–63), with local recurrence rates reported as 4%, distant metastases developed in 6%, the disease-free survival was 88% (95% CI 81.3–
95.8), and the overall survival was 95% (95% CI
91.1–100). At the end of the study, 91% of patients who received neoadjuvant chemoradiotherapy had rectal preservation, with no substantial dete­rioration in rectal function as measured by the Fecal Incontinence Severity Index (FISI) [55, 56]. The main problem with this approach lies in the treatment toxicity; after 53 patients were recruited, the regimen was altered to 50.4Gy radiation by reducing the 9Gy boost to 5.4Gy, and capecitabine
2
was reduced to 725mg/m
, twice daily, 5days a week for 5weeks. Of the 79 patients who com­pleted protocol, 29% had severe gastrointestinal adverse events, 15% had severe pain, and 15% had severe adverse hematological adverse events [55]. It seems that appropriately selected, highly motivated T2N0 patients with excellent response to neoadjuvant therapy managed by local excision approach the oncologic outcomes of T1 N0 patients managed by local excision alone. However, these patients could also be managed with radical surgical extirpation of their rectal tumor and avoid the toxicity of radiation therapy [57]. More recently the results of the GRECCAR 2 study have been published [58]. This was a pro­spective, randomized, multi-institutional phase III study performed in France and enrolled patients from March 2007 through September 2012 with clinically staged T2–3N0–1 that demonstrated a good clinical response (residual tumor 2cm) to neoadjuvant chemoradiotherapy [capecitabine (1600mg/m
2
per day, 5days per week), oxalipla­tin (50mg/m2 per week), and concurrent radiation therapy (2Gy per day, 5 days per week for 5 weeks, total 50Gy)]. Tumors were less than 4 cm in maximum diameter and less than 8 cm from the anal verge. Patients were randomly assigned to either local excision or radical resec­tion prior to surgery, and those randomized to local excision that were found to have a poor path­ological response (ypT2–3) or incomplete resec­tion (R1) underwent completion total mesenteric
24
G. J. Chang and T. P. Nickerson
excision. A total of 145 patients met criteria for randomization, and of the 71 patients randomized to local excision, 26 underwent subsequent TME due to ndings at interpretation of pathology. Median follow-up was 36months (IQR 36–36). Primary endpoint was a composite outcome of death, recurrence, morbidity, and treatment side effects. Between study groups there were no dif­ferences inlocal recurrence (LE 3% vs RR 3%, p= 0.63), metastatic recurrence (LE 15% vs RR 13%, p=0.47), 3-year DFS (LE 75% vs RR 82%,
p=0.84), and 3-year OS (LE 89% vs RR 95%, p= 0.40). No patients who were randomized to
local excision and converted to radical resection based on pathologic criteria developed local recurrence. Although there were no differences in oncologic outcomes, the authors failed to demon­strate superiority of local excision over radical resection, which they attributed to the high rates of conversion to TME [58]. Interestingly, the combination of local excision and adjunctive ther­apies seems to prolong the time interval to local recurrence when compared to local excision alone [49, 59]. In the long-term results of the aforemen­tioned Memorial Sloan Kettering series, patients undergoing adjunctive therapies had a median time to recurrence of 2.1 years compared to
1.1 years for those undergoing local excision alone [59]. Chakravarti etal. report local failures beyond 5years in patients managed by adjuvant chemoradiotherapy, again supporting the need for long-term follow-up in these patients [49]. The long-term results of the GRECCAR 2 trial may provide additional insights into rates of late recur­rences and are eagerly anticipated.
of the rectal circumference, and without evidence of nodal metastasis. Transanal endoscopic sur­gery (TEM, TAMIS) may facilitate local excision of more proximal tumors. Tumors should be carefully resected en bloc and without fragmen­tation, and the specimens should be oriented with the surgical pathologist. Pathologic evidence of positive margins, lymphovascular invasion, poor differentiation, or invasion into the deeper layers of the submucosa (Sm3) or muscularis propria (T2) should prompt consideration of radical resection [57]. These recommendations are mir­rored by the European Association of Endoscopic Surgery (EAES), the European Society of Coloproctology (ESCP) [60], the practice param­eters of the American College of Colon and Rectal Surgeons (ASCRS) [61], and the Japanese Society for Cancer of the Colon and Rectum (JSCCR) [62]. It should be noted that the JSCCR only recommends local excision for rectal can­cers with limited submucosal invasion (malig­nant polyp, Sm1), as the national cancer registry in Japan reports approximately 10% incidence of nodal metastases in T1 rectal cancer. Thus, Japanese surgeons routinely perform a minimum D2 lymphadenectomy in the setting of cT1 dis­ease. Finally, adherence to the NCCN guidelines has been previously demonstrated to impart a survival benet inlocally advanced colon cancer patients [63]. One could extrapolate this nding to rectal cancer, and the authors prefer to err on the side of caution when managing these patients.

Patient-Related Factors

NCCN and National Guidelines

A number of organizations have published guide­lines regarding the management of early rectal cancers. The 2018 guidelines for the manage­ment of rectal cancer set forth by the National Comprehensive Cancer Network state that trans­anal excision (TAE) is only appropriate for T1N0 early-stage rectal cancers without evidence of high-risk features: small tumors (<3cm) located within 8cm of the anal verge, occupying <30%
Besides tumor location and primary characteristics that can be used to determine oncologic feasibility of local excision of early rectal tumors, patient­related factors should be taken into consideration. For patients with signicant comorbidity or limited life expectancy, optimizing oncologic control should be balanced with risk for surgical or func­tional morbidity. Often these early rectal tumors being considered for local excision are low lying, and radical resection would result in loss of sphinc­ter function or resection of the sphincter complex entirely (abdominoperineal resection, APR). When
3 An Algorithm for Local Excision for Early-Stage Rectal Cancer
25
considering local excision for an early-appearing rectal cancer, the patient’s willingness to undergo subsequent salvage resection or adjunctive thera­pies, as well as to be compliant with surveillance strategies, should also be considered.

Technical and Surgeon-Related Factors

The feasibility of performing local excision or radical resection should take into consideration the local expertise of the surgeon and available technologies. Radical resection of rectal cancer has increasingly been performed with sphincter preservation. Despite relatively high rates of low­grade (Clavien-Dindo I and II) complications, major morbidity and mortality (Clavien-Dindo III–V) after radical resection remain relatively low in high-volume centers of expertise. Sphincter-preserving radical resection of mid to distal rectal cancers has been described with good oncologic outcomes in the setting of adjunc­tive multimodality therapy [5]. Additionally, local recurrence of 5% or less should be consid­ered the standard for well-selected early-stage rectal cancer patients undergoing local excision alone. If these nationally accepted standards can­not be met, then consideration for referral to a high-volume center should be considered.

Salvage of Recurrence After Local Excision

Given the wide spectrum of local failure rates, prior to embarking on local excision as denitive treatment, with or without adjuvant therapies, the surgeon must consider the feasibility of salvage after local recurrence occurs. In a review of 8 studies with a total of 493 patients undergoing local excision, 73 patients experienced locore­gional recurrence with or without distant disease. Sixty percent were successfully treated with a curative radical resection, but approximately 50% eventually died from disease [23]. In those instances where high-risk features were found on pathologic review after local excision, immediate
radical resection appears to offer a survival bene­t over salvage surgery at the time of recurrence [5-year DFS 94.1% for immediate radical resec­tion vs 55.5% for salvage at time of recurrence, p < 0.05] [64]. Salvage surgery at the time of recurrence often involves multivisceral resection and is associated with high rates of perioperative complications, and a signicant portion of patients will present with unsalvageable recurrence. At the University of Texas MD Anderson Cancer Center, among 46 patients with recurrence after initial treatment with TAE, 91% were candidates for sur­gical salvage and 87% elected to proceed. The R0 resection rate was 80%, and the required resec­tions were complex, requiring multivisceral resec­tion (33%), total pelvic exenteration (5%), or metasectomy (25%). The rate of sphincter preser­vation was 33%, perioperative morbidity was 50%, and 5-year OS was 63% [65]. In a similar fashion, Doornebosch etal. reviewed 18 patients who developed local recurrence after TEM exci­sion of pT1 rectal cancer. Two of these recur­rences were unsalvageable, and the remainder underwent TME without multivisceral resection for salvage. The 3-year OS reported in this series was 31% [66]. Current NCCN guidelines recom­mend immediate salvage surgery if high-risk his­topathological features are noted after local excision [57]. Clearly, waiting until the patient develops a recurrence is associated with a poorer prognosis. Newer data considering adjunctive chemoradiotherapy as salvage after local excision of high-risk pT1 tumors has some promise, with some studies reporting 5-year OS and DFS as 94% and 89%, respectively; however these patients still require very close follow-up and may remain at increased risk for disease recurrence. Locoregional recurrence at 5 years remains as high as 9% [67]. More studies are needed to deter­mine if this is an acceptable approach in LE with high-risk features.

An Algorithm

The authors’ algorithm for consideration of local excision of rectal neoplasia is shown in Fig.3.1. All patients presenting with rectal tumors
26
** May consider neoadjuvant CRT with intersphincteric resection for low rectal cancer desiring sphincter preservation
G. J. Chang and T. P. Nickerson
Early Rectal
Cancer
No high risk
cT1N0
cT2N0
* Radical resection may be considered based on surgeon/patient discussion
features
High risk
features
present
No comorbidity
Comorbidity
present
Local Excision*
Radical
Resection
Radical
Resection**
Local Excision
CRT and
observation
Fig. 3.1 An algorithm for management of early-stage rectal cancer. *Radical resection may be considered based on surgeon/patient discussion. **May consider neoadju-
undergo a full history and physical examination, including digital rectal exam and either rigid proctoscopy or exible sigmoidoscopy to con­rm the anatomical position of the tumor within the rectum and obtain additional tissue via biopsy if clinically indicated. If diminished sphincter function is detected, we proceed with FISI questionnaire [68] and anorectal manome­try to further evaluate. When considering local excision and organ preservation, understanding and documenting the baseline sphincter function is crucial. For patients with poor sphincter func­tion, often appropriate counselling is more use­ful than organ preservation, as these patients can demonstrate improved quality of life with a colostomy.
Staging images are obtained with high-qual­ity computed tomography (CT) of the chest, abdomen, and pelvis, to rule out metastatic dis­ease, and pelvic magnetic resonance imaging (MRI) with rectal cancer protocol for further characterization of the tumor and locoregional disease including risk for lymph node metasta­sis. Patients with early T category tumors may require evaluation by endorectal ultrasound, to improve the accuracy of determination of T1 vs T2 tumors. All pertinent information is reviewed by a multidisciplinary treatment team prior to recommendation for local excision. Patients with
pT1N0; No high
risk features
>pT1N0 or high
risk features
present
pT1N0; No high
risk features
>pT1N0 or high
risk features
present
Surveillance
No comorbidity
Comorbidity
present
Surveillance
Consider
adjuvant CRT
Immediate
Salvage Radical
Resection
Consider
adjuvant CRT
vant CRT with intersphincteric resection for low rectal cancer desiring sphincter preservation
rectal cancer exhibiting nodal metastasis are not considered for local excision; instead these patients proceed to neoadjuvant therapy as indi­cated and followed by TME except in rare cases of patients unwilling to undergo a radical surgery.
After nearly 30 years of ongoing investigation, the previously established initial recommenda­tions of Wolff and Nivatvongs have changed little [24]. Based on the aforementioned studies, it fol­lows that T1N0 tumors 3–4cm or less in maximal diameter, within reach of modern transanal instru­mentation, and involving less than 30–40% of the rectal circumference, would be candidates for local excision– provided the tumor can be com­pletely excised and specimen fragmentation can be avoided. Sometimes this is performed as a radical biopsy, to evaluate for the presence of the previously mentioned high-risk features on histo­pathology: (1) depth of invasion beyond 1 mm into the submucosa or into the deepest one-third of the submucosa (Sm3); (2) poorly differentiated features on histopathology; (3) presence of lym­phovascular invasion; and (4) tumor budding. If these features are found on nal analysis by an experienced pathologist, the patient should undergo immediate salvage resection, as delaying salvage until the recurrence occurs is associated with unfavorable outcomes. Patients who lack
3 An Algorithm for Local Excision for Early-Stage Rectal Cancer
27
these high-risk features can be safely observed, with an expected local recurrence rate of approxi­mately 4%. Often these patients are candidates for minimally invasive surgical resection with sphinc­ter preservation and are willing to undergo radical surgery up front. Those patients who elect local excision should be carefully counselled about the risks of subsequent salvage surgery or unresect­able recurrence. Patients who are unwilling to accept this slight risk of local recurrence and the morbidity of subsequent salvage surgery or unknown lymph node status, or patients in whom the primary tumor can be safely removed via radi­cal resection with sphincter preservation, are offered radical resection.
The indications for local excision may be extended to patients with cancers that exhibit high-risk features and who have a limited life expectancy or those with concurrent severe medical comorbidities and/or competing health risk. In these cases, we advocate for patient counselling and multidisciplinary review to determine the most appropriate course of action.
Rectal tumors that have penetrated into the muscularis propria (T2) are often discernable on pelvic MRI.In the absence of radiographic evidence of nodal metastases, these patients can be considered for up-front radical resec­tion or neoadjuvant chemoradiotherapy and re­evaluation. As the GRECCAR 2 trial demonstrated, local excision is acceptable for patients with a good clinical response to neo­adjuvant therapy [58]. Complete clinical responders could be considered for close observation, although current guidelines advo­cate the “watch and wait” approach only in the setting of a clinical trial. Although TES has extended the reach of transanal excision to proximal rectal and distal sigmoid tumors, often these patients are amenable to radical resection with sphincter preservation. The authors’ strategy is to tailor the approach to these tumors based on the patient’s concerns and preferences, taking into consideration the risk of postoperative complications of radical resection compared to the risk of tumor recur­rence and subsequent salvage operation.

Conclusions

Although safety and efcacy of local excision of rectal neoplasia via TES has been demonstrated in multiple studies, the surgeon must take into account tumor characteristics, patient concerns, and feasibility of safely performing a radical resection with sphincter preservation. We reserve local excision as the primary oncological man­agement strategy for low-lying rectal tumors with favorable features.

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