Optimising Dysphagia Palliation in Oesophageal Cancer: Comparative Effectiveness of SEMS and Radiotherapy

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SEMS vs radiotherapy dysphagia palliation oesophageal cancer 2023 2024 guidelines comparison

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I now have comprehensive data from the textbook, landmark RCTs, meta-analyses, and guidelines to write a thorough comparative analysis. Let me compile this into a definitive review.

Optimising Dysphagia Palliation in Oesophageal Cancer: Comparative Effectiveness of SEMS and Radiotherapy


Background and Clinical Context

Approximately 60–70% of oesophageal cancer patients present with incurable disease. Dysphagia is the cardinal symptom in 80–90% of this population, and its palliation is the dominant therapeutic priority. Median survival from diagnosis of advanced disease ranges from 3–6 months, making quality of swallowing function a critical determinant of quality of life (QoL). Two modalities — Self-Expanding Metal Stents (SEMS) and radiotherapy (in the form of external beam radiotherapy [EBRT] or intraluminal brachytherapy [BT]) — form the backbone of dysphagia palliation and are the subject of sustained comparative investigation.

Self-Expanding Metal Stents (SEMS)

Mechanism and Technique

SEMS restore luminal patency by mechanically dilating the malignant stricture. They are typically constructed from nitinol and available as fully covered (FCSEMS), partially covered (PCSEMS), or uncovered designs (Table below summarises devices). Placement is performed endoscopically under fluoroscopic guidance with a super-stiff guidewire (e.g., Savary), with the stent deployed 2 cm beyond the proximal and distal tumour borders. Technical success rates approach ~100%, and clinical improvement in dysphagia score occurs within 24–48 hours in >95% of patients — an unmatched rapidity among all available modalities.
Clinical Gastrointestinal Endoscopy, 3rd edition — Key available SEMS types include the Wallflex, Ultraflex, Evolution, Niti-S, SX-Ella, Alimaxx-ES, and Polyflex (plastic), each varying in covering, diameter, flexibility, degree of shortening, and release mechanism.

ESGE 2021 Guideline Recommendations

The most current ESGE guidelines (Spaander et al., 2021) issue the following strong recommendations for malignant disease:
  1. SEMS (partially or fully covered) are recommended for palliation of malignant dysphagia over laser therapy, photodynamic therapy, and surgical bypass — strong recommendation, high quality evidence.
  2. Brachytherapy is a valid alternative, alone or combined with stenting, for patients with longer life expectancystrong recommendation, high quality evidence.
  3. SEMS is the preferred treatment for malignant tracheo-oesophageal or broncho-oesophageal fistulas.
  4. SEMS placement during concurrent external radiotherapy is NOT recommended due to high adverse event risk.

Complications

SEMS carry a significant complication burden, categorised as early and late:
ComplicationRateNotes
Stent obstruction (tumour ingrowth/overgrowth, food impaction)30–40%Managed by stent-in-stent technique or APC
MigrationHigher with FCSEMSLower with uncovered/PCSEMS
Perforation2–8%Life-threatening if delayed; mortality up to 50% with fistula
BleedingCommon (minor); fatal if aortic involvementRisk multiplied in post-radiation esophageal wall
Fistula formation~5%Particularly with concurrent radiation
Reflux/aspirationSignificant at GEJAnti-reflux valve stents may help
Fatal bleeding is documented particularly when stents are placed in patients with prior or concurrent radiotherapy due to radiation-induced vascular fragility at the aortic level. This forms the physiological basis for the ESGE's contra-indication of concurrent stent + EBRT.

Radiotherapy for Dysphagia Palliation

External Beam Radiotherapy (EBRT)

EBRT acts by reducing tumour bulk, thereby restoring luminal patency. Commonly used palliative schedules include:
  • 20 Gy in 5 fractions (short course)
  • 30 Gy in 10 fractions
  • 20 Gy in 5 × 4 Gy fractions (hypofractionated)
The key disadvantage relative to SEMS is delayed onset: dysphagia relief typically requires 4–6 weeks to manifest, making EBRT unsuitable when rapid relief is critical. However, EBRT delivers dose to the entire tumour volume, including extraluminal extension, offering more complete locoregional control.
A matched prospective cohort study comparing short-course EBRT (5 × 4 Gy) to single-dose brachytherapy (12 Gy) in 115 vs. 93 patients found dysphagia improvement in 83% vs. 64% after propensity-score matching (p = 0.048), with faster onset (67% improved at 2 weeks after EBRT vs. 35% after BT), and lower severe toxicity (3% vs. 13%) (Jeene et al., J Thorac Oncol, 2020). This challenges current guideline preference for BT over EBRT.
A retrospective multi-centre study of 292 patients comparing low-dose EBRT (5 × 4 Gy) vs. high-dose therapy (10 × 3 Gy EBRT or 12 Gy single-dose BT) found that high-dose radiotherapy achieved significantly lower rates of persistent/recurrent dysphagia (42% vs. 64%, p = 0.012) and improved median survival (177 vs. 88 days, p < 0.001) [PMID 31669401], supporting dose-escalation approaches where performance status permits.

Intraluminal Brachytherapy (BT)

BT delivers radiation directly to the tumour via an intraluminal catheter (typically HDR-BT with iridium-192). A systematic review of 7 RCTs (905 patients; AIRO, Lancellotta et al., Brachytherapy, 2020) found:
  • Median dysphagia-free survival (DyFS): 99 days
  • Median overall survival: 175.5 days
  • G3–G4 toxicities: fistula 8.3%, stenosis 12.2%
  • Conclusion: BT is an effective and safe treatment and its underuse is "no longer justified"
BT's advantage over SEMS is longer-lasting relief due to tumour reduction rather than mechanical stenting, at the cost of delayed onset (~4–6 weeks). Current ESMO and ESGE guidelines recommend BT for patients with >3 months expected survival.
A broader systematic review (Jooya et al., Brachytherapy, 2022 [PMID 36085137]) confirmed dysphagia as the most common brachytherapy indication across tumour sites, with positive palliation effect across all types, though noting limited high-level prospective evidence and probable publication bias.

Head-to-Head Evidence: Key Trials

ROCS Trial — The Landmark Phase III RCT

The ROCS (Radiotherapy after Oesophageal Cancer Stenting) trial (Adamson et al., Lancet Gastroenterol Hepatol, 2021) is the definitive RCT addressing whether adjuvant EBRT after SEMS insertion reduces dysphagia recurrence.
Design: Multicentre, open-label, phase 3 RCT across 23 UK centres (2013–2018). 220 patients randomised 1:1 to:
  • SEMS + usual care (n=102)
  • SEMS + EBRT (20 Gy/5 fx or 30 Gy/10 fx) + usual care (n=97)
Stratified by centre, stage (I–III vs. IV), histology, and intent to give chemotherapy.
Primary outcome: Proportion with dysphagia deterioration (>11-point decline on EORTC QLQ-OG25 dysphagia scale) or death at 12 weeks.
Key Findings:
OutcomeUsual CareEBRT + Usual Carep-value
Dysphagia deterioration at 12 wks49%45%0.59 (NS)
Median overall survival19.7 weeks18.9 weeks0.70 (NS)
Bleeding events/hospitalisationHigherFewer (subHR 0.52, p=0.038)Significant
Conclusion: Adding EBRT after SEMS did not reduce dysphagia deterioration or improve survival. However, there was a significant reduction in bleeding events with EBRT (adjusted subhazard ratio 0.52, 95% CI 0.28–0.97, p = 0.038).
The health technology assessment companion (Adamson et al., Health Technol Assess, 2021) confirmed the combination was less cost-effective than stent alone, and highlighted the substantial physical and psychosocial burden of dysphagia restriction in both arms.

Radioactive (Irradiation) Stents — An Emerging Hybrid

A meta-analysis of 6 RCTs (194 vs. 209 patients; Yang et al., J Laparoendosc Adv Surg Tech, 2021) compared radioactive stents (typically 125-iodine seed-embedded SEMS delivering intraluminal brachytherapy) vs. conventional SEMS:
  • No significant differences in dysphagia score improvement, stent restenosis, migration, chest pain, or haemorrhage
  • Significantly longer time to restenosis (p < 0.00001)
  • Significantly prolonged survival (p < 0.00001)
A systematic review summarised in Koggel et al. (Annals of Esophagus, 2022) found irradiation stent median survival ranged from 111–330 days vs. 93–147 days for standard SEMS across studies — all p < 0.05. Advantages include focused radiation to the inner tumour while sparing surrounding structures, with up to 180 days of internal radiation. Disadvantages include limited availability and complex dosimetric planning requirements.

Comparative Effectiveness Summary

ParameterSEMSEBRTBrachytherapyIrradiation Stent
Speed of dysphagia reliefHours to days4–6 weeks4–6 weeksHours (stent) + ongoing
Durability of reliefLimited (30–40% obstruct)ModerateLonger-lastingLongest
Technical success~100%N/A~100%~100%
Optimal life expectancy<3 months>3 months>3 months>3 months
Fistula sealingYes (covered SEMS)NoNoLimited
Key toxicitiesMigration, ingrowth, bleeding, perforationFatigue, oesophagitisFistula (8.3%), stenosis (12.2%)Intermediate
Bleeding risk reductionNoYes (post-ROCS)PossibleLikely
Cost-effectivenessHighLower (vs. SEMS alone post-ROCS)ModerateUnknown
Guideline statusFirst-line (ESGE 2021)Not recommended concurrent with stentAlternative for longer survivalInvestigational

Clinical Decision Framework

Life Expectancy <3 Months / Severe Dysphagia

SEMS is the treatment of choice. Rapid, reliable relief within 24–48 hours addresses the immediate nutritional and symptomatic crisis. Covered stents (PCSEMS or FCSEMS) are preferred for malignant strictures. SEMS is also the definitive intervention for tracheo-oesophageal fistulas.

Life Expectancy >3 Months

Radiotherapy (BT or EBRT) is preferred due to longer-lasting effect and survival advantage. Current ESGE guidelines strongly recommend BT in this setting. However, emerging evidence (Jeene et al., 2020) suggests short-course EBRT may outperform single-dose BT in dysphagia response rate (83% vs. 64%) with lower toxicity (3% vs. 13%).

Recurrent Dysphagia After Radiotherapy

SEMS placement is the standard rescue therapy, though the risk of life-threatening adverse events (particularly fistula and aortic bleeding) is elevated in post-irradiated oesophageal walls. MDT consensus and explicit patient counselling about this risk are mandatory before proceeding.

The Combined Approach (SEMS + Radiotherapy)

  • Concurrent EBRT + SEMS: Not recommended (ESGE strong recommendation) — risk of fatal aortic bleeding and fistula formation.
  • Sequential EBRT after SEMS (ROCS strategy): The ROCS phase III trial showed no benefit in dysphagia deterioration or survival. The combination was less cost-effective than stent alone, despite a reduction in bleeding events. This approach should not be routinely adopted.
  • Irradiation stents: Represent a promising hybrid, delivering the rapid relief of SEMS with sustained intraluminal brachytherapy. Meta-analysis data show prolonged stent patency and survival advantage, but availability is limited to specialist centres with dosimetric planning capability.

Evidence Gaps and Future Directions

  1. Optimal radiotherapy schedule for palliation: High-dose regimens (30 Gy/10 fx) appear superior to low-dose (20 Gy/5 fx) for dysphagia control but may not suit frail patients. Dose-optimisation trials are needed.
  2. EBRT vs. BT: Emerging data favour short-course EBRT over single-dose BT (Jeene et al.), challenging ESGE/ESMO guideline preference — prospective RCT evidence is warranted.
  3. Irradiation stents: Phase III RCT data are lacking; most evidence derives from Asian centres. Broader validation is needed before routine adoption.
  4. Nutritional co-intervention: The ROCS qualitative sub-study highlighted the profound multidimensional burden of eating restriction in both arms — nutritional optimisation and psychosocial support require parallel attention alongside mechanical palliation.
  5. Patient-reported outcome selection: The EORTC QLQ-OG25 dysphagia scale (≥11-point threshold used in ROCS) may not capture all clinically meaningful changes — harmonised PRO endpoints across future trials are essential.

Key References


Summary

The choice between SEMS and radiotherapy for dysphagia palliation in oesophageal cancer is fundamentally governed by estimated prognosis. SEMS delivers rapid, reliable relief within hours and remains irreplaceable for severe dysphagia, fistulas, and short survival (<3 months). Radiotherapy — preferably brachytherapy or short-course EBRT — provides more durable relief and possible survival benefit for patients with >3 months life expectancy, at the cost of delayed onset.
The ROCS trial conclusively demonstrated that adding EBRT to SEMS does not improve dysphagia outcomes or survival, and is less cost-effective. The most compelling emergent strategy is the irradiation stent, combining the immediacy of SEMS with sustained intraluminal BT — though it remains investigational pending Phase III data. MDT decision-making, patient performance status, institutional expertise, and patient-centred preferences must guide the final palliative strategy.

i want to do a retrospective study of these two treatment modalities, kindly make a synopsis for me.

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I have everything I need. Let me now write the full ethics committee synopsis.

RESEARCH SYNOPSIS

For Submission to the Institutional Ethics Committee

Title

Comparative Effectiveness of Self-Expanding Metal Stents (SEMS) Versus Radiotherapy for Palliation of Dysphagia in Patients with Inoperable Oesophageal Cancer: A Retrospective Cohort Study at a Tertiary Cancer Centre (January 2017 – December 2023)

Principal Investigator

[Name, Designation, Department, Institution — to be completed]

Co-Investigators

[To be completed]

Department

[Department of Oncology / Gastroenterology / Radiation Oncology — to be completed]

Institution

[Tertiary Cancer Centre — to be completed]

1. Background and Rationale

Oesophageal cancer ranks among the most lethal gastrointestinal malignancies worldwide, with the majority of patients presenting at an advanced, unresectable stage. Dysphagia — difficulty or inability to swallow — is the primary presenting complaint in 80–90% of patients with advanced disease and constitutes one of the most distressing and nutritionally debilitating symptoms in oncological practice. With a median survival of 3–6 months from diagnosis of incurable disease, effective palliation of dysphagia is the central therapeutic priority, directly influencing nutritional status, quality of life (QoL), and functional independence.
Two modalities dominate the landscape of dysphagia palliation. Self-Expanding Metal Stents (SEMS) are endoscopically deployed devices that mechanically restore luminal patency, offering dysphagia relief within 24–48 hours with a technical success rate approaching 100%. Radiotherapy — delivered either as external beam radiotherapy (EBRT) or intraluminal brachytherapy (BT) — reduces tumour bulk to restore swallowing function, with onset typically over 4–6 weeks but with the potential for more durable and sustained relief.
Current international guidelines from the European Society of Gastrointestinal Endoscopy (ESGE, 2021) recommend SEMS as the first-line palliative intervention, while reserving radiotherapy (particularly BT) for patients with a life expectancy exceeding three months, where longer-lasting dysphagia relief is the priority. However, real-world practice deviates considerably from this framework, influenced by institutional resources, clinician preference, tumour characteristics, performance status, and patient geography.
The landmark multicentre ROCS phase III RCT (Adamson et al., Lancet Gastroenterol Hepatol, 2021) demonstrated that adding adjuvant EBRT to SEMS did not improve dysphagia deterioration or overall survival compared to SEMS alone, and was less cost-effective — though it did significantly reduce bleeding events. Despite this, substantial heterogeneity exists across real-world patient populations in terms of histology (squamous cell carcinoma vs. adenocarcinoma), performance status, stage, prior therapy, and treatment sequencing. The comparative effectiveness of these two modalities — as independently applied in routine clinical practice — has not been rigorously assessed in retrospective single-centre cohorts from tertiary cancer centres, where selection patterns and MDT decision-making may differ substantially from trial populations.
A retrospective analysis of our institution's experience between January 2017 and December 2023 provides a unique opportunity to characterise real-world outcomes, identify prognostic subgroups who benefit differentially from each modality, and inform future prospective study design.

2. Aims and Objectives

Primary Aim

To compare the effectiveness of SEMS and radiotherapy (EBRT or BT) in improving dysphagia scores in patients with inoperable oesophageal cancer treated at a tertiary cancer centre between January 2017 and December 2023.

Primary Objective

  • To compare dysphagia score improvement (using the validated Ogilvie Dysphagia Score or equivalent institutional scale) at 4 weeks post-intervention between the SEMS and radiotherapy groups.

Secondary Objectives

  1. To compare overall survival (OS) from date of palliative intervention to death or last follow-up.
  2. To compare time to re-intervention (second SEMS, additional radiotherapy, or other rescue therapy) as a surrogate for durability of dysphagia relief.
  3. To document and compare complication and adverse event rates (stent migration, tumour ingrowth/overgrowth, perforation, fistula formation, radiation oesophagitis, bleeding events) between the two groups.
  4. To assess health-related quality of life (HRQoL) using available patient-reported outcome data (EORTC QLQ-C30 / QLQ-OES18 or equivalent, where recorded).
  5. To identify clinical and tumour characteristics (histological subtype, tumour location, stage, ECOG performance status, prior chemoradiotherapy) associated with differential response to each modality.
  6. To describe the treatment sequencing patterns (SEMS-first vs. radiotherapy-first; combined or sequential use) in routine practice.

3. Study Design

Design: Single-centre, retrospective cohort study with two parallel comparison arms.
Setting: Tertiary Cancer Centre.
Study Period: January 2017 – December 2023 (7 years).
Comparison Arms:
  • Group A: Patients who received SEMS as primary palliation for dysphagia.
  • Group B: Patients who received radiotherapy (EBRT and/or BT) as primary palliation for dysphagia.

4. Study Population

Inclusion Criteria

  1. Histologically or cytologically confirmed oesophageal carcinoma (squamous cell carcinoma or adenocarcinoma).
  2. Clinically incurable disease (metastatic, locally advanced unresectable, or deemed unsuitable for curative-intent treatment by the MDT).
  3. Dysphagia as a documented indication for palliative intervention (Ogilvie score ≥ 2, or equivalent documented clinical severity).
  4. Receipt of SEMS placement or palliative radiotherapy (EBRT or BT) as the primary dysphagia intervention between January 2017 and December 2023.
  5. Age ≥ 18 years at time of intervention.
  6. Adequate baseline clinical documentation in the medical record.

Exclusion Criteria

  1. Patients who underwent SEMS as a bridge to surgery or pre-operative chemoradiotherapy.
  2. Patients receiving SEMS and concurrent EBRT (simultaneous combination — due to known high adverse event risk and confounding).
  3. Patients with benign oesophageal strictures.
  4. Patients with incomplete records precluding extraction of baseline dysphagia score, intervention details, or any outcome data.
  5. Patients who received only palliative chemotherapy without SEMS or radiotherapy for dysphagia.

5. Sample Size Considerations

This is a retrospective observational study; sample size is defined by the available institutional cohort. All eligible patients within the defined study period will be included. A formal power calculation will be performed post-data extraction to determine the adequacy of the observed sample for the primary comparison, using a two-sided α = 0.05 and 80% power, with the assumed proportion of patients achieving clinically meaningful dysphagia improvement (≥1-point improvement on the Ogilvie scale) estimated at 70–80% for SEMS and 55–65% for radiotherapy at 4 weeks, based on published literature.

6. Data Collection

Source of Data

All data will be extracted retrospectively from existing medical records, including:
  • Electronic patient records (EPR) and hospital information systems
  • Endoscopy procedure logs and radiology reports
  • Oncology clinic letters and MDT meeting records
  • Radiotherapy planning and treatment records
  • Pathology and histology databases
  • Mortality records (hospital and national death registers, where accessible)

Variables to be Collected

Baseline/Demographic:
  • Age, sex
  • ECOG performance status at time of intervention
  • BMI / nutritional status (albumin, weight)
  • Comorbidities (Charlson Comorbidity Index)
Tumour Characteristics:
  • Histological type (SCC vs. adenocarcinoma)
  • Tumour location (upper, middle, lower third; GEJ involvement)
  • Tumour length and degree of luminal obstruction
  • Clinical/pathological stage (TNM staging)
  • Presence of tracheo-oesophageal or bronchoesophageal fistula
Intervention Details:
  • SEMS group: Stent type, covering type, diameter, deployment technique, fluoroscopic vs. endoscopic guidance, procedural complications
  • Radiotherapy group: Modality (EBRT vs. BT), dose/fractionation schedule, radiation technique, treatment completion
  • Prior or subsequent oncological therapy (chemotherapy, chemoradiotherapy)
Outcome Variables:
  • Dysphagia score (pre- and post-intervention at 2 weeks, 4 weeks, 3 months)
  • Date and reason for re-intervention
  • Adverse events (as defined by Common Terminology Criteria for Adverse Events [CTCAE] v5.0 where applicable)
  • Date of death or last follow-up
  • QoL scores (where documented)

7. Statistical Analysis Plan

Descriptive Analysis

  • Continuous variables: mean ± SD or median (IQR) depending on normality (Shapiro-Wilk test)
  • Categorical variables: frequencies and percentages
  • Baseline comparisons between groups: independent samples t-test or Mann-Whitney U test (continuous); chi-square or Fisher's exact test (categorical)

Primary Outcome

  • Dysphagia score improvement at 4 weeks compared between groups using Mann-Whitney U test (ordinal scale)
  • Proportion achieving clinically meaningful improvement (≥1 Ogilvie point) compared using chi-square test with odds ratio (OR) and 95% confidence interval (CI)

Secondary Outcomes

  • Overall survival: Kaplan-Meier survival curves with log-rank test; Cox proportional hazards regression for adjusted hazard ratios (HR) with 95% CI
  • Time to re-intervention: Kaplan-Meier analysis; competing risks regression (Fine-Gray model) with death as a competing event
  • Adverse events: Compared between groups using chi-square or Fisher's exact test
  • QoL: Descriptive analysis; paired comparison within groups using Wilcoxon signed-rank test where longitudinal data are available

Adjustment for Confounding

Given the retrospective, non-randomised design, propensity score analysis (inverse probability treatment weighting [IPTW] or 1:1 matching) will be used to adjust for confounders including age, ECOG PS, tumour stage, histology, and prior oncological therapy. Sensitivity analyses will be performed on the propensity-score matched cohort.

Subgroup Analyses

  • By histological subtype (SCC vs. adenocarcinoma)
  • By estimated performance status (ECOG 0–1 vs. 2–3)
  • By tumour location (proximal/mid vs. distal/GEJ)
  • By prior chemoradiotherapy exposure
Significance threshold: p < 0.05 (two-tailed). Statistical analyses will be performed using SPSS v28 or R v4.3 (or equivalent).

8. Ethical Considerations

Study Type and Consent

This is a retrospective observational study involving analysis of de-identified data from existing medical records. No new clinical interventions, patient contact, or experimental procedures are involved. The requirement for individual informed consent is expected to be waived in accordance with national ethics guidelines for retrospective observational research, subject to committee approval.
Where patient-identifiable data must be accessed during extraction, this will be performed by clinical investigators with direct patient care responsibilities and appropriate data access authorisation, in compliance with institutional data governance policy.

Data Privacy and Confidentiality

  • All data will be anonymised/pseudonymised prior to analysis. A unique study ID will replace all patient identifiers.
  • Data will be stored in a password-protected, encrypted database accessible only to the named investigators.
  • Data will be retained in accordance with institutional and national data retention guidelines and will not be shared with third parties.
  • The study will be conducted in full compliance with applicable data protection legislation (e.g., GDPR or national equivalent).

Risk-Benefit Assessment

This study carries no risk to patients as it involves retrospective data analysis only. The potential benefits include improved evidence for clinical decision-making in the palliation of oesophageal cancer dysphagia, directly benefitting future patients at this institution and beyond.

Conflict of Interest

The investigators declare no conflict of interest. No commercial funding is involved.

9. Limitations

  1. Retrospective design: Subject to selection bias and confounding by indication — patients with more severe dysphagia or worse performance status may have preferentially received SEMS over radiotherapy.
  2. Inconsistent documentation: Dysphagia scoring and QoL assessment may not have been systematically recorded across the full study period; missing data are anticipated.
  3. Treatment heterogeneity: Radiotherapy schedules and stent types varied over time, introducing clinical heterogeneity within arms.
  4. Survival ascertainment: Completeness of follow-up and mortality data depends on linkage with hospital and national records.
  5. Lack of randomisation: Despite propensity score adjustment, residual confounding from unmeasured variables cannot be excluded.
These limitations will be explicitly acknowledged in the final publication and do not preclude the generation of clinically meaningful real-world evidence.

10. Expected Outcomes and Significance

This study is expected to:
  • Provide the first detailed real-world characterisation of SEMS vs. radiotherapy outcomes at a tertiary cancer centre over a 7-year period.
  • Identify patient subgroups who benefit most from each modality, informing personalised MDT decision-making.
  • Generate preliminary data to support a future prospective study or quality improvement initiative.
  • Contribute to the limited literature on palliative dysphagia management in non-trial populations, where patient characteristics frequently differ from RCT eligibility criteria.
Findings will be submitted for publication in a peer-reviewed journal and presented at relevant national/international oncology or gastroenterology meetings.

11. Timeline

PhaseActivityDuration
Month 1Ethics approval, data governance clearance4 weeks
Months 1–3Patient identification and data extraction8 weeks
Months 3–4Data cleaning, coding, and database finalisation4 weeks
Months 4–5Statistical analysis4 weeks
Months 5–6Manuscript preparation and submission6 weeks
Total~6 months

12. References

  1. Adamson D et al. Palliative radiotherapy after oesophageal cancer stenting (ROCS): a multicentre, open-label, phase 3 RCT. Lancet Gastroenterol Hepatol 2021. [PMID 33610215]
  2. Spaander MCW et al. Esophageal stenting for benign and malignant disease: ESGE Guideline Update 2021. Endoscopy 2021. [PMID 33930932]
  3. Lancellotta V et al. The role of palliative interventional radiotherapy (brachytherapy) in esophageal cancer. Brachytherapy 2020. [PMID 31636025]
  4. Yang ZM et al. Radioactive Stent for Malignant Esophageal Obstruction: A Meta-Analysis of RCTs. J Laparoendosc Adv Surg Tech 2021. [PMID 32915105]
  5. Jeene PM et al. Short-Course EBRT Versus Brachytherapy for Palliation of Dysphagia. J Thorac Oncol 2020. [PMID 32407795]
  6. Jooya A et al. Systematic review of brachytherapy for symptom palliation. Brachytherapy 2022. [PMID 36085137]
  7. Clinical Gastrointestinal Endoscopy Expert Consult, 3rd ed. Chapter 28.

Declaration

I, the undersigned Principal Investigator, confirm that the above information is accurate and that this study will be conducted in compliance with the ethical principles of the Declaration of Helsinki, Good Clinical Practice (GCP) guidelines, and all applicable institutional and national regulations.
Principal Investigator Signature: _________________________ Date: _____________
Head of Department Signature: _________________________ Date: _____________

Notes for completion before submission:
  • Insert your full name, designation, department, and institutional affiliation throughout.
  • Specify the dysphagia scoring tool used at your centre (Ogilvie, Mellow-Pinkas, or EORTC QLQ-OES18 dysphagia subscale).
  • Confirm your institution's data governance and ethics committee submission form requirements and attach this synopsis as the narrative section.
  • A cover letter to the ethics committee chair, signed consent waiver request, and CV of the PI are typically required as supplementary documents.

i also want to study pain palliation by either of two as another primary objective besides dysphagea . observation will be made in locally advanced or metastatic oesophageal cancer patients who are not fit for other treatments and should not have received any anticancer treatment previously

Searching PubMed

"esophageal cancer" AND pain AND palliation AND ("stent" OR "radiotherapy")

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"esophageal cancer" AND "treatment naive" AND "palliative" AND dysphagia

Searching PubMed

"esophageal cancer" AND pain AND "palliative radiotherapy"

Searching PubMed

"esophageal cancer" AND pain AND stent AND "quality of life"

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RESEARCH SYNOPSIS — REVISED

For Submission to the Institutional Ethics Committee

Title

Comparative Effectiveness of Self-Expanding Metal Stents (SEMS) Versus Radiotherapy for Palliation of Dysphagia and Pain in Treatment-Naive Patients with Locally Advanced or Metastatic Oesophageal Cancer Unfit for Standard Anticancer Treatment: A Retrospective Cohort Study at a Tertiary Cancer Centre (January 2017 – December 2023)

Principal Investigator

[Name, Designation, Department, Institution — to be completed]

Co-Investigators

[To be completed]

Department

[Department of Oncology / Gastroenterology / Radiation Oncology — to be completed]

Institution

[Tertiary Cancer Centre — to be completed]

1. Background and Rationale

Oesophageal cancer is the seventh most common cancer globally and ranks sixth in cancer-related mortality. The overwhelming majority of patients present with locally advanced or metastatic disease, where curative intent is not achievable. A particularly underserved subgroup — patients unfit for standard anticancer therapy (surgery, systemic chemotherapy, or radical chemoradiotherapy) due to poor performance status, significant comorbidity, nutritional depletion, or advanced age — constitutes a substantial proportion of the real-world oesophageal cancer population and is consistently under-represented in clinical trials.
In this population, the therapeutic mandate shifts entirely to symptom control and quality of life preservation. The two dominant and debilitating symptoms are:
  1. Dysphagia — present in 80–90% of patients, leading to nutritional failure, aspiration risk, and progressive functional decline.
  2. Pain — oesophageal, retrosternal, and back pain arising from tumour infiltration, peritumoural inflammation, and neural invasion; present in a significant proportion of patients and inadequately captured in most palliative intervention trials.
Two principal modalities are employed for locoregional symptom control in this setting:
  • Self-Expanding Metal Stents (SEMS): Endoscopically deployed mechanical stents that restore luminal patency within 24–48 hours. The ESGE 2021 guidelines (Spaander et al.) issue a strong recommendation for SEMS as the first-line intervention for malignant dysphagia, particularly in patients with short life expectancy. However, SEMS are associated with significant complication rates (stent obstruction 30–40%, migration, fistula, haemorrhage) and carry no tumour cytoreductive effect — and therefore limited value in pain palliation arising from tumour mass effect.
  • Radiotherapy (EBRT / Brachytherapy): Palliative external beam radiotherapy (typically 20–30 Gy in 5–10 fractions) or intraluminal brachytherapy acts through tumour volume reduction, offering both luminal relief and reduction of pain from local infiltration. The onset of dysphagia relief is delayed (4–6 weeks), but the duration is more sustained. Critically, radiotherapy has a well-recognised role in pain palliation from locally advanced thoracic tumours — a benefit absent from mechanical stenting.
The landmark ROCS phase III RCT (Adamson et al., Lancet Gastroenterol Hepatol, 2021; n=220) found that adjuvant EBRT after SEMS did not improve dysphagia deterioration or overall survival versus SEMS alone, but significantly reduced bleeding events. Importantly, ROCS enrolled patients receiving combined SEMS + RT — not a direct monotherapy head-to-head comparison.
The largest comparative study of RT versus stenting as independent modalities (Martin et al., J Natl Compr Canc Netw, 2020; n=1,957 US veterans with metastatic oesophageal cancer) found that RT was associated with more rapid and durable pain relief (p < 0.001), equivalent dysphagia relief over time, and a significantly lower rate of severe adverse events (12.4% vs. 21.7% at 6 months, p < 0.001). This provides direct evidentiary support for studying pain as a co-primary outcome alongside dysphagia.
A single-centre Indian study of palliative EBRT (30 Gy/10 fractions) in 70 patients with locally advanced oesophageal squamous cell carcinoma (Bandhate & Diwan, Rep Pract Oncol Radiother, 2022) demonstrated significant improvement in both dysphagia and odynophagia scores (p < 0.0001), as well as pain domain scores on the EORTC QLQ-OES18 at 3 months. Despite this evidence, pain palliation is rarely designated as a primary outcome in oesophageal palliative intervention studies, representing a critical evidence gap.
Specifically for the treatment-naive, unfit patient subgroup — defined here as patients with locally advanced or metastatic disease who have received no prior anticancer therapy and are not candidates for chemotherapy, surgery, or radical chemoradiotherapy — there are no dedicated comparative effectiveness studies. This population is managed almost entirely on the basis of extrapolated evidence from broader palliative cohorts that often include patients with prior therapy, confounding the assessment of both treatment response and adverse event risk.
This retrospective cohort study will address this gap by systematically comparing SEMS and radiotherapy as first-line palliative interventions for both dysphagia and pain in this precisely defined, homogeneous patient group.

2. Aims and Objectives

Primary Aims

This study has two co-primary aims:
  1. To compare the effectiveness of SEMS versus radiotherapy in relieving dysphagia at 4 weeks post-intervention.
  2. To compare the effectiveness of SEMS versus radiotherapy in reducing pain at 4 weeks post-intervention.

Primary Objectives

  • Dysphagia: To compare the proportion of patients achieving clinically meaningful dysphagia improvement (≥1-point reduction on the Ogilvie Dysphagia Score, or equivalent) at 4 weeks between the SEMS and radiotherapy groups.
  • Pain: To compare the proportion of patients achieving clinically meaningful pain reduction (≥2-point reduction on the Numerical Rating Scale [NRS] 0–10, or equivalent documented pain score) at 4 weeks between the SEMS and radiotherapy groups.

Secondary Objectives

  1. To compare overall survival (OS) from the date of palliative intervention to death or last follow-up between the two groups.
  2. To compare time to re-intervention (rescue stent, repeat radiotherapy, or other dysphagia intervention) as a measure of durability of dysphagia relief.
  3. To compare complication and adverse event rates — including stent migration, tumour ingrowth/overgrowth, perforation, fistula formation, radiation oesophagitis, and haemorrhage — between the two groups.
  4. To assess health-related quality of life (HRQoL) using available patient-reported outcome data (EORTC QLQ-C30 / QLQ-OES18 dysphagia, pain, and eating restriction domains, where documented).
  5. To evaluate change in nutritional status (body weight, serum albumin) from baseline to 4 and 12 weeks.
  6. To identify clinical and tumour factors associated with differential response to each modality in both dysphagia and pain palliation.

3. Study Design

Design: Single-centre, retrospective comparative cohort study.
Setting: Tertiary Cancer Centre.
Study Period: January 2017 – December 2023 (7 years).
Comparison Arms:
  • Group A (SEMS): Treatment-naive patients who received SEMS as the primary palliative intervention for dysphagia.
  • Group B (Radiotherapy): Treatment-naive patients who received palliative EBRT or intraluminal brachytherapy as the primary palliative intervention.

4. Study Population

Inclusion Criteria

  1. Histologically or cytologically confirmed oesophageal carcinoma (squamous cell carcinoma or adenocarcinoma) or oesophagogastric junction (OGJ) carcinoma.
  2. Locally advanced (T3/T4 or N+, unresectable) or metastatic (Stage IV) disease at the time of intervention, as documented by clinical staging workup.
  3. Treatment-naive: No prior receipt of any anticancer therapy — including systemic chemotherapy, targeted therapy, immunotherapy, surgical resection, radical-intent radiotherapy, or chemoradiotherapy — at any time prior to the study intervention.
  4. Unfit for standard anticancer treatment as determined by the multidisciplinary team (MDT), based on one or more of the following: ECOG performance status ≥ 3, significant comorbidity precluding systemic therapy or surgery, patient refusal of anticancer treatment, or clinician judgement of treatment futility.
  5. Receipt of SEMS placement or palliative radiotherapy (EBRT or BT) as the primary intervention for dysphagia or pain between January 2017 and December 2023.
  6. A documented baseline dysphagia score and/or pain score (NRS or equivalent) within 2 weeks prior to intervention.
  7. Age ≥ 18 years at time of intervention.
  8. Adequate follow-up documentation at a minimum of 4 weeks post-intervention.

Exclusion Criteria

  1. Any prior anticancer treatment (chemotherapy, immunotherapy, targeted therapy, surgery, or radical radiotherapy) before the study intervention.
  2. Patients undergoing SEMS as a bridge to surgery or before preoperative chemoradiotherapy.
  3. Patients receiving SEMS and concurrent EBRT simultaneously (not a pure monotherapy arm).
  4. Benign oesophageal strictures or non-malignant indications for intervention.
  5. Patients with incomplete records precluding extraction of baseline and at least one post-intervention assessment of dysphagia or pain.
  6. Patients with a documented life expectancy of less than 2 weeks at time of intervention, where meaningful outcome assessment is not feasible.

5. Sample Size Considerations

This is a retrospective cohort study; the effective sample size is determined by the eligible institutional caseload over the 7-year study period. All eligible patients meeting inclusion criteria will be enrolled. A formal post-hoc power calculation will be performed after data extraction.
Assumptions for the co-primary pain outcome, based on Martin et al. (2020): proportion achieving meaningful pain relief at 4 weeks estimated at 60% for radiotherapy and 35% for SEMS. Using a two-sided α = 0.05, 80% power, and 1:1 allocation, a minimum of 53 patients per arm (n=106 total) is required. This is expected to be achievable within the study period at a tertiary centre.
For the dysphagia co-primary outcome, based on published data: proportion achieving ≥1-point Ogilvie improvement estimated at 78% (SEMS) vs. 58% (radiotherapy) at 4 weeks. With equivalent parameters, a minimum of 61 patients per arm (n=122 total) is required.
The larger of the two estimates (n=122 total) will govern the minimum required sample size, ensuring adequate power for both co-primary outcomes. A Bonferroni correction (α = 0.025 per primary outcome) will be applied to control the family-wise error rate for dual primary testing.

6. Data Collection

Source of Data

All data will be extracted retrospectively from:
  • Electronic patient records (EPR) and hospital information systems
  • Endoscopy procedure logs and radiology/fluoroscopy reports
  • Oncology and gastroenterology clinic letters and MDT records
  • Radiotherapy planning, dosimetry, and treatment completion records
  • Pain assessment documentation (nursing notes, oncology clinic assessments, analgesic prescription records)
  • Pathology and histology databases
  • Nutritional assessment records (dietitian notes, weight charts, albumin results)
  • Mortality records (hospital, national death registers where accessible)

Variables to be Collected

Baseline / Demographic:
  • Age, sex, ethnicity
  • ECOG performance status at time of intervention
  • BMI, body weight, serum albumin
  • Comorbidity burden (Charlson Comorbidity Index)
  • Reason for unfitness for standard therapy (performance status, comorbidity, patient choice, MDT decision)
Tumour Characteristics:
  • Histological subtype (SCC vs. adenocarcinoma)
  • Tumour location (upper / middle / lower third; OGJ)
  • Tumour length and degree of luminal obstruction on endoscopy or imaging
  • Clinical stage (TNM 8th edition)
  • Presence of tracheo-oesophageal or broncho-oesophageal fistula
  • Pattern of metastatic spread (nodal only, distant organ, peritoneal)
Intervention Details:
  • SEMS group: Stent brand/type, covering (full/partial/uncovered), diameter, technique (fluoroscopic ± endoscopic), procedural complications, stent patency duration
  • Radiotherapy group: Modality (EBRT vs. BT), dose and fractionation (total dose, fraction size, number of fractions), technique (2D vs. 3D-conformal), treatment completion (complete vs. incomplete)
Primary Outcome Variables:
  • Dysphagia score (Ogilvie scale or equivalent): baseline, 2 weeks, 4 weeks, 3 months
  • Pain score (NRS 0–10 or VAS): baseline, 2 weeks, 4 weeks, 3 months
  • Analgesic use and WHO ladder step at baseline and follow-up (as proxy for pain burden)
Secondary Outcome Variables:
  • Date and cause of death / last follow-up date
  • Date and type of re-intervention for dysphagia or pain
  • Adverse events (documented complications, graded by CTCAE v5.0 where possible)
  • Body weight and serum albumin at 4 and 12 weeks
  • QoL scores (EORTC QLQ-C30 / QLQ-OES18 or equivalent, where recorded)

7. Statistical Analysis Plan

Descriptive Analysis

  • Continuous variables: mean ± SD or median (IQR) based on distribution (Shapiro-Wilk)
  • Categorical variables: frequencies and percentages
  • Baseline group comparisons: independent t-test or Mann-Whitney U (continuous); chi-square or Fisher's exact test (categorical)

Co-Primary Outcome Analysis

Both primary outcomes will be tested independently with a Bonferroni-corrected significance threshold of α = 0.025 for each.
  • Dysphagia: Proportion achieving ≥1-point Ogilvie improvement at 4 weeks compared using chi-square test; OR with 95% CI. Change in ordinal score compared using Mann-Whitney U test.
  • Pain: Proportion achieving ≥2-point NRS reduction at 4 weeks compared using chi-square test; OR with 95% CI. Change in continuous NRS score compared using independent t-test or Mann-Whitney U test as appropriate.

Secondary Outcome Analysis

  • Overall survival: Kaplan-Meier curves with log-rank test; multivariable Cox proportional hazards regression (adjusted HR, 95% CI), adjusting for age, ECOG PS, stage, histology
  • Time to re-intervention: Kaplan-Meier analysis; Fine-Gray competing risks regression (death as competing event)
  • Adverse events: Chi-square / Fisher's exact test for between-group comparison
  • Nutritional parameters: Paired Wilcoxon signed-rank test within groups; Mann-Whitney U between groups
  • QoL: Descriptive; paired within-group comparison using Wilcoxon signed-rank test where longitudinal data exist

Adjustment for Confounding

Given the inherently non-randomised, observational design — and the expected difference in baseline characteristics between patients selected for SEMS (typically more severe dysphagia, worse PS) versus radiotherapy — propensity score analysis will be performed. Propensity scores will be estimated via logistic regression using baseline covariates (age, sex, ECOG PS, tumour stage, histology, tumour location, baseline dysphagia score, baseline pain score). Both 1:1 nearest-neighbour matching and inverse probability of treatment weighting (IPTW) will be used, with results compared for consistency.

Subgroup Analyses

  • Histological subtype (SCC vs. adenocarcinoma)
  • Performance status (ECOG 2 vs. ≥3)
  • Tumour location (proximal/middle vs. distal/OGJ)
  • Stage (locally advanced vs. metastatic)
  • Radiotherapy modality (EBRT vs. BT) — within the radiotherapy arm
Statistical analyses will be performed using SPSS v28 and/or R v4.3 (packages: survival, cmprsk, MatchIt, WeightIt).

8. Ethical Considerations

Study Type and Consent Waiver

This is a retrospective, observational, non-interventional study involving analysis of existing clinical records. No new interventions, procedures, or patient contact are planned. An application for waiver of individual informed consent is made on the grounds that:
  • All patients are being managed under routine clinical care; the study involves no additional burden
  • Retrospective record review of this nature is recognised as appropriate without individual consent under national and international ethical guidelines for non-interventional research
  • Data will be fully anonymised prior to analysis

Data Privacy and Security

  • All patient identifiers will be replaced with unique study codes prior to data entry into the analytical database.
  • Data will be stored in a password-protected, encrypted electronic database on an institutional server, accessible only to named investigators.
  • Data will be handled in strict compliance with applicable data protection legislation (GDPR / national equivalent) and institutional information governance policy.
  • Original identifiable extraction sheets will be stored securely and destroyed at study completion per institutional policy.

Risk-Benefit Assessment

This study carries no risk to participants. The anticipated benefits are substantial: generating real-world evidence on both dysphagia and pain palliation in a poorly studied, vulnerable patient group will directly inform clinical practice, MDT decision-making, and future prospective study design at this institution and beyond.

Declaration of Interests

The investigators declare no financial or non-financial conflicts of interest. No commercial or external funding is involved. This is an investigator-initiated study.

9. Limitations

  1. Retrospective design with selection bias: Patients were not randomised; the choice of SEMS vs. radiotherapy was determined by clinician judgement and patient factors. Patients with more severe dysphagia, worse PS, or tumour-related fistulae may have been disproportionately directed to SEMS. Propensity score methods will mitigate but cannot fully eliminate this.
  2. Pain documentation variability: Systematic pain scoring (NRS/VAS) may not have been uniformly recorded across all clinic encounters throughout the study period. Analgesic prescription records will be used as a supplementary proxy where formal scores are absent.
  3. Treatment heterogeneity within arms: Radiotherapy fractionation schedules and stent designs varied over the 7-year period. Subgroup and sensitivity analyses will address intra-arm heterogeneity.
  4. Outcome ascertainment completeness: Not all patients will have documented 4-week assessments; those lost to follow-up before the primary endpoint will require appropriate missing data handling (multiple imputation or complete-case sensitivity analysis).
  5. Unmeasured confounders: Factors such as opioid co-prescription, performance status trajectory, nutritional support intensity, and social support — which influence both pain experience and functional outcomes — may not be systematically captured in the medical record.
  6. Single-centre experience: Results may reflect institutional referral patterns and local practice norms; generalisability to other settings requires external validation.

10. Expected Outcomes and Significance

This study is expected to:
  • Generate the first dedicated comparative analysis of pain and dysphagia palliation by SEMS versus radiotherapy in a treatment-naive, unfit oesophageal cancer population, addressing a critical evidence gap.
  • Provide real-world, institutional evidence to guide individualised MDT decisions about palliative treatment allocation in this underserved group.
  • Characterise the safety profile of each modality in a population who have not received prior therapies that could amplify complications (e.g., radiation-induced wall fragility, chemotherapy-related neutropenia).
  • Generate pilot data to inform the design and sample size of a future prospective study or pragmatic RCT targeting this specific patient population.
  • Contribute to the national and international evidence base on pain palliation in oesophageal cancer, an outcome currently not designated as a primary endpoint in existing phase III trials.
Findings will be submitted for publication in a peer-reviewed journal (target: Supportive Care in Cancer, Journal of Pain and Symptom Management, or Diseases of the Esophagus) and presented at national oncology or gastroenterology meetings.

11. Timeline

PhaseActivityDuration
Month 1Ethics committee approval; data governance clearance4 weeks
Months 1–3Patient identification; data extraction from EPR8 weeks
Months 3–4Data cleaning, coding, pseudonymisation, database finalisation4 weeks
Months 4–5Statistical analysis (primary, secondary, propensity score)4 weeks
Months 5–6Manuscript preparation and journal submission6 weeks
Total~6 months

12. References

  1. Adamson D et al. Palliative radiotherapy after oesophageal cancer stenting (ROCS): a multicentre, open-label, phase 3 RCT. Lancet Gastroenterol Hepatol 2021. [PMID 33610215]
  2. Adamson D et al. ROCS RCT — Health Technology Assessment. Health Technol Assess 2021. [PMID 34042566]
  3. Spaander MCW et al. Esophageal stenting for benign and malignant disease: ESGE Guideline Update 2021. Endoscopy 2021. [PMID 33930932]
  4. Martin EJ et al. Palliative Radiotherapy Versus Esophageal Stent Placement in Metastatic Esophageal Cancer (n=1,957). J Natl Compr Canc Netw 2020. [PMID 32380466]
  5. Bandhate K, Diwan A. Palliative radiotherapy and quality of life in locally advanced thoracic oesophageal cancer. Rep Pract Oncol Radiother 2022. [PMID 35402038]
  6. Xu Z et al. Palliative radiotherapy combined with stent insertion for dysphagia in advanced oesophageal cancer: systematic review and meta-analysis. Front Oncol 2022. [PMID 36172146]
  7. Lancellotta V et al. Role of palliative interventional radiotherapy (brachytherapy) in oesophageal cancer: AIRO systematic review. Brachytherapy 2020. [PMID 31636025]
  8. Yang ZM et al. Radioactive Stent for Malignant Oesophageal Obstruction: Meta-Analysis of RCTs. J Laparoendosc Adv Surg Tech 2021. [PMID 32915105]
  9. Clinical Gastrointestinal Endoscopy Expert Consult, 3rd ed. Chapter 28: Endoscopic Management of Oesophageal Cancer.

Declaration

I, the undersigned Principal Investigator, confirm that the information provided in this synopsis is accurate and complete, and that this study will be conducted in accordance with the Declaration of Helsinki, Good Clinical Practice (GCP), and all applicable institutional and national regulatory requirements.
Principal Investigator Signature: _________________________ Date: _____________
Head of Department Signature: _________________________ Date: _____________

Completion checklist before submission:
  • Fill in all investigator names, designations, and institutional details
  • Confirm the pain scoring tool routinely used at your centre (NRS, VAS, or EORTC QLQ-OES18 pain domain) — adjust pain primary outcome definition accordingly
  • Confirm your institution's dysphagia scoring tool (Ogilvie, Mellow-Pinkas, or EORTC QLQ-OES18 dysphagia subscale)
  • Attach any required supplementary documents per your ethics committee's submission checklist (e.g., PI CV, co-investigator declarations, data extraction template, data storage agreement)
  • A formal consent waiver application form may need to be completed separately depending on your institution's requirements
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