Background. The detection of superficial esophageal carcinomas by surv
eillance endoscopy and the downstaging of advanced carcinomas to super
ficial carcinomas by induction therapy have increased the number of pa
tients with these carcinomas undergoing resection. The natural history
of these carcinomas is not well defined. Methods. To evaluate the res
ults of surgical resection and identify predictors of improved surviva
l, a retrospective review of (1) patients with superficial esophageal
carcinoma at presentation (SECP) and (2) patients with advanced carcin
omas that were downstaged to no residual carcinoma or superficial esop
hageal carcinoma after induction therapy (SECD) was conducted. Results
. There were 54 patients with SECP (19 Tis and 35 T1). Survival was si
gnificantly better for patients with Tis carcinomas (85.3% at 5 years)
and patients with intramucosal T1 carcinomas (79.4%) than for patient
s with submucosal T1 carcinomas (16.3%) (p = 0.007 and p = 0.045, resp
ectively). Survival at 5 years for the 49 patients without regional ly
mph node metastases (N0) was 65.2%, whereas none of the 5 patients wit
h regional lymph node metastases (N1) have survived more than 3 years
(p = 0.054), and 3 died of recurrent disease. There were 21 patients w
ith SECD (13 T0, 2 Tis, and 6 T1). Survival at 4 years was 58.2%. In t
his group, survival was not related to depth of tumor invasion (p = 0.
76) or regional lymph node status (p = 0.68). Conclusions. We conclude
that (1) patients with Tis and intramucosal T1 SECP have a significan
tly better survival than those with submucosal T1 SECP, (2) patients w
ith N0 SECP have a significantly better survival than those with N1 SE
CP, and (3) survival of patients with SECD is not related to depth of
tumor invasion or regional lymph node status.