A Phase 3 interventional study of Neoadjuvant Chemoradiotherapy and Adjuvant therapy in Esophageal Squamous Cell Carcinoma (ESCC), sponsored by Yongtao Han. Completed at 1 site in China. Open to participants aged 18 Years to 75 Years. Per ClinicalTrials.gov, last updated 2025-01-15.
Sponsored by Yongtao Han · Phase 3, Interventional, and Treatment
This phase III randomized clinical trial compared the long-term survival and safety of neoadjuvant chemoradiotherapy (NCRT) followed by surgery versus surgery with adjuvant therapy (AT) in patients with locally advanced esophageal squamous cell carcinoma (ESCC). Conducted at Sichuan Cancer Hospital, patients were randomly assigned to receive either NCRT (chemotherapy and radiotherapy followed by surgery) or AT (surgery followed by adjuvant therapy based on staging).
The primary outcome was overall survival (OS), with secondary outcomes including disease-free survival (DFS), R0 resection rates, and treatment-related toxicity. A total of 245 patients were randomized, and 224 patients were included in the final analysis.
This study is a prospective, randomized, open-label, phase III clinical trial conducted at Sichuan Cancer Hospital, a high-volume cancer center in China. The primary objective is to compare the long-term survival outcomes of neoadjuvant chemoradiotherapy (NCRT) combined with surgery versus surgery followed by adjuvant therapy (AT) in patients with locally advanced esophageal squamous cell carcinoma (ESCC).
Patients with histologically confirmed, resectable, locally advanced thoracic ESCC (staged according to the 8th edition of the AJCC TNM classification) were enrolled and randomized in a 1:1 ratio to the NCRT or AT group. The NCRT group received intensity-modulated radiotherapy (40 Gy in 20 fractions) combined with paclitaxel and carboplatin, followed by surgery. The AT group underwent surgery first, followed by adjuvant therapy (chemotherapy or chemoradiotherapy) determined by postoperative pathological staging based on the 2018 NCCN Guidelines for Esophageal and Esophagogastric Junction Cancers.
The study's primary endpoint is overall survival (OS). Secondary endpoints include disease-free survival (DFS), R0 resection rate, pathological complete response (pCR) rate, treatment-related toxicity, and postoperative complications. Safety was assessed based on the Common Terminology Criteria for Adverse Events (CTCAE) and the Clavien-Dindo classification for surgical complications.
A total of 245 patients were randomized, with 116 patients in the NCRT group and 108 in the AT group achieving R0 resection and included in the final analysis. Kaplan-Meier survival analysis and Cox proportional hazards models were employed to evaluate OS and DFS.
This trial seeks to provide high-quality evidence for optimizing treatment strategies in locally advanced ESCC and to highlight the significance of achieving pathological response as a predictor of improved survival. Future studies with larger sample sizes and multi-center participation are needed to validate these findings.
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Aged 18 to 75 years, both sexes; 2. Histologically confirmed locally advanced (cT1N+M0 or T2-4aNxM0) thoracic esophageal squamous cell carcinoma (8th UICC-TNM stage); 3. Cervical contrast-enhanced CT showed no suspicious metastatic lymph nodes, and imaging studies confirmed no systemic metastasis; 4. Expected to achieve R0 resection; 5. ECOG performance status 0 to 1; 6. No prior antitumor therapy for esophageal cancer, including chemotherapy, radiotherapy (including planned radiotherapy during the study), hormone therapy, or immunotherapy; 7. Measurable lesions according to RECIST v1.1 criteria; 8. No contraindications for surgery based on preoperative evaluation of organ function; 9. Laboratory test results confirm eligibility:
Exclusion Criteria:
History of Other Malignancies: 1.1. Patients who have had malignancies other than esophageal cancer.
3.4. Medically difficult-to-control hypertension (systolic blood pressure ≥150 mmHg and/or diastolic blood pressure ≥100 mmHg) based on the average of at least two measurements.
3.5. History of hypertensive crises or hypertensive encephalopathy.
4.2. Active tuberculosis at the time of randomization or anti-tuberculosis treatment within 1 year prior to randomization.
4.3. Asthma requiring intermittent bronchodilators or other medical interventions at randomization.
5.2. For patients positive for HCV antibodies, HCV-RNA testing should exclude those with HCV-RNA >10³ copies/mL.
5.3. Co-infection with HIV.
6.2. Other conditions rendering the patient inoperable. 6.3. Prior surgeries that preclude using the stomach for esophageal reconstruction during this surgery.
7.2. Severe allergy to chemotherapy drugs. 7.3. Previous organ transplant recipients.
8.2. Continued effective anti-HBV therapy during the study or initiation of entecavir or tenofovir treatment prior to study medication.
9.2. Any condition deemed unsuitable for study participation by the investigator.
Drug: Neoadjuvant Chemoradiotherapy · Procedure: Surgery
Procedure: Adjuvant therapy · Procedure: Surgery
Patients assigned to the NCRT group received intravenous paclitaxel (135 mg/m²) and carboplatin (AUC=2-5) on day 1, administered every three weeks for two cycles. Concurrently, they received intensity-modulated radiotherapy (IMRT) with a total of 20 sessions (CTV 40 Gy, GTV 44 Gy) five days per week. All radiotherapy plans were reviewed by designated radiation oncologists before treatment to ensure quality control. Patients were assessed 4 to 6 weeks after completing NCRT following RECIST 1.1 criteria.
Patients in the AT group received surgery as soon as possible after randomization, followed by adjuvant therapy, postoperative adjuvant therapy based on pathological staging, as recommended by the NCCN Clinical Practice Guidelines for Esophageal and Esophagogastric Junction Cancers (2017 V4), starting one month post-surgery with either adjuvant chemotherapy or chemoradiotherapy. The adjuvant chemotherapy regimen was the same as the neoadjuvant chemotherapy regimen, and the adjuvant radiotherapy regimen and dose were administered according to guideline recommendations.
Surgery
OS
Overall survival
Time frame: 5 years
DFS
Disease-free survival
Time frame: 5 years
Adverse Events
Treatment-related toxicity, postoperative complications
Time frame: 1 years
R0 resection rate
Other outcomes
Time frame: 1 years
pathological complete response (pCR) rate
Other outcomes
Time frame: 1 years
Plan to share: Yes — This study aims to compare the long-term survival outcomes and safety profiles of neoadjuvant chemoradiotherapy (NCRT) followed by surgery versus surgery with adjuvant therapy (AT) in patients with locally advanced esophageal squamous cell carcinoma (ESCC). The study follows a prospective, randomized, open-label, phase III clinical trial design. Eligible patients were assigned in a 1:1 ratio to receive either NCRT followed by surgery or surgery with AT, with treatment assignments stratified by a permuted-block randomization method. Key endpoints include overall survival (OS), disease-free survival (DFS), pathological outcomes, and treatment-related adverse events. This research emphasizes the importance of pathological complete response (pCR) as a predictor of improved survival and aims to provide robust evidence to guide treatment strategies for locally advanced ESCC. Data collection, patient follow-up, and statistical analyses were conducted in accordance with international clinical
Supporting information: Study protocol
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