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CompletedNCT06775652ESCCUpdated Jan 15, 2025

Neoadjuvant Chemoradiotherapy Plus Surgery vs. Surgery Plus Adjuvant Therapy for ESCC

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

From the registry’s dates

  • Registered 7 years after the study started (first participant enrolled Jan 2018, registered Jan 2025).
Phase
Phase 3
Study type
Interventional
Enrollment
254
Allocation
Randomized
Ages
18 Years to 75 Years
Sex
All
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Study summary

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.

Read the detailed description

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.

02

Conditions studied

  • Esophageal Squamous Cell Carcinoma (ESCC)

Keywords

  • Esophageal squamous cell carcinoma
  • Neoadjuvant chemoradiotherapy
  • Adjuvant therapy
  • Overall survival
  • Pathological complete response
03

In context

Carcinoma

6,741 studies on the registry are indexed under Carcinoma; 1,163 are open to participants now.

This study's enrollment of 254 is above the median of 45 across 5,174 interventional studies indexed under Carcinoma.

Browse Carcinoma studies →

Lead sponsor

Yongtao Han is the lead sponsor of 7 studies on the registry; none are open to participants now.

Counted across the registry records on this site, refreshed daily.

04

Who can participate

Ages eligible
18 Years to 75 Years
Sexes eligible
All
Accepts healthy volunteers
No

Inclusion criteria

    1. 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:

      • Hemoglobin ≥90 g/L;
      • White blood cell count ≥ the laboratory lower limit of normal;
      • Absolute neutrophil count (ANC) ≥1.5×10⁹/L;
      • Platelet count ≥100×10⁹/L;
      • Total bilirubin ≤1.5× upper limit of normal (ULN);
      • Alanine aminotransferase (ALT) and aspartate aminotransferase (AST) ≤2.5× ULN;
      • Prothrombin time ≤16 seconds and international normalized ratio (INR) ≤1.5× ULN;
      • Serum creatinine ≤1.5× ULN or creatinine clearance ≥50 mL/min (calculated using the Cockcroft-Gault formula); 10. Women of childbearing potential must agree to use effective contraception (e.g., intrauterine devices, oral contraceptives, or condoms) during the study medication period and for 60 days after the last dose, have a negative serum pregnancy test within 7 days prior to enrollment, and must not be lactating; 11. Men must agree to use effective contraception during the study medication period and for 60 days after the last dose; 12. Participants must understand and sign the informed consent form.

Exclusion criteria

Exclusion Criteria:

    1. History of Other Malignancies: 1.1. Patients who have had malignancies other than esophageal cancer.

      1. Bleeding Tendency and Coagulation Disorders: 2.1. Gastrointestinal bleeding within 6 months prior to randomization. 2.2. Coagulation disorders at the time of enrollment. 2.3. Patients receiving thrombolysis or anticoagulant therapy.
      1. Cardiovascular and Cerebrovascular Diseases: 3.1. The following conditions within 12 months prior to randomization:
      • Congestive heart failure classified as NYHA class II or higher.
      • Unstable angina, myocardial infarction, or poorly controlled arrhythmias.
      • Cerebrovascular accidents. 3.2. Left ventricular ejection fraction (LVEF) \<50% on echocardiography. 3.3. Corrected QT interval (QTc) >480 ms (calculated using the Fridericia formula; if QTc is abnormal, three consecutive tests should be conducted at 2-minute intervals, and the average value used).

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.

  1. Respiratory Diseases: 4.1. History of interstitial lung disease or pneumonia requiring steroid treatment at enrollment.

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.

  1. Infectious and Inflammatory Diseases: 5.1. Patients with active hepatitis B must receive effective treatment before enrollment.

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.

  1. Surgery-Related Risks: 6.1. Severe unhealed wounds, active ulcers, or untreated fractures at the time of randomization.

6.2. Other conditions rendering the patient inoperable. 6.3. Prior surgeries that preclude using the stomach for esophageal reconstruction during this surgery.

  1. Drug and Treatment-Related Risks: 7.1. Receiving systemic steroid therapy (daily prednisone >10 mg or equivalent) or other immunosuppressive agents within 2 weeks before randomization.

7.2. Severe allergy to chemotherapy drugs. 7.3. Previous organ transplant recipients.

  1. Liver Function Requirements: 8.1. For patients with HBsAg(+) and/or HBcAb(+), HBV DNA must be \<500 IU/mL with normal liver function.

8.2. Continued effective anti-HBV therapy during the study or initiation of entecavir or tenofovir treatment prior to study medication.

  1. Other Conditions: 9.1. Severe unhealed wounds, active ulcers, or untreated fractures at the time of randomization.

9.2. Any condition deemed unsuitable for study participation by the investigator.

05

Study design

Phase
Phase 3
Primary purpose
Treatment
Allocation
Randomized
Intervention model
Parallel assignment
Masking
None (open label)
Enrollment
254 participants (actual)

Study arms

  • Experimental
    NCRT group

    Drug: Neoadjuvant Chemoradiotherapy · Procedure: Surgery

  • Active comparator
    AT group

    Procedure: Adjuvant therapy · Procedure: Surgery

Interventions

  • DrugNeoadjuvant Chemoradiotherapy

    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.

  • ProcedureAdjuvant therapy

    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.

  • ProcedureSurgery

    Surgery

06

What researchers measure

Primary outcomes

  1. OS

    Overall survival

    Time frame: 5 years

Secondary outcomes

  1. DFS

    Disease-free survival

    Time frame: 5 years

  2. Adverse Events

    Treatment-related toxicity, postoperative complications

    Time frame: 1 years

  3. R0 resection rate

    Other outcomes

    Time frame: 1 years

  4. pathological complete response (pCR) rate

    Other outcomes

    Time frame: 1 years

07

Study locations

1 site
  • Sichuan Cancer Hospital and Institute
    Chengdu, Sichuan 610041, China
08

References and documents

Individual participant data

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

No publications or documents are linked to this record.

09

Updates

Tracking since Sep 25, 2026
No changes since tracking began. The registry record was last updated on Jan 15, 2025, before this site started recording changes on Sep 25, 2026. Its history is on ClinicalTrials.gov ↗
10

Registry details

Key details

Study ID
NCT06775652
Lead sponsor
Yongtao Han
Responsible party
Yongtao Han (Chief Investigator, Professor of Thoracic Surgery, Sichuan Cancer Hospital and Research Institute) — Sponsor-investigator
First posted
Jan 15, 2025
Start date
Jan 1, 2018
Primary completion
Dec 31, 2020
Completion
Jul 31, 2024
Last update
Jan 15, 2025

Oversight

Data monitoring committee
Yes
FDA-regulated drug
No
FDA-regulated device
No
View the source record on ClinicalTrials.gov ↗

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