Adjuvant and neoadjuvant therapeutic principles have in recent years r
eceived increasing attention in the management of patients with carcin
oma of the upper gastrointestinal tract. A series of randomized prospe
ctive trials has demonstrated that adjuvant postoperative radiation or
chemotherapy does not result in a convincing survival advantage after
complete tumor resection in gastric or esophageal cancer. The availab
le data on the role of neoadjuvant preoperative therapy in these patie
nts as yet permit no conclusion. While neoadjuvant therapy may reduce
the tumor mass in a substantial portion of patients, a series of rando
mized controlled trials has shown that, compared to primary resection,
a multimodal approach does not result in a survival benefit in patien
ts with loco-regional, i.e. potentially resectable, tumors. In contras
t, in patients with locally advanced tumors, i.e. tumors for which com
plete removal with primary surgery appears unlikely, neoadjuvant thera
py increases the chance for complete tumor resection on subsequent sur
gery. However, only patients with objective histopathologic response t
o preoperative therapy appear to benefit from this approach. Compared
to preoperative chemotherapy alone, combined radio-chemotherapy increa
ses the rate of response, particularly in squamous cell esophageal can
cer, but may also increase postoperative morbidity and mortality. Neoa
djuvant therapy should therefore currently only be performed in experi
enced centers within the context of prospective clinical trials. The i
dentification of factors that would allow prediction of response to ne
oadjuvant or adjuvant therapy is the focus of ongoing studies.