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Department of Food Science and Nutrition, College of Home Economics, University of the Philippines, Diliman, Quezon City 1101, Philippines
Received 24 February 2004; received in revised form 18 September 2004; accepted 18 September 2004
Abstract
This paper presents the efforts of the Bureau of Quarantine and International Health Surveillance (BQIHS), Department of
Health (DOH), Philippines to launch a Good Manufacturing Procedure (GMP)–Hazard Analysis Critical Control Point (HACCP)
Certification Program for food services operating in Philippine inter-island water vessels. The BQIHS improved its food sanitation
audit system for inter-island ships by including in its traditional walk-through evaluation of GMP the review of documents for both
GMP and HACCP, and the verification of HACCP implementation. The BQIHS is now identified as a GMP–HACCP certification
provider to specific sectors of the local food service industry on a national level.
2004 Elsevier Ltd. All rights reserved.
0956-7135/$ - see front matter 2004 Elsevier Ltd. All rights reserved.
doi:10.1016/j.foodcont.2004.09.007
94 Ma.P. V. Azanza / Food Control 17 (2006) 93–101
implementation (Ababouch, 2000). As early as 1998, the Organization (WTO). As a member and specifically as a
Food and Agriculture Organization and World Health signatory to the General Agreement on Tariff and Trade
Organization already articulated that national govern- Uruguay Round Final Act, the country is to adhere to
ment agencies should be able to assess HACCP systems the provisions under the Treaty on the Application of
in their food regulatory audit programs (Motarjemi, Sanitary and Phytosanitary (SPS) Measures (SCRA,
2000). The Philippine BQIHS is undertaking a lead in 1997). The country must harmonize its national food
monitoring the implementation of HACCP-based food safety control measures and activities with international
safety programs in airports, seaports and its associated codes and standards, primarily those that are recom-
vessels (NQO DOH, 1992). mended by the Codex Alimentarius Commission (Annex
Similarly, the Ministry of Health (MOH) of Malaysia to CAC/RCP 1-1969, Rev. 3 1997). The HACCP system
is responsible for HACCP assessment of food industry has been part of the fundamental recommendation of
operations on a national level (Merican, 2000). How- Codex for food safety control as early as 1993.
ever, agencies in other countries aside from the health
department were reported to be also responsible for
HACCP assessment. The Ministry of Agriculture and 4. Food safety program for inter-island passenger vessels
Fisheries in New Zealand (Lee & Hathaway, 2000),
and the Canadian Food Inspection Agency in Canada The improvements for the BQIHS food sanitation
(Gagnon, McEachern, & Bray, 2000) are examples of assessment system are embodied in an enhanced food
other agencies responsible for HACCP regulatory safety audit tool, written guidelines and training proto-
audits. Also in the US, HACCP regulation is delegated cols for sanitation officers who are to use the enhanced
to various legislative bodies like the United States audit tool, and a general procedure for food service
Department of Agriculture, the Food and Drug Admin- institutions on how to secure the GMP–HACCP certifi-
istration and the National Marine Fisheries Service cation from BQIHS. The conceptualization and the pre-
(Kvenberg, Stolfa, Stringfellow, & Garrett, 2000). liminary steps for implementation of this improved food
The BQIHS has been in control of the food sanitation safety audit protocol of BQIHS involved the participa-
evaluation of the food service institutions in inter-island tion of people from BQIHS, academe, affiliated govern-
water vessels for 46 years to date. The inspection proto- ment regulatory agencies involved with control of air
col utilized by BQIHS has been guided primarily by the and sea vessels and their ports, and shipping lines.
various sanitation parameters found in the International
Health Regulation of 1969, which was adopted by
World Health Assembly, WHO (IHR, 1983). The previ- 5. Enhanced food safety audit tool
ous food sanitation inspection scheme of the BQIHS
only included an on-site evaluation of the food prepara- A food safety audit is the verification of the develop-
tion, storage and service areas of GMP implementation ment, documentation and effective implementation of
within the ship being evaluated. Intermittently, food and food safety management systems like HACCP in a food
water samples were obtained for chemical and micro- establishment (Souness, 2000; Suwanrangsi, 2000). Mor-
biological analyses. timore (2000) and Ababouch (2000) also identified docu-
The cited regulatory function of BQIHS is based ments review and on-site verification of implementation
upon the stipulations of the Revised Quarantine Rules as the two essential stages of HACCP system audit. Like-
and Regulations of the Philippines (Administrative wise, effective HACCP systems to be evaluated should be
Order No. 118-C, series of 1992) (NQO DOH, 1992), based on sound GMP implementation as the prerequisite
and Chapter XV of the Code on Sanitation of the Phil- program of HACCP (Ababouch, 2000).
ippines (PD 856) (DOH, 1998). The current enhanced The general user guideline is the narrative instruc-
food safety program of the BQIHS is similar to what tional material of the new BQIHS food safety audit sys-
is already being implemented in Australia (Souness, tem that gives directives for the sanitary auditors of the
2000) which moved towards shifting from just a walk- BQIHS on how to use the enhanced GMP–HACCP
through inspection to an auditing mode that requires audit tool for food service institutions in inter-island
both visual inspections of GMP and HACCP systems passenger water vessels during inspections. This Guide-
with documents reviews. line describes the food safety audit tool in terms of con-
tent, the physical structure and the different aspects to
be evaluated during audit. It also details the schedule
3. HACCP assessment of audit, the sampling plan used during audit, and the
grading system that would be employed. The Guide-
Commitment of the Philippine Government to ensure line instructs that each sanitation audit should be
HACCP implementation by food institutions in the implemented for facilities, utilities, and equipment of
country is based on its membership to the World Trade operational areas of the water vessels pertinent to
Ma.P. V. Azanza / Food Control 17 (2006) 93–101 95
safeguarding public health and food safety. These tation sub-sections that were essentially focused on
areas should include those used during food storage, various operational areas in ships where public health
preparation, serving and handling and leftover and food safety concerns for passengers and crew
management. are pertinent. Documents review for GMP and HACCP
The new food safety audit tool of the BQIHS consists as well as verification of its implementation is in fact
of an introduction to the audit protocol and details a very novel strategy included in the food safety
referring to both GMP and HACCP sections of the tool audit scheme of the BQIHS. This evaluation of docu-
(Table 1). The new food safety audit program of the ments should attest that the plans, procedures and mon-
BQIHS also considered that GMP implementation is itoring of the two food safety systems are being
needed to streamline the development and operationali- implemented.
zation of the HACCP program in concerned food estab- Tables 2 and 3 show the documents review sub-sec-
lishments so as to prevent the eventual institution of too tion and a portion of the verification of implementation
many control points in their HACCP plans (Souness, sub-section of the GMP section of the BQIHS food
2000). The introduction to audit protocol section of safety audit tool as also explained in the general user
the tool detailed the following: explanation of the man- guideline material. The physical structures of the audit
date of BQIHS, types of water vessels for audit, schedule tool consist of list of pertinent items to be audited, the
of audit, and the HACCP generic food flow that can numerical rating column, deductions column and com-
apply to the various food operations being carried out ments column. The numerical rating column contains
in the different food service establishments in local inter- the allotted points per item, while the deduction column
island water vessels. The GMP and HACCP sections of is allotted for corresponding minus points for any
the food safety audit tool were correspondingly divided infraction observed during food safety audits. Sanitary
into the documents review and verification of implemen- auditors should use the comments column to qualify
Table 1
Sections of the enhanced GMP–HACCP audit tool of the BQIHS, DOH, Philippines for use to audit food safety in Philippine inter-island passenger
water vessels
Section Details
1. Introduction to audit protocol
BQIHS Mandate Philippine Quarantine Law; International Health Regulations, World Health Organization;
Sanitation Code of the Philippines
Vessels for audit Local and foreign passenger and cargo ships where food is prepared and served
Schedule of audit Monthly basis, on weekdays, 0800–1700 by BQIHS officers and designates
HACCP generic food flow Reference food flow reflective of basic food service operations in ships which are important during audit
2. GMP audit
Documents review GMP plans and procedures, monitoring and corrective action tools and records based on the following
criteria:
• grounds
• facilities and utilities
• equipment
• personnel health and hygiene practices
• food materials control
• storage and warehousing
• product trace and recall
Verification of implementation Implementation of GMP verified by observation and interview results
3. HACCP audit
Documents review HACCP plans, procedures, monitoring tool, corrective action, record and other documents based on the
following criteria:
• declaration of HACCP commitment
• documents of HACCP team membership
• identified critical control process
• hazard analysis
• CCPs/CL documents
• corrective action logs
• monitoring procedure documents
• documentation procedures
• verification procedure documents
Verification of implementation Implementation of HACCP verified by observation and interview results
96 Ma.P. V. Azanza / Food Control 17 (2006) 93–101
Table 2
Details of entries in the documents review sub-section of the GMP section of the enhanced BQIHS food safety audit tool
Documents review Na Db Comments
A. To be obtained from Master of Vessel or his designate
1. Valid sanitary permit for food services operating in ship 5
(concessionaires or ship owned) to operate for the year
Total deductions
a
N—numerical rating.
b
D—deductions to rating.
Table 3
Sample entry in the verification of implementation sub-section of the GMP section of the enhanced BQIHS food safety audit tool
deductions made in the numerical ratings per item. No mains unscored for whatever reason, then a suitable
‘‘Check Item’’ can be scored until all relevant areas un- comment must be placed in the comment column, e.g.,
der that item have been checked. If any check item re- ‘‘unable to verify’’ (Table 4).
Ma.P. V. Azanza / Food Control 17 (2006) 93–101 97
Table 4
Example of an item in the BQIHS audit tool with an entry in the comments column that explains deferment of rating
General items to be inspected Numerical ratings Deductions to ratings Comments
Common-use facilities
Toilet/Batha
• Clean, tidy and organized; 2 Unable to verify; womenÕs toilet padlocked
in good state of repair; with appropriate during audit. Follow-up audit(s) must be scheduled
provisions of personal hygiene supplies
a
Note: No ‘‘check item’’ can be scored until all relevant areas under that item have been checked. For instance, the item under toilet/bath cannot
be scored until all toilet and bathrooms have been inspected.
Similarly, Tables 5 and 6 show the documents review percent value, the total of the GMP and HACCP ratings
and verification of implementation sub-sections of the is divided by 2. A rating of 81% with an equivalent
HACCP section of the BQIHS food safety audit tool description of fair is considered the least passing score
as outlined in the general user guideline. The HACCP for an audit. Equally, the Department of Fisheries in
audit tool sub-sections have similar structures as that Thailand imposed a minimum passing rate of 80%
of the GMP audit tool sub-sections. The BQIHS food in HACCP audits on fish processors (Suwanrangsi,
safety audit tool complies with the recommended com- 2000).
ponents of an audit tool as described by Mortimore
(2000) wherein the 7 HACCP principles were used as
heading with corresponding detailed points to be as- 6. GMP–HACCP certification
sessed in each heading.
Table 7 shows the basis for percent deductions in The enhanced food safety scheme of the BQIHS
numerical rating per item in the enhanced BQIHS food would enable DOH, Philippines to issue GMP–HACCP
safety audit tool as presented in the general user guide- certification for food service institutions in inter-island
line. Deductions for the item ratings are only considered passenger water vessels in the country. The annual audit
for 65 faults or infractions found that would not di- certification to be issued by BQIHS is based on the mean
rectly compromise the safety of the food. A 100% deduc- rating of the audits conducted monthly from the imme-
tion is given for items where >5 faults are already diate previous year. The issued certificate will bear the
recorded but do not directly affect food safety, and/or seal and the endorsement of the director of the BQIHS.
in cases when there is at least 1 infraction that has a The certificate is to be posted at the most conspicuous
definitive effect on the safety of the food. area of the food service premises for the entire period
The general user guideline of the audit tool specifies of certificate effectivity.
that the numerical ratings for the GMP and HACCP The first month of the year audit would be an an-
sections should total 100 points each. Table 8 provides nounced audit and should include both document
ratings and their equivalent descriptions for the overall review and validation of implementation. The 11
scores per audit. To obtain a final rating expressed as succeeding unannounced monthly audits should include
Table 5
Details of general entries in the documents review sub-section of the HACCP section of the enhanced BQIHS food safety audit tool
HACCP audit Nb Dc Comments
1. Document review. Evaluation of HACCP plans, procedures, monitoring
tool, corrective action, record and other documents existing for the following criteriaa
1.1. Written declaration of commitment to HACCP by management 4
1.2. Documents of HACCP team formation and membership function 4
1.3. Hazard analysis document 4
1.4. Written documents on identified critical control points 4
1.5. Critical limits documents 4
1.6. Monitoring procedure documents 4
1.7. Corrective action logs 4
1.8. Documentation procedure 4
1.9. Verification procedure documents 4
1.10. Validation procedure documents 4
a
Points for evaluation in each of the specific criterion are not shown in the table.
b
N—numerical rating.
c
D—deductions to rating.
98 Ma.P. V. Azanza / Food Control 17 (2006) 93–101
Table 6
Details of entries in the verification of implementation sub-section of the HACCP section of the enhanced BQIHS food safety audit tool
HACCP audit Na Db Comments
2. Verification of implementation. Evaluation of implementation of
HACCP programs carried out as planning for the following:
2.1. Declaration of commitment to HACCP by management 10
• employees and workers are aware of HACCP programs
of the company
2.2. Memberships and functions of HACCP team 10
• members aware of their functions
• multidisciplinary
2.3. HACCP process line identification 10
• products conforming to description and intended use
• process flow of product is implemented as described in the plan
2.4. Hazard analysis/critical control points/critical limits 10
10
• required critical limits at CCPs for hazards identified has been met,
being monitored in critical control points
Total deductions
a
N—numerical rating.
b
D—deductions to rating.
Table 7
Basis for percent deductions in numerical rating per item in the enhanced BQIHS food safety audit tool
Deductions (%) in I numerical rating per item Details
0 Outstanding, no fault found, 100% level of acceptability
25 Very satisfactory, only 1–2 faults found that would not compromise food safety
50 Satisfactory, just 3–4 faults found that would not compromise food safety
75 Marginal, 5 faults found, that would not compromise food safety
100 Failure, >5 faults found, that would not compromise food safety,
and or P1 fault found that would compromise food safety, basis for follow-up audit(s)
Table 9
Bureau of Quarantine and International Surveillance (BQIHS)-issued guidelines for the acquisition of GMP–HACCP certification for food services
in inter-island water vessels
Items Details
1. Schedule of GMP–HACCP audit • Monthly GMP–HACCP audits, 1 announced involving documents review and verification of
implementation evaluation, 11 succeeding audits involving verification of implementation only
2. Authorized auditors of BQIHS • 1–2 trained and authorized BQIHS auditors to conduct the monthly audit
to conduct food safety audit
3. Access to records and facilities • Food services in inter-island vessels shall make available all documents for review and give access
for evaluation to inspection facilities, utilities and equipment to validate implementation of plans
4. Release of audit results • Release of audit results 3 weeks after the food safety audit, passing rate is P 81%
5. Settlement of disputes • Disputes should be resolved by an AD HOC committee of food safety experts headed
by the Director of BQIHS
6. Issuance of annual GMP–HACCP • Annual certificates issued every January based on the weighted average obtained from
certification 12 audits of the previous year
• Certificate bears the signature of the Director and seal of BQIHS and used as basis for
issuance of permit to operate with one year effectivity
7. Imposition of penalties • Itemized list of conditions subject to penalties based on the rules and regulations of the BQIHS
8. Other services of BQIHS • Requests for other services of BQIHS outside regular audit will be charged with additional fees
100 Ma.P. V. Azanza / Food Control 17 (2006) 93–101
eventually parallel the level of implementation of the cluded that the negative reactions of the ship owners to-
food safety programs being implemented in the local wards the new system may be based on lack of in-depth
flight catering firms. understanding of HACCP as food safety tool and how its
The exposure training of 3 BQIHS auditors intended operationalization would help them systematize the pre-
to be the core trainers was implemented for a period of sent safe handling of food in their respective ships.
1 month in the local flight catering institutions in Metro Therefore, the BQIHS decided to first work with at least
Manila, Philippines including Philippine Airlines In- two friendly shipping lines and their affiliated food serv-
flight Catering Services, Miascor Catering and Macro ice concessionaires who are amendable to be subjected to
Asia—Eurest. Those who were trained to be core the new food safety audit system under the proposed new
BQIHS auditors were then asked to provide preliminary food safety program. As part of this direction towards
orientation to other regional auditors of the BQIHS implementing the new program, it was realized the par-
regarding the new food safety system to be imple- ticipating shipping lines should be provided first with free
mented. This orientation was just intended to familiarize training regarding HACCP plan preparation, using some
the regional auditors to the new food safety scheme. It of their representative food flows as examples. Tutorial
was planned that the regional BQIHS food auditors steps to prepare GMP–HACCP plans were provided
would further undergo a similar comprehensive training by BQIHS to help the participating shipping lines and
obtained by core auditors only with local inter-island food service concessionaires.
shipping vessels as the training venue. Through this The preliminary implementation of the HACCP-
training approach, national consistency in food safety based food safety program of the BQIHS in the partic-
regulatory audit is hoped to be attained eventually. ipating shipping lines was scheduled from the last
For BQIHS to eventually involve the shipping lines quarter of 2003 to the first quarter of 2004. It was
and their affiliated food service concessionaires it was unfortunate though that the larger of the two cooperat-
first necessary to obtain the cooperation of the manage- ing shipping lines that agreed to be used as models for
ment of the shipping lines and food service concessio- the new food safety scheme had to temporarily defer
naires and also get their feedback regarding the new its participation to the project because of an untimely se-
scheme as part of the initial approach to the implemen- vere sea accident that occurred involving one of their
tation of the new BQIHS food safety program. In 2 con- ships early 2004 (Malicse, 2004). For this reason it was
sultative meetings sponsored by the BQIHS to meet with decided that the implementation of the new food safety
the members of the Philippine Ship Owners Association audit of the Philippine BQIHS for the two models had
Incorporated and affiliated food service concessionaires, to be postponed to the last quarter of 2004 based on
the anticipated violent reluctance to implement the new the articulated request of both of the participating ship-
scheme presented was due to the following reasons: ping lines.